- Latest available (Revised)
- Original (As adopted by EU)
Commission Delegated Regulation (EU) 2018/1229Show full title
Commission Delegated Regulation (EU) 2018/1229 of 25 May 2018 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on settlement discipline (Text with EEA relevance)
You are here:
- Regulations originating from the EU
- 2018 No. 1229
- Annexes only
What Version
Advanced Features
- Show Geographical Extent(e.g. England, Wales, Scotland and Northern Ireland)
- Show Timeline of Changes
More Resources
Revised version PDFs
- Revised 27/08/20201.19 MB
- Revised 30/10/20191.20 MB
Legislation originating from the EU
When the UK left the EU, legislation.gov.uk published EU legislation that had been published by the EU up to IP completion day (31 December 2020 11.00 p.m.). On legislation.gov.uk, these items of legislation are kept up-to-date with any amendments made by the UK since then.
This item of legislation originated from the EU
Legislation.gov.uk publishes the UK version. EUR-Lex publishes the EU version. The EU Exit Web Archive holds a snapshot of EUR-Lex’s version from IP completion day (31 December 2020 11.00 p.m.).
Changes over time for: Commission Delegated Regulation (EU) 2018/1229 (Annexes only)
Changes to legislation:
Commission Delegated Regulation (EU) 2018/1229 is up to date with all changes known to be in force on or before 08 August 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
Changes to Legislation
Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the legislation in the affected provisions. Use the ‘more’ link to open the changes and effects relevant to the provision you are viewing.
Changes and effects yet to be applied to :
- Regulation revoked by 2023 c. 29 Sch. 1 Pt. 1 3
ANNEX IU.K.
Table 1
General information on settlement fails to be reported by CSDs to the competent authorities and relevant authorities on a monthly basis
| No. | Details to be reported | Format | |
|---|---|---|---|
| 1. | Country code for the jurisdiction in which the CSD is established | ISO 3166 2 character country code | |
| 2. | Securities settlement system operated by the CSD | Free text | |
| 3. | Reporting timestamp (CSD to competent authority/relevant authority) | ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ | |
| 4. | Reporting period: beginning and end dates of the period covered by the report | ISO 8601 date in the format YYYY-MM-DD-YYYY-MM-DD | |
| 5. | CSD Legal Entity Identifier | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code | |
| 6. | Corporate name of the CSD | Free text | |
| 7. | Name of the person responsible for the report sent by the CSD | Free text | |
| 8. | Function of the person responsible for the report sent by the CSD | Free text | |
| 9. | Phone number of the person responsible for the report sent by the CSD | Only numeric characters may be used. The phone number must be provided with the country code and the local area code. No special characters may be used. | |
| 10. | Email address of the person responsible for the report sent by the CSD | Email addresses must be supplied using the standard email address convention. | |
| 11. | Number of settlement instructions during the period covered by the report | Up to 20 numerical characters reported as whole numbers without decimals. | |
| 12. | Number of settlement fails during the period covered by the report (covering both settlement fails for lack of securities and lack of cash) | Up to 20 numerical characters reported as whole numbers without decimals. | |
| 13. | Rate of settlement fails based on volume (number of settlement fails/number of settlement instructions during the period covered by the report) (covering both settlement fails for lack of securities and lack of cash) | Percentage value up to 2 decimal places. | |
| 14. | Rate of settlement fails based on value (EUR) (value of settlement fails/value of settlement instructions during the period covered by the report) (covering both settlement fails for lack of securities and lack of cash) | Percentage value up to 2 decimal places. | |
| 15. | Value of settlement instructions (EUR) during the period covered by the report | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character | |
| 16. | Value of settlement fails (EUR) during the period covered by the report (covering both settlement fails for lack of securities and lack of cash) | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character | |
| 17. | Top 10 participants with the highest rates of settlement fails during the period covered by the report (based on number of settlement instructions) | For each participant identified by LEI | |
| Participant LEI | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code | ||
| Total number of settlement instruction s per participant | Up to 20 numerical characters reported as whole numbers without decimals. | ||
| Number of settlement fails per participant | Up to 20 numerical characters reported as whole numbers without decimals. | ||
| Percentage of settlement fails | Percentage value up to 2 decimal places | ||
| Total value (EUR) of settlement instructions per participant | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character | ||
| Value (EUR) of settlement fails per participant | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character | ||
| Rate of settlement fails | Percentage value up to 2 decimal places. | ||
