Commission Implementing Regulation (EU) 2024/2956 laying down implementing technical standards for standard templates for the register of information

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Commission Implementing Regulation (EU) 2024/2956 of 29 November 2024 laying down implementing technical standards for the application of Regulation (EU) 2022/2554 of the European Parliament and of the Council with regard to standard templates for the register of information (Text with EEA relevance)

Consolidated text: Commission Implementing Regulation (EU) 2024/2956 of 29 November 2024 laying down implementing technical standards for the application of Regulation (EU) 2022/2554 of the European Parliament and of the Council with regard to standard templates for the register of information (Text with EEA relevance)

Access initial legal act (

In force )

02/12/2024

ELI: http://data.europa.eu/eli/reg_impl/2024/2956/2024-12-02

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02024R2956 — EN — 02.12.2024 — 000.001

This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document

COMMISSION IMPLEMENTING REGULATION (EU) 2024/2956

of 29 November 2024

laying down implementing technical standards for the application of Regulation (EU) 2022/2554 of the European Parliament and of the Council with regard to standard templates for the register of information

(Text with EEA relevance)

(OJ L 2956 2.12.2024, p. 1)

Corrected by:

Corrigendum, OJ L 90725, 19.9.2025, p. 1 ((EU) 2024/29562024/2956)

▼B

COMMISSION IMPLEMENTING REGULATION (EU) 2024/2956

of 29 November 2024

(Text with EEA relevance)

Article 1

Definitions

For the purposes of this Regulation, the following definitions apply:

‘direct ICT third-party service provider’ means an ICT third-party service provider or ICT intra-group service provider that signed a contractual arrangement with:

(a)

a financial entity to provide its ICT services directly to that financial entity;

(b)

a financial or a non-financial entity to provide its services to other financial entities within the same group;

‘ICT service supply chain’ means a sequence of contractual arrangements connected with the ICT service being provided by the direct ICT third-party service provider to the financial entity, starting with the direct ICT third-party service provider which has one or multiple other ICT third-party service providers as counterparties (subcontractors);

‘rank’ means the position of an ICT third-party service provider in the ICT service supply chain.

Article 2

Ranking of ICT third-party providers in the supply chain

Financial entities shall assign a rank to each ICT third-party service provider. The rank shall be any natural number higher or equal to ‘1’ where the lower the natural number assigned to the rank, the closer the arrangement is to the financial entity.

The rank of the direct ICT third-party service provider in the ICT service supply chain shall always be ‘1’.

The rank of the subcontractor in the ICT service supply chain shall always be higher than ‘1’.

Article 3

General requirements for the templates of the register of information

Financial entities shall use the templates set out in Annex I to IV to maintain and update the register of information in accordance with Article 28(3) of Regulation (EU) 2022/2554, at entity level, or at sub-consolidated and consolidated level.

Financial entities shall ensure that the templates referred to in paragraph 1 include all of the following:

(a)

the relevant information in relation to all the ICT services provided by direct ICT third-party providers;

(b)

information on all subcontractors that effectively underpin ICT services supporting critical or important functions or material parts thereof.

Financial entities shall ensure that the information contained in the templates referred to in paragraph 1 is accurate and consistent. Financial entities shall review the information contained in the templates regularly and shall promptly correct any errors or discrepancies detected.

In case of groups, financial entities responsible for maintaining and updating the register of information at sub-consolidated and consolidated level shall ensure that information in relation to entity level in the consolidation is correct and consistent with the information at the sub-consolidated and consolidated level.

Financial entities shall ensure that the information contained in the templates referred to in paragraph 1 adhere to the following principles of data quality:

(a)

accuracy;

(b)

completeness;

(c)

consistency;

(d)

integrity;

(e)

uniformity;

(f)

validity.

Financial entities shall use a valid and active legal entity identifier (LEI) or the European Unique Identifier referred to in Article 16 of Directive (EU) 2017/1132 (‘EUID’), and where available both of these identifiers, to identify all of their ICT third-party service providers that are legal persons, except for individuals acting in a business capacity.

Where an ICT service provided by a direct ICT third-party service provider is supporting a critical or important function of the financial entities, financial entities shall ensure through the direct ICT third-party service provider, that all the subcontractors of the direct ICT third-party service provider included in the register of information in accordance with paragraph 2, point (b), which effectively underpin/support ICT services supporting critical or important functions, use a valid and active LEI or provide their EUID, and where available both of these identifiers, except if those subcontractors are individuals acting in a business capacity.

Article 4

Data format requirement

Unless otherwise specified in the instructions, each template composing the register of information shall be a table with a predefined number of columns and an indefinite number of rows.

Financial entities shall complete each data element with a single value. Where more than one value is valid for a specific data element, financial entities shall add an additional row in the corresponding template for each valid value.

Financial entities shall complete all data elements in the register of information at entity level, sub-consolidated and consolidated level, as applicable.

Article 5

Content of the register of information

Financial entities shall include in the register of information, in accordance with the instructions set out in Annex I, the following information:

(a)

general information on the financial entity maintaining and updating the register of information at entity, sub-consolidated and consolidated level, respectively, as specified in template B_01.01 of Annex I;

(b)

general information on the entities in the consolidation as specified in template B_01.02 of Annex I;

(c)

identification of the branches of financial entities located outside the home country listed in template B_01.02, where applicable, as specified in template B_01.03 of Annex I;

(d)

general information on the contractual arrangements as specified in template B_02.01 of Annex I;

(e)

specific information on the contractual arrangements as specified in template B_02.02 of Annex I;

(f)

information on the links between intra-group contractual arrangements and contractual arrangements with ICT third-party service providers which are not part of the group using the contractual reference numbers when part of the ICT service supply chain is intra-group as specified in template B_02.03 of Annex I;

(g)

information on the entities signing the contractual arrangements with the direct ICT third-party service providers for receiving ICT services or on behalf of the entities using the ICT services as specified in template B_03.01 of Annex I;

(h)

identification of the ICT third-party service providers signing the contractual arrangements for providing ICT services as specified in template B_03.02 of Annex I;

(i)

identification of the entities signing the contractual arrangements for providing ICT services to other entities in the consolidation as specified in template B_03.03 of Annex I;

(j)

information on the entities making use of the ICT services provided by the ICT third-party service providers as specified in template B_04.01 of Annex I;

(k)

information on the direct ICT third-party service providers and subcontractors, as specified in template B_05.01 of Annex I;

(l)

information on the ICT service supply chain, as specified in template B_05.02 of Annex I;

(m)

information on the identification of functions as specified in template B_06.01 of Annex I;

(n)

information on the assessment of the ICT services provided by ICT third-party service providers supporting a critical or important function or material parts thereof as specified in template B_07.01 of Annex I;

(o)

information on the terminology used by financial entities and the terms included in the closed lists and classification systems used when filling in the templates as specified in template B_99.01 of Annex I.

