Commission Implementing Regulation (EU) 2017/394Show full title

ANNEX V U.K.

Forms and templates for access procedures (Articles 33(6), 49(6), 52(4) and 53(5) of Regulation (EU) No 909/2014) U.K.

Table 1

Template for the request to establish a CSD link or for the request for access between a CSD and a CCP or a trading venue

I. General information
Sender: requesting party
Addressee: receiving party
Date of request for access
Reference number given by the requesting party
II. Identification of requesting party
Corporate name of requesting party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the request (name, function, phone number, email address)	Name	Function	Phone	Email
III. Services that form the object of the request
Types of services
Description of services
IV. Identification of authorities
Name and contact details of the competent authority of the requesting party	Name	Function	Phone	Email
Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014	Name	Function	Phone	Email
V. Any other relevant information and/or documents

Table 2

Template for the response granting access following a request to establish a CSD link or a request for access between a CSD and a CCP or a trading venue

I. General information
Sender: receiving party
Addressee: requesting party
Date of request for access
Reference number given by the requesting party
Date of receipt of the request for access
Reference number given by the receiving party
II. Identification of the receiving CSD
Corporate name of receiving party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the assessment of the request (name, function, phone number, email address)	Name	Function	Phone	Email
III. Identification of the requesting party
Corporate name of the requesting party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the request (name, function, phone number, email address)	Name	Function	Phone	Email
Access granted	YES
IV. Identification of authorities
Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address)	Name	Function	Phone	Email
Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address)	Name	Function	Phone	Email
V. Any other relevant information and/or documents

Table 3

Template for the refusal of access to a CSD

I. General information
Sender: receiving CSD
Addressee: requesting party
Date of request for access
Reference number given by the requesting party
Date of receipt of the request for access
Reference number given by the receiving CSD
II. Identification of the receiving CSD
Corporate name of receiving CSD
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the assessment of the request for access	Name	Function	Phone	Email
III. Identification of the requesting party
Corporate name of the requesting party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the request for access	Name	Function	Phone	Email
IV. Risk analysis of the request for access
Legal risks resulting from the provision of services
Financial risks resulting from the provision of services
Operational risks resulting from the provision of services
V. Outcome of the risk analysis
Access would affect the risk profile of the CSD	YES		NO
Access would affect the smooth and orderly functioning of the financial markets	YES		NO
Access would cause systemic risk	YES		NO
In case of refusal of access, a summary of the reasons for such a refusal
Deadline for complaint by the requesting party to the competent authority of the receiving CSD
Access granted	NO
VI. Identification of authorities
Name and contact details of the competent authority of the receiving CSD	Name	Function	Phone	Email
Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014	Name	Function	Phone	Email
VII. Any other relevant information and/or documents

Table 4

Template for the refusal of access to the transaction feeds of a CCP or a trading venue

I. General information
Sender: receiving party
Addressee: requesting CSD
Date of request for access
Reference number given by the requesting CSD
Date of receipt of the request for access
Reference number given by the receiving party
II. Identification of the receiving party
Corporate name of receiving party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the assessment of the request for access (name, function, phone number, email address)
III. Identification of the requesting CSD
Corporate name of the requesting CSD
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the request for access (name, function, phone number, email address)
IV. Risk analysis of the request for access
Risks resulting from the provision of services
V. Outcome of the risk analysis
Access would affect the smooth and orderly functioning of the financial markets	YES		NO
Access would cause systemic risk	YES		NO
A summary of the reasons for such a refusal
Deadline for complaint by the requesting CSD to the competent authority of the receiving party
Access granted	NO
VI. Identification of authorities
Name and contact details of the competent authority of the receiving party (main liaison, name, function, phone number, email address)	Name	Function	Phone	Email
Name and contact details of the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 (main liaison, name, function, phone number, email address)	Name	Function	Phone	Email
VII. Any other relevant information and/or documents