| 18. | Top 10 participants with the highest rates of settlement fails during the period covered by the report (based on value (EUR) of settlement instructions) | For each participant identified by LEI: | |
| Participant LEI | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code | ||
| Total value (EUR) of settlement instructions per participant | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character | ||
| Value (EUR) of settlement fails per participant | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character | ||
| Percentage of settlement fails | Percentage value up to 2 decimal places | ||
| Total number of settlement instructions per participant | Up to 20 numerical characters reported as whole numbers without decimals. | ||
| Number of settlement fails per participant | Up to 20 numerical characters reported as whole numbers without decimals. | ||
| Rate of settlement fails | Percentage value up to 2 decimal places. | ||
| 19. | Number of settlement instructions per currency in which the settlement instructions are denominated during the period covered by the report | For each ISO 4217 3 character Currency Code the volume will be expressed using up to 20 numerical characters reported as whole numbers without decimals. | |
| 20. | Number of settlement fails per currency in which the settlement instructions are denominated during the period covered by the report | For each ISO 4217 3 character Currency Code the volume will be expressed using up to 20 numerical characters reported as whole numbers without decimals. | |
| 21. | Rate of settlement fails per currency in which the settlement instructions are denominated, based on volume (number of settlement fails/number of settlement instructions per currency, during the period covered by the report) | For each ISO 4217 3 character Currency Code the rate shall be expressed as a percentage value up to 2 decimal places. | |
| 22. | Value of settlement instructions per currency in which the settlement instructions are denominated during the period covered by the report | For each ISO 4217 3 character Currency Code the value shall be expressed using up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character | |
| 23. | Value of settlement fails per currency in which the settlement instructions are denominated during the period covered by the report | For each ISO 4217 3 character Currency Code the value shall be expressed using up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character | |
| 24. | Rate of settlement fails per currency in which the settlement instructions are denominated, based on value (value of settlement fails/value of settlement instructions per currency, during the period covered by the report) | For each ISO 4217 3 character Currency Code the rate shall be expressed as a percentage value up to 2 decimal places. | |
| 25. | Number of settlement instructions for each type of financial instruments during the period covered by the report | For each type of financial instruments: Up to 20 numerical characters reported as whole numbers without decimals. | |
| 26. | Number of settlement fails (covering both settlement fails for lack of securities and lack of cash) for each type of financial instruments during the period covered by the report | For each type of financial instruments: Up to 20 numerical characters reported as whole numbers without decimals. | |
| 27. | Rate of settlement fails for each type of financial instruments, based on volume (number of settlement fails/number of settlement instructions per each type of financial instruments, during the period covered by the report) | For each type of financial instruments the rate shall be expressed as a percentage value up to 2 decimal places. | |
| 28. | Value (EUR) of settlement instructions for each type of financial instruments | For each type of financial instruments the value shall be expressed using up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. | |
| 29. | Value (EUR) of settlement fails (covering both settlement fails for lack of securities and lack of cash) for each type of financial instruments | For each type of financial instruments the value shall be expressed using up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. | |
| 30. | Rate of settlement fails for each type of financial instrument, based on value (value of settlement fails/value of settlement instructions for each type of financial instrument, during the period covered by the report) | For each type of financial instruments the rate shall be expressed as a percentage value up to 2 decimal places. | |
| 31. | Number of settlement instructions for each type of transactions during the period covered by the report | For each type of transactions the volume shall be expressed using up to 20 numerical characters reported as whole numbers without decimals. | |
| 32. | Number of settlement fails (covering both settlement fails for lack of securities and lack of cash) for each type of transactions during the period covered by the report | For each type of transactions the volume shall be expressed using up to 20 numerical characters reported as whole numbers without decimals. | |