Where relevant for their risk management or contract management purposes, financial entities may include into the register of information additional information in the format that is most appropriate for the purposes of such additional information.

Article 6

Scope of the register of information at sub-consolidated and consolidated level

In the case of groups, the parent undertakings shall take into account the relevant sectorial Union legislation when determining which entities to be included in the register of information.

A register of information maintained and updated at sub-consolidated and consolidated levels shall include all financial entities and ICT intra-group service providers, which are part of the sub-group and group.

Article 7

Entry into force

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union .

This Regulation shall be binding in its entirety and directly applicable in all Member States.

ANNEX I

Instructions for completing the register of information

PART 1

GENERAL INSTRUCTIONS

Financial entities while maintaining and updating the register of information at entity, sub-consolidated and consolidated level, shall fill-in the templates of the register of information with data using the formats set out in the instructions in Part 2.

Part 2 lays down instructions to be followed by financial entities to complete each column of each template. When completing the information of certain columns, financial entities shall refer to Annexes II, III and IV or other external sources. In such cases, the reference to the relevant Annexes or external sources is indicated in the instructions.

List of the templates

Template Code

Template Name

Short Description

B_01.01

Entity maintaining the register of information

This template identifies the entity maintaining and updating the register of information at entity, sub-consolidated and consolidated level, respectively.

B_01.02

List of entities within the scope of consolidation

This template identifies all the entities belonging to the group. Where the financial entity responsible for maintaining and updating the register of information does not belong to a group, only that financial entity shall be reported in this template.

B_01.03

List of branches

This template identifies the branches of the financial entities referred to in template B_01.02.

B_02.01

Contractual arrangements – general information

This template lists all contractual arrangements with direct ICT third-party service providers.

For each contractual arrangement with a direct ICT third-party service provider, the financial entity maintaining the register of information shall assign a unique ‘contractual arrangement reference number’ to identify unambiguously the contractual arrangement itself.

B_02.02

Contractual arrangements – specific information

This template provides details in relation to each contractual arrangement listed in template B_02.01 with regard to:

(a) the ICT services included in the scope of the contractual arrangement;

(b) the functions of the financial entities supported by those ICT services;

(c) other important information in relation to the specific ICT services provided (e.g. notice period, law governing the arrangement, etc.).

B_02.03

List of intra-group contractual arrangements

This template identifies the links between intra-group contractual arrangements and contractual arrangements with ICT third-party service providers which are not part of the group using the contractual reference numbers when part of the ICT service supply chain.

B_03.01

Entities signing the contractual arrangements for receiving ICT service(s) or on behalf of the entities making use of the ICT service(s)

This template provides information on the entity signing the contractual arrangements with the direct ICT third-party service provider for the entity making use of the ICT services.

Where the register of information is maintained and updated at entity level, the entity signing the contractual arrangement and the entity making use of the ICT services is the financial entity maintaining and updating the register of information.

In the context of sub-consolidation and consolidation, the financial entity making use of the ICT services provided is not necessarily the entity signing the contractual arrangement with the ICT third-party service providers.

B_03.02

ICT third-party service providers signing the contractual arrangements for providing ICT service(s)

This template identifies all the ICT third-party service providers referred to in template B_05.01 signing the contractual arrangements referred to in template B_02.01 for providing the ICT services.

B_03.03

Entities signing the contractual arrangements for providing ICT service(s) to other entities within the scope of consolidation

This template identifies all the entities referred to in template B_01.02 signing the contractual arrangements referred to in template B_02.01 for providing the ICT services to other entities in the consolidation.

B_04.01

Entities making use of the ICT services

This template identifies all entities making uses of the ICT services provided by ICT third-party service providers and registered in the register of information.

The entities making use of the ICT services shall be either the financial entities in scope, or the ICT intra-group service providers.

Where the register of information is maintained and updated at entity level, the entity signing the contractual arrangement and the entity making use of the ICT services are the financial entity maintaining the register.

B_05.01

ICT third-party service providers

This template lists and provides general information to identify:

(a) the direct ICT third-party service providers;

(b) the ICT intra-group service providers;

(d) the ultimate parent undertaking of the ICT third-party service providers listed in points (a), (b) and (c).

B_05.02

ICT service supply chain

This template identifies and links the ICT third-party service providers that are part of the same ICT service supply chain.

Financial entities shall identify and rank the ICT third-party service providers for each ICT service included in each contractual arrangement.

Example: a financial entity has a contractual arrangement with an ICT third-party service provider (‘ICT third-party service provider X’) to receive 2 specific ICT services (‘ICT service A’ and ‘ICT service B’) and the service provider makes use of a subcontractor (‘ICT third-party service provider Y’) to provide one of those services (‘ICT service B’).

— In relation to ICT service A, the ICT service supply chain is composed of one ICT third-party service provider, ICT third-party service provider X, which will be ranked as number 1 in the template. ICT third-party service provider X is the direct ICT third-party service provider.

— In relation to ICT service B, the ICT service supply chain is composed of two ICT third-party service providers: — (a) ICT third-party service provider X, which will be ranked number 1 in the template. ICT third-party service provider X is the direct ICT third-party service provider.

(b) ICT third-party service provider Y, which will be ranked number 2 in the template. ICT third-party service provider Y is a subcontractor.

— All ICT third-party service providers belonging to the same ICT service supply chain share the same ‘contractual arrangement reference number’ as referred to in template B_02.01 and the same type of ICT services

B_06.01

Functions identification

This template identifies and provides information on the functions of the financial entity making use of the ICT services.

In the information to be provided in this template, financial entities shall include a unique identifier, the ‘function identifier’ for each combination of a financial entity’s LEI, licenced activity and function.

Example: a financial entity (LEI: 21USLEIC20231109J3Z8) which operates under two licensed activities (‘activity A’ and ‘activity B’) will be given two unique ‘function identifiers’ for the same function X (e.g. sales) performed for activity A and activity B, respectively. The function identifier will be:

F1 for the combination of “21USLEIC20231109J3Z8”“Activity A” and ‘Function X”

F2 for the combination of “21USLEIC20231109J3Z8”“Activity B” and ‘Function X”

B_07.01

Assessments of the ICT services

This template captures information in relation to the risk assessment of the ICT services (e.g. substitutability, date of last audit, etc.) when those ICT services are supporting a critical or important function or material part thereof.

B_99.01

Definitions from entities making use of the ICT Services

This template captures entity-internal explanations, meanings, and definitions of the closed set of indicators used by the financial entity in the register of information.

Example : In template B_07.01 the financial entity shall provide an indication of the impact of discontinuation of the ICT services by using a closed set of options (low, medium, high). In template B_99.01 the financial entity shall specify the meaning of those options.