Table 5

Template for the complaint for refusal of access to a CSD

I. General information
Sender: requesting party
Addressee: competent authority of receiving CSD
Date of request for access
Reference number given by the requesting party
Date of receipt of request for access
Reference number given by the receiving CSD
II. Identification of the requesting party
Corporate name of requesting party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the request for access (name, function, phone number, email address)
III. Identification of the receiving CSD
Corporate name of the receiving CSD
Country of origin
Legal address
Name and contact details of the person responsible for the assessment of the request for access	Name	Function	Phone	Email
IV. Comments of the requesting party in relation to the risk assessment of the request for access conducted by the receiving CSD and the reasons for refusal of access
Comments of the requesting party on the legal risks resulting from the provision of services
Comments of the requesting party on the financial risks resulting from the provision of services
Comments of the requesting party on the operational risks resulting from the provision of services
Comments of the requesting party concerning the refusal to provide the services referred to in point (1) of Section A of the Annex to Regulation (EU) No 909/2014 applicable to the specific issue of securities.
Comments of the requesting party on the reasons of the receiving party for refusal of access
Any relevant additional information
V. Annexes
Copy of the initial application for access submitted by the requesting party to the receiving CSD
Copy of the response of the receiving CSD to the initial request for access
VI. Any other relevant information and/or documents

Table 6

Template for the complaint for refusal of access to the transaction feeds of a CCP or a trading venue

I. General information
Sender: requesting CSD
Addressee: competent authority of receiving party
Date of request for access
Reference number given by the requesting CSD
Date of receipt of request for access
Reference number given by the receiving party
II. Identification of the requesting CSD
Corporate name of requesting CSD
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the request for access (name, function, phone number, email address)
III. Identification of the receiving party
Corporate name of receiving party
Country of origin
Legal address
Name and contact details of the person responsible for the assessment of the request for access	Name	Function	Phone	Email
IV. Comments of the requesting CSD in relation to the risk assessment of the request for access conducted by the receiving party and the reasons for refusal of access
Comments of the requesting CSD on the risks resulting from the provision of services
Comments of the requesting CSD on the reasons of the receiving party for refusal of access
Any relevant additional information
V. Annexes
Copy of the initial application for access submitted by the requesting CSD to the receiving party
Copy of the response of the receiving party to the initial request for access
VI. Any other relevant information and/or documents

Table 7

Template for the consultation of other authorities on the assessment of refusal of access or for referral to ESMA

I. General information
Sender: competent authority of the receiving party
Addressee: (a) the competent authority of the place of establishment of the requesting participant; or (b) the competent authority of the place of establishment of the requesting issuer; or (c) the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (e) ESMA (in case of referral to ESMA)
Date of the request for access
Reference number given by the requesting party
Date of receipt of the request for access
Reference number given by the receiving party
Date of receipt of refusal of access complaint
Reference number given by the competent authority of the receiving party
II. Identification of authorities
Name and contact details of the competent authority of the receiving party	Name	Function	Phone	Email
Where applicable, name and contact details of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014	Name	Function	Phone	Email
III. Identification of the requesting party
Corporate name of requesting party
Country of origin
Legal address
LEI
Name and contact details of the person assuming the responsibility of the request for access (name, function, phone number, email address)
IV. Identification of the receiving party
Corporate name of receiving party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the assessment of the request for access	Name	Function	Phone	Email
V. Assessment by the competent authority of the receiving party
Comments of the competent authority concerning: (a) the reasons of the receiving party for refusal of access, and (b) the arguments of the requesting party
Where applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014
Refusal to grant access is deemed unjustified	YES		NO
Reasons provided by the competent authority of the receiving party in support of its assessment
VI. Annexes
Copy of the initial application for access submitted by the requesting party to the receiving party
Copy of the response of the receiving party to the initial request for access
Copy of the complaint from the requesting party regarding the refusal of access
VII. Any other relevant information and/or documents

Table 8

Template for the response to the consultation by the competent authority or other authorities on the assessment of refusal of access, and for referral to ESMA

