ANNEX IIU.K. Information to be provided in an application for registration under Article 34 of Regulation (EU) 2016/1011
‘A’ means ‘Applicable’
‘N/A’ means ‘Not applicable’
| a Unless already supervised by the same competent authority for other activities than the provision of benchmarks | |||
| b An applicant may choose not to provide information relating to point 3(a)(iii) of Annex I, in respect of a significant or non-significant benchmark it provides. | |||
| c An applicant may omit to provide information relating to point 4(a)(iii) of Annex I — with the exception of information on the establishment and maintenance of a permanent oversight function — points 4(a)(iv) and 4(a)(v) of Annex I — for some of the information to be provided on the control and accountability framework — in respect of a non-significant benchmark it provides. | |||
| d A supervised entity which provides both significant and non-significant benchmarks may provide such information in the form of a summary with reference to its non-significant benchmarks. | |||
| e An applicant may choose not to provide information relating to input data being verifiable in respect of a non-significant benchmark that it provides. | |||
| f A supervised entity which provides both significant and non-significant benchmarks may provide such information only for the significant benchmarks it provides. | |||
| Item in Annex I | Supervised entities providing only non-critical benchmarks | Entities providing only non-significant benchmarks | |
|---|---|---|---|
| (1) General information | |||
| 1(a) | Full name | A | A |
| 1(b) | Address | A | A |
| 1(c) | Legal status | A | A |
| 1(d) | Website | A | A |
| 1(e) | Contact person | A | A |
| 1(f) | Current authorisation status | Aa | Aa to supervised entities N/A to non-supervised entities |
| 1(g) | Operations conducted | Aa | Aa |
| 1(h) | Constitutional documents | Aa | Aa |
| 1(i) | Group structure | Aa | Aa |
| 1(j) | Self-declaration of good repute | Aa | Aa |
| 1(k) | Number of benchmarks | A | A |
| (2) Organisational structure and governance | |||
| 2(a) | Internal organisational structure | A | A |
| 2(b) | Employees | A | A |
| 2(c) | Human resources | A | N/A |
| (3) Conflicts of interest | |||
| 3(a) | Policies and procedures | Ab | Ab in the form of a summary |
| 3(b) | Material conflicts of interest | A | N/A |
| 3(c) | Remuneration structure | A | A |
| (4) Internal control structure, oversight and accountability framework | |||
| 4(a) | Policies and procedures for monitoring the activities of the provision of a benchmark | A | Ac in the form of a summary |
| 4(b) | Internal arrangements for determining and publishing a benchmark | A | A in the form of a summary |
| 4(c) | Internal reporting of infringements | A | A in the form of a summary |
| (5) Description of benchmarks provided | |||
| 5(a) | Description | Ad | A in the form of a summary |
| 5(b) | Underlying market | Ad | A in the form of a summary |
| 5(c) | Contributors | Ad | A in the form of a summary |
| 5(d) | Corrections | Ad | A in the form of a summary |
| 5(e) | Changes to and cessation | Ad | A in the form of a summary |
| (6) Input data and methodology | |||
| 6(a)(i) | Description of input data used | Ad | A in the form of a summary |
| 6(a)(ii) | Input data — sufficient, appropriate and verifiable | Ad | Ae in the form of a summary |
| 6(a)(iii) | Contributors | Ad | A in the form of a summary |
| 6(a)(iv) | Evaluation of contributor's input data and validation of input data | Af | N/A |
| 6(b)(i) | Description of the methodology | Ad | A in the form of a summary |
| 6(b)(ii)(1) | Validation/Review | Ad | A in the form of a summary |
| 6(b)(ii)(2) | Material change | Af | N/A |
| (7) Outsourcing | |||
| 7(a) | Contracts | Af | N/A |
| 7(b) | Outsourced functions | Af | A in the form of a summary |
| 7(c) | Control | Af | A in the form of a summary |
| (8) Others | |||
| 8(a) | Additional information | A | A |
| 8(b) | Form | A | A |