PART 2

TEMPLATE-SPECIFIC INSTRUCTIONS

Instructions to complete template B_01.01 — Financial entity maintaining the register of information

Identify the financial entity maintaining and updating the register of information.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_01.01.0010

LEI of the financial entity maintaining the register of information

Alphanumerical

Identify the financial entity maintaining and updating the register of information using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard

Mandatory

B_01.01.0020

Name of the financial entity

Alphanumerical

Legal name of the financial entity maintaining and updating the register of information

Mandatory

B_01.01.0030

Country of the financial entity

Country

Identify the ISO 3166–1 alpha–2 code of the country where the license or the registration of the entity reported in the register of information has been issued.

Mandatory

B_01.01.0040

Type of financial entity

Closed set of options

Identify the type of financial entity using one of the options in the following closed list:

credit institutions;
payment institutions, including payment institutions exempted pursuant to Directive (EU) 2015/2366 of the European Parliament and of the Council ( 1 ) ;
account information service providers;
electronic money institutions, including electronic money institutions exempted pursuant to Directive 2009/110/EC of the European Parliament and of the Council ( 2 ) ;
investment firms;
crypto-asset service providers authorised under Regulation (EU) 2023/1114 of the European Parliament and of the Council ( 3 )
issuers of asset-referenced tokens authorised under Regulation (EU) 2023/1114;
central securities depositories;
central counterparties;
trading venues;
trade repositories;
managers of alternative investment funds;
management companies;
data reporting service providers;
insurance and reinsurance undertakings;
insurance intermediaries, reinsurance intermediaries and ancillary insurance intermediaries;
institutions for occupational retirement provision;
credit rating agencies;
administrators of critical benchmarks;
crowdfunding service providers;
securitisation repositories.
other financial entity;

Where the register of information is maintained at the group level by the parent undertaking, which is not itself subject to the obligation to maintain such register, i.e. it does not fall under the definition of financial entities set out in Article 2 of the Regulation (EU) 2022/2554 (e.g., financial holding company, mixed financial holding company or mixed-activity holding company) ‘Other financial entity’ option shall be chosen.

Mandatory

B_01.01.0050

Competent authority

Alphanumerical

Identify the competent authority referred to in Article 46 of Regulation (EU) 2022/2554 to which the register of information is reported.

Mandatory in case of reporting

B_01.01.0060

Date of the reporting

Date

Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of reporting

Mandatory in case of reporting

( 1 )

Directive (EU) 2015/2366 of the European Parliament and of the Council of 25 November 2015 on payment services in the internal market, amending Directives 2002/65/EC, 2009/110/EC and 2013/36/EU and Regulation (EU) No 1093/2010, and repealing Directive 2007/64/EC (OJ L 337, 23.12.2015, p. 35, ELI: http://data.europa.eu/eli/dir/2015/2366/oj).

( 2 )

Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC (OJ L 267, 10.10.2009, p. 7, ELI: http://data.europa.eu/eli/dir/2009/110/oj).

( 3 )

Regulation (EU) 2023/1114 of the European Parliament and of the Council of 31 May 2023 on markets in crypto-assets, and amending Regulations (EU) No 1093/2010 and (EU) No 1095/2010 and Directives 2013/36/EU and (EU) 2019/1937 (OJ L 150, 9.6.2023, p. 40, ELI: http://data.europa.eu/eli/reg/2023/1114/oj).

Instructions to complete template B_01.02 —List of financial entities within the scope of the register of information

Where the register of information is maintained and updated at sub-consolidated and consolidated level, this template identifies all the financial entities belonging to the sub-group and group. Where the financial entity responsible for maintaining and updating the register of information does not belong to a group, only that financial entity shall be reported in this template and the entry of this template shall be the same as template B_01.01.

Where an entity is acting on behalf of a financial entity for all the activities of the financial entity (including the ICT services), the direct ICT third-party service providers to that entity should be recorded in the relevant templates of the register of information of the financial entity. In such case, that entity is only registered as an entity maintaining the register and shall not be reported in this template.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_01.02.0010

LEI of the financial entity

Alphanumerical

Identify the financial entity reported in the register of information using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard

Mandatory

B_01.02.0020

Name of the financial entity

Alphanumerical

Legal name of the financial entity reported in the register of information

Mandatory

B_01.02.0030

Country of the financial entity

Country

Identify the ISO 3166–1 alpha–2 code of the country where the license or the registration of the financial entity reported in the register of information has been issued.

Mandatory

B_01.02.0040

Type of financial entity

Closed set of options

Identify the type of financial entity using one of the options in the following closed list:

credit institutions;
payment institutions, including payment institutions exempted pursuant to Directive (EU) 2015/2366;
account information service providers;
electronic money institutions, including electronic money institutions exempted pursuant to Directive 2009/110/EC;
investment firms;
crypto-asset service providers authorised under Regulation (EU) 2023/1114;
issuers of asset-referenced tokens authorised under Regulation (EU) 2023/1114;
central securities depositories;
central counterparties;
trading venues;
trade repositories;
managers of alternative investment funds;
management companies;
data reporting service providers;
insurance and reinsurance undertakings;
insurance intermediaries, reinsurance intermediaries and ancillary insurance intermediaries;
institutions for occupational retirement provision;
credit rating agencies;
administrators of critical benchmarks;
crowdfunding service providers;
securitisation repositories;
other financial entity;
non-financial entity: ICT intra-group service provider;
non-financial entity: other.

Mandatory

B_01.02.0050

Hierarchy of the financial entity within the group (where applicable)

Closed set of options

Determine the hierarchy of the financial entity in the consolidation using one of the options in the following closed list:

The financial entity is the ultimate parent undertaking in the consolidation;
The financial entity is the parent undertaking of a sub-consolidated part in the consolidation;
The financial entity is a subsidiary in the consolidation and is not a parent undertaking of a sub-consolidated part;
The financial entity is not part of a group;
The financial entity is a service provider to which the financial entity (or the third-party service provider acting on its behalf) is outsourcing all its operational activities.

Where an entity fulfils more than one options from the closed list above, the higher-level option applicable to this entity shall be selected.

Mandatory

B_01.02.0060

LEI of the direct parent undertaking of the financial entity

Alphanumerical

Identify the direct parent undertaking of the financial entity reported in the register of information using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard

Mandatory

B_01.02.0070

Date of last update

Date

Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of the last update or modification made in the register of information in relation to the financial entity.

Mandatory

B_01.02.0080

Date of integration in the register of information

Date

Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of integration of the financial entity into the register of information

Mandatory

B_01.02.0090

Date of deletion in the register of information

Date

Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of deletion of the financial entity from the register of information.

Where the financial entity has not been deleted, ‘9999-12-31’ shall be reported.

Mandatory

B_01.02.0100

Currency

Identify the ISO 4217 alphabetic code of the currency used for the preparation of the financial entity’s financial statements.

The currency reported shall be the same currency used by the financial entity for the preparation of the financial statements at entity, sub-consolidated or consolidated level, as applicable.

Mandatory only if B_01.02.0110 is reported

B_01.02.0110

Value of total assets of the financial entity

Monetary

Monetary value of total assets of the financial entity as reported in the financial entity’s annual financial statement of the year before the date of the last update of the register of information. Monetary value shall be reported in units.