I. General information
Sender: (a) the competent authority of the place of establishment of the requesting participant; or (b) the competent authority of the place of establishment of the requesting issuer; or (c) the competent authority of the requesting CSD and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014.
Addressee: (a) competent authority of the receiving party; or (b) ESMA
Date of the request for access
Reference number given by the requesting party
Date of receipt of the request for access
Reference number given by the receiving party
Date of receipt of the complaint for refusal of access
Reference number given by the competent authority of the receiving party
Date of receipt of the assessment provided by the competent authority to the receiving party
Reference number given by the competent authority of the requesting party
II. Identification of the authority that submits the response to the assessment by the competent authority of the receiving party
Name and contact details of: (a) the competent authority of the place of establishment of the requesting participant; or (b) the competent authority of the place of establishment of the requesting issuer; or (c) the competent authority of the requesting CSD and the relevant authority of the requesting CSD referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (d) the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014.	Name	Function	Phone	Email
III. Identification of the requesting party
Corporate name of requesting party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the request for access (name, function, phone number, email address)
IV. Identification of the receiving party
Corporate name of receiving party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the assessment of the request for access	Name	Function	Phone	Email
V. Assessment by the competent authority of the receiving party
Comments concerning: (a) the reasons of the receiving party for refusal of access; (b) the arguments provided by the requesting party; (c) the reasons provided by the competent authority of the receiving party in support of its assessment.
Refusal to grant access is deemed unjustified	YES		NO
Reasons provided by the authority in support of its assessment
VI. Where relevant, assessment by the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014
Comments concerning: (a) the reasons of the receiving party for refusal of access; (b) the arguments provided by the requesting party; (c) the reasons provided by the competent authority of the receiving party in support of its assessment.
Refusal to grant access is deemed unjustified	YES		NO
Reasons provided by the authority in support of its assessment
VII. Annexes
Copy of the complaint of the requesting party regarding the refusal of access, including a copy of the information provided under Annex I
Copy of the assessment by the competent authority of the receiving party of the complaint launched by the requesting party concerning the refusal of access, including a copy of the information provided under Annex II
VIII. Any other relevant information and/or documents

Table 9

Template for the response to the complaint for refusal of access

I. General information
Sender: competent authority of the receiving party
Addressees: (a) requesting party; (b) receiving party; (c) the competent authority of the place of establishment of the requesting participant; or (d) the competent authority of the place of establishment of the requesting issuer; or (e) in case of CSD links, the competent authority of the requesting CSD and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014; or (f) in case of access by a trading venue or a CCP, the competent authority of the requesting CCP or trading venue and the relevant authority referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014.
Date of the request for access
Reference number given by the requesting party
Date of receipt of the request for access
Reference number given by the receiving party
Date of receipt of the complaint for refusal of access
Reference number given by the competent authority of the receiving party
Date of receipt of the assessment by the competent authority of the requesting party and, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014
Reference number given by the competent authority of the requesting party or, where applicable, of the relevant authority of the requesting party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014
II. Identification of the authority submitting the response to the complaint concerning a refusal of access
Name and contact details of the competent authority of the receiving party	Name	Function	Phone	Email
III. Identification of the requesting party
Corporate name of requesting party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the request for access (name, function, phone number, email address)
IV. Identification of receiving party
Corporate name of receiving party
Country of origin
Legal address
LEI
Name and contact details of the person responsible for the assessment of the request for access	Name	Function	Phone	Email
V. Assessment by the competent authority of the receiving party
Comments concerning: (a) the reasons of the receiving party for refusal of access; (b) the arguments provided by the requesting party; (c) the reasons provided by the authority of the requesting party in support of its assessment.
Where applicable, comments of the relevant authority of the receiving party referred to in point (a) of Article 12(1) of Regulation (EU) No 909/2014 concerning: (a) the reasons of the receiving party for refusal of access; (b) the arguments provided by the requesting party; (c) the reasons provided by the authority of the requesting party in support of its assessment.
Refusal to grant access is deemed unjustified	YES		NO
Reasons provided by the competent authority of the receiving party in support of its assessment
VI. Order requiring the receiving party to grant access to the requesting party
When the refusal to grant access is deemed unjustified, a copy of the order requiring the receiving party to grant access to the requesting party, including the applicable deadline for compliance.
VII. Any other relevant information and/or documents