| 33. | Rate of settlement fails for each type of transactions, based on volume (number of settlement fails/number of settlement instructions per each type of transactions, during the period covered by the report) | For each type of transactions the rate shall be expressed as a percentage value up to 2 decimal places. | |
| 34. | Value (EUR) of settlement instructions for each type of transactions | For each type of transactions the value shall be expressed using up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. | |
| 35. | Value (EUR) of settlement fails (covering both settlement fails for lack of securities and lack of cash) for each type of transactions | For each type of transactions the value shall be expressed using up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. | |
| 36. | Rate of settlement fails for each type of transactions, based on value (value of settlement fails/value of settlement instructions for each type of transactions, during the period covered by the report) | For each type of transactions the rate shall be expressed as a percentage value up to 2 decimal places. | |
| 37. | Top 20 ISINs that are the object of settlement fails, based on the volume of settlement fails; | ISIN code | |
| 38. | Top 20 ISINs that are the object of settlement fails based on the value (EUR) of settlement fails. | ISIN Code | |
| 39. | Total number of penalties referred to in Article 7(2) of Regulation (EU) No 909/2014, imposed by the CSD | Up to 20 numerical characters reported as whole numbers without decimals. | |
| 40. | Total value (EUR) of penalties referred to in Article 7(2) of Regulation (EU) No 909/2014, imposed by the CSD | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. | |
| 41. | Average duration of settlement fails as number of days (difference between actual settlement date and intended settlement date, weighted for the value of the settlement fail) | Number of days reported as a number with one decimal. | |
| 42. | Main reasons for settlement fails | Free text | |
| 43. | Measures to improve settlement efficiency | Free text | |
Table 2
Daily data on settlement fails to be reported by CSDs to the competent authorities and relevant authorities on a monthly basis
| a Covers DVP and RVP settlement instructions. | |||||||||||||||
| b Covers DWP and RWP settlement instructions. | |||||||||||||||
| c Covers DPFOD and CPFOD settlement instructions. | |||||||||||||||
| d Covers DFP and RFP settlement instructions. | |||||||||||||||
| Date (for each reporting day in the month) | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Type of financial instruments | Type of transaction | Internal vs Cross-system | Type of instruction | Failure to deliver securities | Failure to deliver cash | ||||||||||
| Settlement fails | Total Instructions | Rate of fails | Settlement fails | Total Instructions | Rate of fails | ||||||||||
| Volume | Value (EUR) | Volume | Value (EUR) | Volume | Value (EUR) | Volume | Value (EUR) | Volume | Value (EUR) | Volume | Value (EUR) | ||||
| Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU | Purchase or sale of financial instruments | Intra-CSD | DVPa | ||||||||||||
| DWPb | |||||||||||||||
| PFODc | |||||||||||||||
| FoPd | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Collateral management operations | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Securities lending and securities borrowing | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Repurchase transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Other transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU | Purchase or sale of financial instruments | Intra-CSD | DVP | ||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Collateral management operations | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Securities lending and securities borrowing | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Repurchase transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Other transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU | Purchase or sale of financial instruments | Intra-CSD | DVP | ||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Collateral management operations | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Securities lending and securities borrowing | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Repurchase transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Other transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU | Purchase or sale of financial instruments | Intra-CSD | DVP | ||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Collateral management operations | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Securities lending and securities borrowing | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Repurchase transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Other transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU | Purchase or sale of financial instruments | Intra-CSD | DVP | ||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Collateral management operations | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Securities lending and securities borrowing | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Repurchase transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Other transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Units in collective investment undertakings, other than ETFs | Purchase or sale of financial instruments | Intra-CSD | DVP | ||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Collateral