Refer to Annex IV for the filling in this column.

Mandatory if the entity is a financial entity

Instructions to complete template B_01.03 — List of branches

Where a financial entity has branches located outside its home country, identify those branches through this template.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_01.03.0010

Identification code of the branch

Alphanumerical

Identify a branch of a financial entity located outside its home country using a unique code for each branch. One of the options in the following closed list shall be used:

(a) LEI of the branch if unique for this branch and different from B_01.03.0020;

(b) other identification code used by the financial entity to identify the branch (where the LEI of the branch is equivalent to the one in template B_01.03.0020 or equivalent to the LEI of another branch).

Mandatory

B_01.03.0020

LEI of the financial entity head office of the branch

Alphanumerical

As reported in B_01.02.0010

Identify the financial entity head office of the branch, using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard

Mandatory

B_01.03.0030

Name of the branch

Alphanumerical

Identify the name of the branch

Mandatory

B_01.03.0040

Country of the branch

Country

Identify the ISO 3166–1 alpha–2 code of the country where the branch is located.

Mandatory

Instructions to complete template B_02.01 — Contractual arrangements – General information

Financial entities shall designate a ‘contractual arrangement reference number’ for each contractual arrangement in the register of information. Where the external ICT third-party service provider is making use of subcontractors, financial entities shall not include in the register of information a ‘contractual arrangement reference number’ for arrangements between the external ICT third-party service providers and their subcontractors. In case of an ICT intra-group service provider, financial entities shall include the ‘contractual arrangement reference number’ between this ICT intra-group service provider and its ICT third-party service providers in this template and shall populate the template B_02.03 (List of intra-group contractual arrangements) accordingly.

The ‘contractual arrangement reference number’ shall refer to the following type of contractual arrangements:

(a)

any kind of standalone arrangements;

(b)

any kind of ‘overarching or framework arrangements’, including master and framework arrangements;

(c)

any kind of ‘subsequent or associated arrangements’, including implementing arrangements, subservice arrangements, order forms.

The contract reference number does not refer to any kind of service level agreement subordinated to any of the types of contractual arrangements referred to in points (a), (b) and (c) above.

Column Code

Column Name

Type

Fill -in Instruction

Fill-in Option

B_02.01.0010

Contractual arrangement reference number

Alphanumerical

Identify the contractual arrangement between the financial entity or, in case of a group, the group subsidiary and the direct ICT third-party service provider.

The contractual arrangement reference number is the internal reference number of the contractual arrangement assigned by the financial entity.

The contractual arrangement reference number shall be unique and consistent over time at entity, sub-consolidated and consolidated level, where applicable.

The contractual arrangement reference number shall be used consistently across all templates of the register of information when referring to the same contractual arrangement.

For the case where an entity is acting on behalf of a financial entity for all the activities of the financial entity including the ICT services (refer to recital 7) the contractual arrangement reference number can be the contractual arrangement between the entity and its direct ICT third-party service provider.

Mandatory

B_02.01.0020

Type of contractual arrangement

Closed set of options

Identify the type of contractual arrangement by using one of the options in the following closed list:

standalone arrangement;
overarching / master contractual arrangement;
subsequent or associated arrangement.

Mandatory

B_02.01.0030

Overarching contractual arrangement reference number

Alphanumerical

Not applicable if the contractual arrangement is the ‘overarching contractual arrangement’ or a ‘standalone arrangement’. In the other cases, report the contractual arrangement reference number of the overarching arrangement, which shall be equal to the value as reported in column B_02.01.0010 when reporting the overarching contractual arrangement.

Mandatory

B_02.01.0040

Currency of the amount reported in B_02.01.0050

Currency

Identify the ISO 4217 alphabetic code of the currency used to express the amount in B_02.01.0050.

Mandatory

B_02.01.0050

Annual expense or estimated cost of the contractual arrangement for the past year

Monetary

Annual expenses or estimated costs (or intragroup transfer) of the ICT services contractual arrangement for the past year. Monetary value shall be reported in units.

The annual expense or estimated cost shall be expressed in the currency reported in B_01.02.0040.

In case of an overarching arrangement with subsequent or associated arrangements, the sum of the annual expenses or estimated costs reported for the overarching arrangement and the subsequent or associated arrangements shall be equal to the total expenses or estimated costs for the overall contractual arrangement. There shall be no repetition or duplication of annual expenses or estimated costs. The following cases should be reflected:

(a) where the annual expenses or estimate costs are not determined at the level of the overarching arrangement (i.e. they are 0), the annual expenses or estimated costs shall be reported at the level of each subsequent or associated arrangements.

(b) where the annual expenses or estimated costs cannot be reported for each of the subsequent or associated arrangements, the total annual expenses or estimated costs shall be reported at the level of the overarching arrangement.

(c) where there are annual expenses or estimated costs related to each level of the arrangement, i.e. overarching and subsequent or associated, and that information is available, the annual expenses or estimated costs shall be reported without duplication at each level of the contractual arrangement.

Mandatory

Instructions to complete template B_02.02 — Contractual arrangements – Specific information

Financial entities shall fill in this template with the maximum level of granularity possible. Where the contractual arrangement includes multiple ICT services supporting multiple functions, financial entities shall use as many rows as the elements in the template by combining the ICT services covered in the contractual arrangement and the financial entity’s functions.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_02.02.0010

Contractual arrangement reference number

Alphanumerical

As reported in B_02.01.0010

Mandatory

B_02.02.0020

LEI of the financial entity making use of the ICT service(s)

Alphanumerical

As reported in B_04.01.0020

Identify the financial entity making use of the ICT service(s) using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard

Mandatory

B_02.02.0030

Identification code of the ICT third-party service provider

Alphanumerical

As reported in B_05.01.0010

Code to identify the ICT third-party service provider as reported in B_05.01.0010 for that provider.

Mandatory

B_02.02.0040

Type of code to identify the ICT third-party service provider

Pattern

As reported in B_05.01.0020

Type of code to identify the ICT third-party service provider in B_02.02.0030 as reported in B_05.01.0020 for that provider.

Mandatory

B_02.02.0050

Function identifier

Pattern

As defined by the financial entity in B_06.01.0010

Mandatory

B_02.02.0060

Type of ICT services

Closed set of options

One of the types of ICT services referred to in Annex III

Mandatory

B_02.02.0070

Start date of the contractual arrangement

Date

Identify the date of entry into force of the contractual arrangement as stipulated in the contractual arrangement using the ISO 8601 (yyyy–mm–dd) code

Mandatory

B_02.02.0080

End date of the contractual arrangement

Date

Identify the end date as stipulated in the contractual arrangement using the ISO 8601 (yyyy–mm–dd) code. Where the contractual arrangement is indefinite, it shall be filled in with ‘9999-12-31’. Where the contractual arrangement has been terminated on a date different than the end date, this shall be filled in with the termination date.

