Commission Delegated Regulation (EU) 2017/392Show full title

ANNEX II

CSD ancillary services records (Article 29 of Regulation (EU) No 909/2014)

a Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).
No	Ancillary services under Regulation (EU) No 909/2014	Types of records
A. CSD's non-banking-type ancillary services that do not entail credit or liquidity risks
1	Organising a securities lending mechanism, as agent among participants of a securities settlement system	(a) Identification of delivering/receiving parties; (b) Details regarding each securities lending/borrowing operation, including volume and value of securities and ISIN; (c) Purpose of each securities lending/borrowing operations; (d) Types of collateral; (e) Collateral valuation.
2	Providing collateral management services, as agent for participants in a securities settlement system	(a) Identification of delivering/receiving parties; (b) Details regarding each operation, including volume and value of securities and ISIN; (c) Types of collateral; (d) Purpose of collateral use; (e) Collateral valuation.
3	Settlement matching, instruction routing, trade confirmation, trade verification	(a) Identification of the entities for which the CSD provides such services; (b) Types of operations; (c) Details regarding each operation, including volume and value of securities and ISIN.
4	Services related to shareholders' registers	(a) Identification of the entities for which the CSD provides such services; (b) Types of services; (c) Details regarding each operation, including volume and value of securities and ISIN.
5	Supporting the processing of corporate actions, including tax, general meetings and information services	(a) Identification of the entities for which the CSD provides such services; (b) Types of services; (c) Details regarding each operation, including volume and value of securities/cash, beneficiaries of the operation and ISIN.
6	New issue services, including allocation and management of ISIN codes and similar codes	(a) Identification of the entities for which the CSD provides such services; (b) Types of services; (c) Details regarding each operation, including ISIN.
7	Instruction routing and processing, fee collection and processing and related reporting	(a) Identification of the entities for which the CSD provides such services; (b) Types of services; (c) Details regarding each operation, including volume and value of securities/cash, beneficiaries of the operation, ISIN and purpose of the operation.
8	Establishing CSD links, providing, maintaining or operating securities accounts in relation to the settlement service, collateral management, other ancillary services	(a) Details regarding the CSD links, including identification of CSDs; (b) Types of services.
9	Providing general collateral management services as agent	(a) Identification of delivering/receiving parties; (b) Details regarding each operation, including volume and value of securities, ISIN; (c) Types of collateral; (d) Purpose of collateral use; (e) Collateral valuation.
10	Providing regulatory reporting	(a) Identification of the entities for which the CSD provides the reporting; (b) Types of services; (c) Details regarding the data provided, including the legal basis and the purpose.
11	Providing information, data and statistics to market/census bureaus or other governmental or inter-governmental entities	(a) Identification of the entities for which the CSD provides such services; (b) Types of services; (c) Details regarding the data provided, including the legal basis and the purpose.
12	Providing IT services	(a) Identification of the entities for which the CSD provides the services; (b) Types of services; (c) Details regarding IT services.
B. CSD's banking-type services directly related to core or ancillary services listed in Sections A and B of the Annex to Regulation (EU) No 909/2014
13	Providing cash accounts to, and accepting deposits from, participants in a securities settlement system and holders of securities accounts, within the meaning of point 1 of Annex I to Directive 2013/36/EU of the European Parliament and of the Councila	(a) Identification of the entities for which the CSD provides such services; (b) Cash accounts details; (c) Currency; (d) Deposits amounts.
14	Providing cash credit for reimbursement no later than the following business day, cash lending to pre-finance corporate actions and lending securities to holders of securities accounts, within the meaning of point 2 of Annex I to Directive 2013/36/EU.	(a) Identification of the entities for which the CSD provides such services; (b) Types of services; (c) Details regarding each operation, including volume and value of securities/cash, ISIN; (d) Types of collateral; (e) Collateral valuation; (f) Purpose of operations; (g) Information about any incidents in relation to such services and remediating actions including follow-up.
15	Payment services involving processing of cash and foreign exchange transactions, within the meaning of point 4 of Annex I to Directive 2013/36/EU	(a) Identification of the entities for which the CSD provides such services; (b) Types of services; (c) Details regarding each operation, including volume of cash, and purpose of operation.
16	Guarantees and commitments related to securities lending and borrowing, within the meaning of point 6 of Annex I to Directive 2013/36/EU	(a) Identification of the entities for which the CSD provides such services; (b) Types of services; (c) Details regarding each operation, including volume and value of securities/cash and purpose of operation.
17	Treasury activities involving foreign exchange and transferable securities related to managing participants' long balances, within the meaning of points 7(b) and (e) of Annex I to Directive 2013/36/EU	(a) Identification of the entities for which the CSD provides such services; (b) Types of services; (c) Details regarding each operation, including volume and value of securities/cash and purpose of operation.