management operations | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Securities lending and securities borrowing | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Repurchase transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Other transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Money market instruments other than Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU | Purchase or sale of financial instruments | Intra-CSD | DVP | ||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Collateral management operations | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Securities lending and securities borrowing | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Repurchase transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Other transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Emission allowances | Purchase or sale of financial instruments | Intra-CSD | DVP | ||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Collateral management operations | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Securities lending and securities borrowing | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Repurchase transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Other transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Other financial instruments | Purchase or sale of financial instruments | Intra-CSD | DVP | ||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Collateral management operations | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Securities lending and securities borrowing | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Repurchase transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Other transactions | Intra-CSD | DVP | |||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
| Cross-CSD | DVP | ||||||||||||||
| DWP | |||||||||||||||
| PFOD | |||||||||||||||
| FoP | |||||||||||||||
ANNEX IIU.K. Information on settlement fails to be reported by CSDs to the competent authorities and relevant authorities on an annual basis
Table 1
| No | Details to be reported | Format |
|---|---|---|
| 1. | Country code for the jurisdiction in which the CSD is established | ISO 3166 2 character country code |
| 2. | Securities settlement system operated by the CSD | Free text |
| 3. | Reporting timestamp (CSD to competent authority/relevant authority) | ISO 8601 date in the UTC time format YYYY-MM-DDThh:mm:ssZ |
| 4. | Reporting period: beginning and end dates of the period covered by the report | ISO 8601 date in the format YYYY-MM-DD-YYYY-MM-DD |
| 5. | CSD Legal Entity Identifier | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code |
| 6. | Corporate name of the CSD | Free text |
| 7. | Name of the person responsible for the report sent by the CSD | Free text |
| 8. | Function of the person responsible for the report sent by the CSD | Free text |
| 9. | Phone number of the person responsible for the report sent by the CSD | Only numerical characters may be used. The phone number must be provided with the country code and the local area code. No special characters may be used. |
| 10. | Email address of the person responsible for the report sent by the CSD | Email addresses must be supplied using the standard email address convention. |
| 11. | Measures to improve settlement efficiency | Free text |
| 12. | Main reasons for settlement fails (annual summary of the reasons for settlement fails included in the monthly reports) | Free text |
| 13. | Annual volume of settlement instructions | Up to 20 numerical characters reported as whole numbers without decimals. |
| 14. | Annual volume of settlement fails (covering both settlement fails for lack of securities and lack of cash) | Up to 20 numerical characters reported as whole numbers without decimals. |
| 15. | Annual rate of settlement fails based on volume (annual number of settlement fails/annual number of settlement instructions) (covering both settlement fails for lack of securities and lack of cash) | Percentage value up to 2 decimal places |
| 16. | Annual value (EUR) of settlement instructions | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character |
| 17. | Annual value (EUR) of settlement fails (covering both settlement fails for lack of securities and lack of cash) | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character |
| 18. | Annual rate of settlement fails based on value (annual value of settlement fails/annual value of settlement instructions) (covering both settlement fails for lack of securities and lack of cash) | Percentage value up to 2 decimal places |
| 19. | Eligible for derogation under Article 12 of the delegated regulation on settlement discipline, including the justification | YES/NO Free text |
ANNEX IIIU.K. Report on settlement fails to be made public on an annual basis
Table 1
| No. | Details to be published | Format |
|---|---|---|
| 1. | Reporting period | ISO 8601 date in the format YYYY-MM-DD-YYYY-MM-DD |
| 2. | CSD Legal Entity Identifier | ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code |
| 3. | Securities settlement system operated by the CSD | Free text |
| 4. | Number of settlement instructions during the period covered by the report | Up to 20 numerical characters reported as whole numbers without decimals. |