Where the contractual arrangement foresees a renewal, this shall be filled in with the date of the contract renewal as stipulated in the contractual arrangement.

Mandatory

B_02.02.0090

Reason of the termination or ending of the contractual arrangement

Closed set of options

Where the contractual arrangement has been terminated or ended, identify the reason of the termination or ending of the contractual arrangements using one of the options in the following closed list:

Termination not for cause: The contractual arrangement has expired/ended and has not been renewed by any of the parties;
Termination for cause: The contractual arrangement has been terminated, the ICT third-party service provider being in a breach of applicable law, regulations or contractual provisions;
Termination for cause: The contractual arrangement has been terminated, due to the fact that impediments of the ICT third-party service provider capable of altering the supported function have been identified;
Termination for cause: The contractual arrangement has been terminated due to weaknesses of the ICT third-party service provider regarding the management and security of sensitive data or information of any of the counterparties;
Termination following a request by a competent authority: The contractual arrangement has been terminated following a request by a competent Authority.
Other: The contractual arrangement has been terminated by any of the parties for any other reason than the reasons referred to in points 1 to 5.

Mandatory if the contractual arrangement is terminated

B_02.02.0100

Notice period for the financial entity making use of the ICT service(s)

Natural number

Identify the notice period for terminating the contractual arrangement by the financial entity in a business-as-usual case. The notice period shall be expressed as number of calendar days from the counterparty’s receipt of the request to terminate the ICT service.

Mandatory if the ICT service is supporting a critical or important function

B_02.02.0110

Notice period for the ICT third-party service provider

Natural number

Identify the notice period for terminating the contractual arrangement by the direct ICT third-party service provider in a business-as-usual case. The notice period shall be expressed as number of calendar days from the counterparty’s receipt of the request to terminate the ICT service.

Mandatory if the ICT service is supporting a critical or important function

B_02.02.0120

Country of the governing law of the contractual arrangement

Country

Identify the country of the governing law of the contractual arrangement using the ISO 3166–1 alpha–2 code.

Mandatory if the ICT service is supporting a critical or important function

B_02.02.0130

Country of provision of the ICT services

Country

Identify the country from where the ICT services are provided using the ISO 3166–1 alpha–2 code.

Mandatory if the ICT service is supporting a critical or important function

B_02.02.0140

Storage of data

[Yes/No]

Is the ICT service related to (or does it foresee) storage of data (even temporarily)?

One of the options provided in the following closed list:

Yes;
No.

Mandatory if the ICT service is supporting a critical or important function

B_02.02.0150

Location of the data at rest (storage)

Country

Identify the country of location of the data at rest (storage) using the ISO 3166–1 alpha–2 code.

If there are several countries of location, additional row(s) shall be used for each country.

Mandatory if ’Yes’ is reported in B_02.02.0140

B_02.02.0160

Location of management of the data (processing)

Country

Identify the country of location of the management of the data (processing) using the ISO 3166–1 alpha–2 code.

If there are several countries of location, additional row(s) shall be used for each country.

Mandatory if the ICT service is based on or foresees data processing

B_02.02.0170

Sensitiveness of the data stored by the ICT third-party service provider

Closed set of options

Identify the level of sensitiveness of the data stored or processed by the ICT third-party service provider using one of the options provided in the following closed list:

Low
Medium;
High.

The most sensitive data take precedence: e.g. if both ‘Medium’ and ‘High’ apply, then ‘High’ shall be selected.

Mandatory if the ICT third-party service provider stores data and if the ICT service is supporting a critical or important function or material part thereof

B_02.02.0180

Level of reliance on the ICT service supporting the critical or important function.

Closed set of options

One of the options in the following closed list shall be used:

Not significant;
Low reliance: in case of disruption of the services, the supported functions would not be significantly impacted (no interruption, no important damage) or disruption can be resolved quickly and with minimal impact on the functions supported;
Material reliance: in case of disruption of the services, the supported functions would be significantly impacted if the disruption lasts more than a few minutes/few hours, and the disruption may cause damages, but is still manageable;
Full reliance: in case of disruption of the services, the supported functions would be immediately and severely interrupted/damaged, for a long period.

Mandatory if the ICT service is supporting a critical or important function or material part thereof

Instructions to complete template B_02.03 — List of intra-group contractual arrangements

Template B_02.03 identifies contractual arrangements from the same ICT service supply chain using the intra-group contractual reference numbers in cases where the ICT service supply chain contains ICT intra-group service providers, i.e. where at least one of the ICT third-party service providers in the ICT service supply chain is an entity belonging to the same group of the entity making use of the ICT services.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_02.03.0010

Contractual arrangement reference number

Alphanumerical

Reference number of the contractual arrangement between the entity making use of the ICT service(s) provided and the ICT intra-group service provider.

The contractual arrangement reference number shall be unique and consistent over time and across all the group.

Mandatory

B_02.03.0020

Contractual arrangement linked to the contractual arrangement referred in B_02.03.0010

Alphanumerical

Contractual arrangement reference number of the contractual arrangement between the ICT intra-group service provider of the contractual arrangement in B_02.03.0010 and its direct ICT third-party service provider.

Mandatory

Instructions to complete template B_03.01 — Entities signing the contractual arrangements for receiving ICT service(s) on behalf of the financial entities making use of the ICT service(s)

Identify all the financial entities referred to in template B_01.02 signing the contractual arrangements referred to in template B_02.01 for receiving the ICT services. Where the register of information is maintained and updated at entity level the financial entity signing the contractual arrangements is the financial entity maintaining and updating the register of information itself.

The entities signing the contractual arrangement is not necessarily a financial entity nor the financial entity making use of the ICT services provided by the ICT third-party service provider.

For example, the entity signing the contractual arrangement referred to in the second subparagraph can be an ICT intra-group service provider, a financial or non-financial entity belonging to the same group of the financial entities making use of the ICT services provided by the ICT third-party service provider.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_03.01.0010

Contractual arrangement reference number

Alphanumerical

As reported in B_02.02.0010

Identify the contractual arrangement reference number signed by the undertaking

Mandatory

B_03.01.0020

LEI of the entity signing the contractual arrangement

Alphanumerical

Identify the undertaking signing the contractual arrangement using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard or the EUID.

Mandatory

Instructions to complete template B_03.02 — ICT third-party service providers signing the contractual arrangements for providing ICT service(s)

Identify all the ICT third-party service providers referred to in template B_05.01 signing the contractual arrangements referred to in template B_02.01 for providing the ICT services.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_03.02.0010

Contractual arrangement reference number

Alphanumerical

As reported in B_02.02.0010

Identify the contractual arrangement reference number signed by the ICT third-party service provider

Mandatory

B_03.02.0020

Identification code of ICT third-party service provider

Alphanumerical

As reported in B_05.01.0010

Code to identify the ICT third-party service provider as reported in B_05.01.0020 for that provider.

Mandatory

B_03.02.0030

Type of code to identify the ICT third-party service provider

Pattern

As reported in B_05.01.0020

Type of code to identify the ICT third-party service provider in B_03.02.0020 as reported in B_05.01.0020 for that provider.

Mandatory

Instructions to complete template B_03.03 — Financial entities signing the contractual arrangements for providing ICT service(s) to other financial entities in the consolidation.

Identify all financial entities referred to in template B_01.02 that have signed contractual arrangements as referred to in template B_02.01 for providing ICT services to other entities in the consolidation referred to in template B_01.02.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_03.03.0010

Contractual arrangement reference number

Alphanumerical

As reported in B_02.02.0010

Identify the reference number of the contractual arrangement signed by the entity for providing ICT service(s)

Mandatory

B_03.03.0020

LEI of the financial entity providing ICT services

Alphanumerical

As reported in B_01.02.0010

Identify the entity providing ICT services using LEI, 20-character, alpha-numeric code based on the ISO 17442 standard.

Mandatory

Instructions to complete template B_04.01 —Financial entities making use of the ICT services

All financial entities referred to in template B_01.02 and branches of financial entities referred to in template B_01.03 that are making use of the ICT services provided by an ICT third-party provider shall be reported in this template.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_04.01.0010

Contractual arrangement reference number

Alphanumerical

As reported in B_02.01.0010

Identify the reference number of the contractual arrangement in relation to the financial entity making use of the ICT services provided

Mandatory

B_04.01.0020

LEI of the financial entity making use of the ICT service(s)

Alphanumerical

Identify the financial entity making use of the ICT service(s) using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard

Mandatory

B_04.01.0030

Nature of the financial entity making use of the ICT service(s)

Closed set of options

One of the options in the following closed list shall be used:

The financial entity making use of the ICT service(s) is a branch of a financial entity
The financial entity making use of the ICT service(s) is not a branch

Mandatory

B_04.01.0040

Identification code of the branch

Alphanumerical

Identification code of the branch as reported in B_01.03.0010

Mandatory if the financial entity making use of the ICT service(s) is a branch of a financial entity (B_04.01.0030)

Instructions to complete template B_05.01 — ICT third-party service provider

Financial entities shall identify all the relevant ICT third-party service providers, including:

(a)

all the direct ICT third-party service providers;

(b)

all ICT intra-group service provider;

(c)

all subcontractors that are identified in template B_05.02 on the ICT service supply chain;

(d)

all ultimate parent undertakings of the ICT third-party service providers referred to in points (a), (b) and (c) above.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_05.01.0010

Identification code of ICT third-party service provider

Alphanumerical

Code to identify the ICT third-party service provider.

Where LEI is used, it shall be provided as a 20-character, alpha-numeric code based on the ISO 17442 standard.

Where EUID is used, it shall be provided as specified in Article 9 of the Commission Implementing Regulation (EU) 2021/1042.

Mandatory

B_05.01.0020

Type of code to identify the ICT third-party service provider

Pattern

Type of code to identify the ICT third-party service provider reported in B_05.01.0010 1. ‘LEI’ for LEI 2. ‘EUID’ for EUID 3. ‘CRN’ for Corporate registration number 4. ‘VAT’ for VAT number 5. ‘PNR’ for Passport Number 6. ‘NIN’ for National Identity Number Only LEI or EUID shall be used for legal persons, as identified in B_05.01.0070, whereas alternative code may be used only for an individual acting in a business capacity. Only LEI shall be used for legal persons that are not established in the Union. ◄

Mandatory

B_05.01.0030

Additional identification code of ICT third-party service provider

Alphanumerical

Additional code to identify the ICT third-party service provider, where available.

Optional

B_05.01.0040

Type of additional identification code to identify the ICT third-party service provider

Pattern

The type of additional code to identify the ICT third-party service provider reported in B_05.01.0030:

‘LEI’ for LEI
‘EUID’ for EUID
CRN for Corporate registration number
VAT for VAT number
PNR for Passport Number
NIN for National Identity Number

LEI or EUID shall be used for legal persons, as identified in B_05.01.0070, whereas alternative code may be used only for an individual acting in a business capacity.

Only LEI shall be used for legal persons that are not established in the Union.

Mandatory, if B_05.01.0030 is reported

B_05.01.0050

Legal name of the ICT third-party service provider

Alphanumerical

Legal name of the ICT third-party service provider as registered in business register in Latin, Cyrillic or Greek alphabets.

Mandatory

B_05.01.0060

Name of the ICT third-party service provider in Latin alphabet

Alphanumerical

Name of the ICT third-party service provider in Latin alphabet.

Where the name of the ICT third-party service provider reported in B_05.01.0050 is in Latin alphabet, it shall be repeated also in this data field.

Mandatory

B_05.01.0070

Type of person of the ICT third-party service provider

Closed set of options

One of the options in the following closed list shall be used:

Legal person, excluding individuals acting in business capacity
Individual acting in a business capacity

Mandatory

B_05.01.0080

Country of the ICT third-party service provider’s headquarters

Country

Identify the ISO 3166–1 alpha–2 code of the country in which the global operating headquarters of ICT third-party service provider are located (usually, this country is the country of tax residence).

Mandatory

B_05.01.0090

Currency of the amount reported in B_05.01.0100 ◄

Currency

Identify the ISO 4217 alphabetic code of the currency used to express the amount in B_05.01.0100.

The currency reported shall be the same currency used by the financial entity for the preparation of the financial statements at entity, sub-consolidated or consolidated level, as applicable.

Mandatory if B_05.01.0100 is reported

B_05.01.0100

Total annual expense or estimated cost of the ICT third-party service provider

Monetary

Annual expense or estimated cost for using the ICT services provided by the ICT third-party service provider to the entities making use of the ICT services. Monetary value shall be reported in units.

Mandatory if the ICT third-party service provider is a direct ICT third-party service provider

B_05.01.0110

Identification code of the ICT third-party service provider’s ultimate parent undertaking

Alphanumerical

Code to identify the ICT third-party service provider’s ultimate parent undertaking.

The code used to identify ultimate parent undertaking in this field shall match the identification code provided in B_05.01.0010 for that ultimate parent undertaking.

Where the ICT third-party service provider is not part of a group, the identification code used to identify that ICT third-party service provider in B_05.01.0010 shall be repeated also in this data field.

Mandatory if the ICT third-party service provider is not the ultimate parent undertaking

B_05.01.0120

Type of code to identify the ICT third-party service provider’s ultimate parent undertaking

Pattern

Type of code to identify the ICT third-party service provider’s ultimate parent undertaking in B_05.01.0110.

The type of the code used to identify ultimate parent undertaking in this field shall match the identification code provided in B_05.01.0020 for that ultimate parent undertaking.

Where the ICT third-party service provider is not part of a group, the type of the identification code used to identify that ICT third-party service provider in B_05.01.0020 shall be repeated also in this data field.

Mandatory if the ICT third-party service provider is not the ultimate parent undertaking

Instructions to complete template B_05.02 — ICT service supply chains

This template identifies and links the ICT third-party service providers that are part of the same ICT service supply chain together.