| 5. | Value (EUR) of settlement instructions during the period covered by the report | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. |
| Data on failure to deliver securities | ||
| 6. | Number of settlement fails due to failure to deliver securities | Up to 20 numerical characters reported as whole numbers without decimals. |
| 7. | Value (EUR) of settlement fails due to failure to deliver securities | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. |
| 8. | Rate of settlement fails based on volume of settlement instructions | Percentage value up to 2 decimal places. |
| 9. | Rate of settlement fails based on value of settlement instructions | Percentage value up to 2 decimal places. |
| Data on failure to deliver cash | ||
| 10. | Number of settlement fails due to failure to deliver cash | Up to 20 numerical characters reported as whole numbers without decimals. |
| 11. | Value (EUR) of settlement fails due to failure to deliver cash | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. |
| 12. | Rate of settlement fails based on volume of settlement instructions | Percentage value up to 2 decimal places. |
| 13. | Rate of settlement fails based on value (EUR) of settlement instructions | Percentage value up to 2 decimal places |
| Data covering both settlement fails for lack of securities and lack of cash | ||
| 14. | Total number of settlement fails (covering both settlement fails for lack of securities and lack of cash) | Up to 20 numerical characters reported as whole numbers without decimals. |
| 15. | Total value (EUR) of settlement fails (covering both settlement fails for lack of securities and lack of cash) | Up to 20 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. |
| 16. | Rate of settlement fails based on volume of settlement instructions | Percentage value up to 2 decimals places |
| 17. | Rate of settlement fails based on value of settlement instructions | Up to 5 numerical characters including decimals. At least one character before and one character after the decimal mark shall be populated. The decimal mark is not counted as a numerical character. |
| 18. | Measures to improve settlement efficiency | Free text |
Options/Help
Print Options
PrintThe Whole Regulation
PrintThe Annexes only
Legislation is available in different versions:
Latest Available (revised):The latest available updated version of the legislation incorporating changes made by subsequent legislation and applied by our editorial team. Changes we have not yet applied to the text, can be found in the ‘Changes to Legislation’ area.
Original (As adopted by EU): The original version of the legislation as it stood when it was first adopted in the EU. No changes have been applied to the text.
See additional information alongside the content
Geographical Extent: Indicates the geographical area that this provision applies to. For further information see ‘Frequently Asked Questions’.
Show Timeline of Changes: See how this legislation has or could change over time. Turning this feature on will show extra navigation options to go to these specific points in time. Return to the latest available version by using the controls above in the What Version box.
Opening Options
Different options to open legislation in order to view more content on screen at once
More Resources
Access essential accompanying documents and information for this legislation item from this tab. Dependent on the legislation item being viewed this may include:
- the original print PDF of the as adopted version that was used for the EU Official Journal
- lists of changes made by and/or affecting this legislation item
- all formats of all associated documents
- correction slips
- links to related legislation and further information resources
Timeline of Changes
This timeline shows the different versions taken from EUR-Lex before exit day and during the implementation period as well as any subsequent versions created after the implementation period as a result of changes made by UK legislation.
The dates for the EU versions are taken from the document dates on EUR-Lex and may not always coincide with when the changes came into force for the document.
For any versions created after the implementation period as a result of changes made by UK legislation the date will coincide with the earliest date on which the change (e.g an insertion, a repeal or a substitution) that was applied came into force. For further information see our guide to revised legislation on Understanding Legislation.
More Resources
Use this menu to access essential accompanying documents and information for this legislation item. Dependent on the legislation item being viewed this may include:
- the original print PDF of the as adopted version that was used for the print copy
- correction slips
Click 'View More' or select 'More Resources' tab for additional information including:
- lists of changes made by and/or affecting this legislation item
- confers power and blanket amendment details
- all formats of all associated documents
- links to related legislation and further information resources
All content is available under the Open Government Licence v3.0 except where otherwise stated. This site additionally contains content derived from EUR-Lex, reused under the terms of the Commission Decision 2011/833/EU on the reuse of documents from the EU institutions. For more information see the EUR-Lex public statement on re-use.