The ICT service supply chain shall include, where applicable:

(a)

all direct ICT third-party service providers;

(b)

all ICT intragroup service providers;

(c)

for the ICT services supporting a critical or important function or material part thereof, all subcontractors that effectively underpin the provision of those ICT services (i.e. all the subcontractors providing ICT services whose disruption would impair the security or the continuity of the service provision);

(d)

where an ICT intragroup service provider uses subcontractors to provide their ICT services to the financial entity, at least the first extra-group subcontractor even if the ICT services provided do not support a critical or important function or material parts thereof.

All ICT third-party service providers belonging to the same ICT service supply chain share:

(a)

the same ‘contractual arrangement reference number’ as referred to in template B_02.01;

(b)

the same ‘type of ICT services’ as referred to in Annex III;

Each ICT third-party service provider that belongs to the same ICT service supply chain is assigned with a ‘rank’ (template B_05.02.0050) to identify its position within the ICT service supply chain. Where multiple ICT third-party service providers have the same position within the same ICT service supply chain, those providers shall be assigned with the same ‘rank’. In accordance with Article 2, the direct ICT third-party service providers are therefore at rank 1. If the rank is higher than 1, the ICT third-party service providers are subcontractors.

To link the ICT third-party service providers that belong to the same ICT service supply chain together, for each ICT subcontractor (i.e. where the ‘rank’ is higher than 1) financial entities shall identify the ICT third-party service provider that receives its subcontracted services. The identification of the ICT third-party service provider that receives the subcontracted services shall be carried out by using the columns B_05.02.0060 and B_05.02.0070.

For each ICT service supply chain (i.e., a combination of a "contractual arrangement reference number" and a "type of ICT services", where there are multiple ICT third-party service providers receiving the subcontracted services, all of those service providers shall be reported in separate rows in the template. The same logic applies at each rank of the ICT service supply chain.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_05.02.0010

Contractual arrangement reference number

Alphanumerical

As reported in B_02.01.0010

Mandatory

B_05.02.0020

Type of ICT services

Closed set of options

One of the types of ICT services referred to in Annex III

Mandatory

B_05.02.0030

Identification code of the ICT third-party service provider

Alphanumerical

As reported in B_05.01.0010 for that ICT third-party service provider.

Examples:

— The identification code of the direct ICT third-party service provider providing ICT service to the financial entity making use of it;

— The identification code of the subcontractor at rank 2 providing service to the direct ICT third-party service provider.

Mandatory

B_05.02.0040

Type of code to identify the ICT third-party service provider

Pattern

As reported in B_05.01.0020 for that ICT third-party service provider.

Mandatory

B_05.02.0050

Rank

Natural number

Where the ICT third-party service provider is signing the contractual arrangement with the financial entity, it is considered as a direct ICT third-party service provider and the ‘rank’ to be reported shall be 1;

Where the ICT third-party service provider is signing the contract with the direct ICT third-party service provider, it is considered as a subcontractor and the ‘rank’ to be reported shall be 2;

The same logic apply to all the following subcontractors by incrementing the ‘rank’.

Where multiple ICT third-party service providers have the same ‘rank’ in the ICT service supply chain, financial entities shall report the same ‘rank’ for all those ICT third-party service providers.

Mandatory

B_05.02.0060

Identification code of the recipient of sub-contracted ICT services

Alphanumerical

To be left blank if the ICT third-party service provider (template B_05.02.0030) is a direct ICT third-party service provider i.e. at ‘rank’ r = 1 (template B_05.02.0050);

Where the ICT third-party service provider is at ‘rank’ r = n where n>1, indicate the ‘Identification code of the recipient of the sub-contracted services’ at ‘rank’ r=n-1 that subcontracted the ICT service (even partially) to the ICT third-party service provider at ‘rank’ r=n.

Examples:

— The identification code of the direct ICT third-party service provider receiving the service from the subcontractor at rank 2;

— The identification code of the subcontractor at rank 2 receiving the service from the subcontractor at rank 3.

The code used to identify the recipient of sub-contracted ICT services shall match the identification code provided in B_05.01.0010 for that provider.

Mandatory Not applicable for rank 1

B_05.02.0070

Type of code to identify the recipient of sub-contracted ICT services

Pattern

To be left blank where the ICT third-party service provider template B_05.02.0030) is at rank r = 1 (template B_05.02.0050);

Where the ICT third-party service provider is at ‘rank’ r = n where n>1, indicate the ‘Type of code to identify the recipient of the sub-contracted service’ at ‘rank’ r=n-1 that subcontracted the ICT service (even partially) to the ICT third-party service provider at ‘rank’ r=n.

‘LEI’ for LEI
‘EUID’ for EUID
CRN for Corporate registration number
VAT for VAT number
PNR for Passport Number
NIN for National Identity Number

The type of code used to identify the recipient of sub-contracted ICT services shall match the identification code provided in B_05.01.0020 for that provider.

Mandatory Not applicable for rank 1

Instructions to complete template B_06.01 — Functions identification

Financial entities shall identify and provide information on all functions of the financial entity according to the financial entity’s internal organisation supported by an ICT service provided by ICT third-party service providers.

Each combination of the following items shall have a unique function identifier assigned:

(a)

‘LEI of the financial entity making use of the ICT service(s)’ column B_06.01.0040;

(b)

‘Licenced activity’ column B_06.01.0020;

(c)

‘Function name’ column B_06.01.0030.

Financial entities shall use as many rows as the elements in the template by combining the two items above to fill-in this template.

Column Code

Column Name

Type

Instruction

Fill-in Option

B_06.01.0010

Function Identifier

Pattern

The function identifier shall be composed by the letter F (capital letter) followed by a natural number (e.g. “F1” for the 1 st function identifier and “ Fn ” for the n th function identifier with “n” being a natural number).

Each combination between ‘LEI of the financial entity making use of the ICT service(s)’ (B_06.01.0040), ‘Function name’ (B_06.01.0030) and ‘Licenced activity’ (B_06.01.0020) shall have a unique function identifier.

Example: a financial entity which operates under two licensed activities (‘activity A’ and ‘activity B’) will be given two unique ‘function identifiers’ for the same function X (e.g. Sales) performed for activity A and activity B.

Mandatory

B_06.01.0020

Licenced activity

Closed set of options

One of the licenced activities referred to in the underlying legal acts listed in Annex II for the different types of financial entities.

Where the function is not linked to a registered or licenced activity, ‘support functions’ shall be reported.

Mandatory

B_06.01.0030

Function name

Alphanumerical

Function name according to the financial entity’s internal organisation.

Mandatory

B_06.01.0040

LEI of the financial entity

Alphanumerical

As reported in B_04.01.0020

Identify the financial entity using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard

Mandatory

B_06.01.0050

◄

Criticality or importance assessment

Closed set of options

Use this column to indicate whether the function is critical or important according to the financial entity’s assessment. One of the options in the following closed list shall be used:

Yes;
No;
Assessment not performed.

Mandatory

B_06.01.0060

◄

Reasons for criticality or importance

Alphanumerical

Brief explanation on the reasons for classifying the function as critical or important (300 characters maximum)

Optional

B_06.01.0070

◄

Date of the last assessment of criticality or importance

Date

Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of the last assessment of criticality or importance in case the function is supported by ICT services provided by ICT third-party service providers.

Where the assessment of the function’s criticality or importance is not performed, it shall be filled in with ‘9999-12-31’

Mandatory

B_06.01.0080

◄

Recovery time objective of the function

Natural number

In number of hours. Where the recovery time objective is less than 1 hour, ‘1’ shall be reported. Where the recovery time objective of the function is not defined, ‘0’ shall be reported.

Mandatory

B_06.01.0090

◄

Recovery point objective of the function

Natural number

In number of hours. Where the recovery point objective is less than 1 hour, ‘1’ shall be reported. Where the recovery point objective of the function is not defined, ‘0’ shall be reported.

Mandatory

B_06.01.0100

◄

Impact of discontinuing the function

Closed set of options

Use this column to indicate the impact of discontinuing the function according to the financial entity’s assessment. One of the options in the following closed list shall be used:

Low
Medium;
High;
Assessment not performed.

Mandatory

Instructions to complete template B_07.01 — Assessment of the ICT services

When supporting a critical or important function or material parts thereof, this template enables further assessments of the ICT services provided by ICT third-party service providers, including the first extra-group subcontractor in the ICT service supply chain when the prior ICT third-party service providers are intra-group, to the financial entity.

Column Code

Column Name

Type

Fill-in Instruction

Fill-in Option

B_07.01.0010

Contractual arrangement reference number

Alphanumerical

As reported in B_02.01.0010

Mandatory

B_07.01.0020

Identification code of the ICT third-party service provider

Alphanumerical

As reported in B_05.01.0010

Mandatory

B_07.01.0030

Type of code to identify the ICT third-party service provider

Pattern

As reported in B_05.01.0020

Mandatory

B_07.01.0040

Type of ICT services

Closed set of options

One of the types of ICT services referred to in Annex III

Mandatory

B_07.01.0050

Substitutability of the ICT third-party service provider

Closed set of options

Use this column to provide the results of the financial entity’s assessment in relation to the degree of substitutability of the ICT third-party service provider to perform the specific ICT services supporting a critical or important function.

One of the options in the following closed list shall be used:

Not substitutable;
Highly complex substitutability;
Medium complexity in terms of substitutability;
Easily substitutable.

Mandatory

B_07.01.0060

Reason where the ICT third-party service provider is considered not substitutable or difficult to be substitutable

Closed set of options

One of the options in the following closed list shall be used:

The lack of real alternatives, even partial, due to the limited number of ICT third-party service providers active on a specific market, or the market share of the relevant ICT third-party service provider, or the technical complexity or sophistication involved, including in relation to any proprietary technology, or the specific features of the ICT third-party service provider’s organisation or activity;
Difficulties in relation to a partial or full migration of the relevant data and workloads from the relevant ICT third- party service provider to another ICT third-party service provider or by reintegrating them in the financial entity’s operations, due either to significant financial costs, time or other resources that the migration process may entail, or to an increased ICT risk or other operational risks to which the financial entity might be exposed;
Both reasons referred to in points 1 and 2.

Mandatory in case “not substitutable” or “highly complex substitutability” is selected in B_07.01.0041

B_07.01.0070

Date of the last audit on the ICT third-party service provider

Date

Use this column to provide the date of the last audit on the specific ICT services provided by the ICT third-party service provider.

This column relates to audits conducted by any of the following:

(a) the internal audit department or any other additional qualified personnel of the financial entity;

(b) a joint team together with other clients of the same ICT third-party service provider (‘pooled audit’);

This column does not relate to the reception or reference date of third-party certifications or internal audit reports of the ICT third-party service provider, the annual monitoring date of the arrangement by the financial entity or the date of review of the risk assessment performed by the financial entity.

This column shall be used to report all types of audits performed by any of the subjects referred to in points (a), (b) and (c) concerning fully or partially the ICT services provided by the ICT third-party service provider.

To report the date, the ISO 8601 (yyyy–mm–dd) code shall be used.

Where no audit has been performed, it shall be filled in with ‘9999-12-31’.

Mandatory

B_07.01.0080

Existence of an exit plan

[Yes/No]

Use this column to report the existence of an exit plan from the ICT third-party service provider in relation to the specific ICT service provided.

One of the options in the following closed list shall be used:

Yes;
No.

Mandatory

B_07.01.0090

Possibility of reintegration of the contracted ICT service

Closed set of options

One of the options in the following closed list shall be used:

Easy;
Difficult;
Highly complex.

Use this column where the ICT service is provided by an ICT third-party service provider that is not an ICT intra-group service provider

Mandatory

B_07.01.0100

Impact of discontinuing the ICT services

Closed set of options

Use this column to provide the impact for the financial entity of discontinuing the ICT services provided by the ICT third-party service provider according to the financial entity’s assessment.

One of the options in the following closed list shall be used:

Low
Medium;
High;
Assessment not performed.

Mandatory

B_07.01.0110

Are there alternative ICT third-party service providers identified?

Closed set of options

One of the options in the following closed list shall be used: 1. Yes; 2. No;

Assessment not performed. ◄

For each ICT third-party service provider supporting a critical or important function, the assessment to identify an alternative service provider shall be performed.

Mandatory

B_07.01.0120

Identification of alternative ICT TPP

Alphanumerical

If ‘Yes’ is reported in B_07.01.0110, additional information may be provided in this column

Optional

Instructions to complete template B_99.01 — Terminology used by financial entities using the ICT services

Financial entities shall provide entity-internal explanations, meanings, and definitions of the closed set of indicators and options used by them in the register of information.

B_99.01.C0010

B_99.01.C0020

B_99.01.C0030

B_99.01.C0040

Column Code

Column Name

Option

Description/Internal definition of the option

B_99.01.R0010

B_02.01.0020

Type of contractual arrangement

Standalone arrangement

B_99.01.R0020

Overarching arrangement

B_99.01.R0030

Subsequent or associated arrangement

B_99.01.R0040

B_02.02.0170

Sensitiveness of the data stored by the ICT third-party service provider

B_99.01.R0050

Medium

B_99.01.R0060

High

B_99.01.R0070

B_06.01.0110

Impact of discontinuing the function

B_99.01.R0080

Medium

B_99.01.R0090

High

B_99.01.R0100

B_07.01.0050

Substitutability of the ICT third-party service provider

Not substitutable

B_99.01.R0110

Highly complex substitutability

B_99.01.R0120

Medium complexity in terms of substitutability

B_99.01.R0130

Easily substitutable

B_99.01.R0140

B_07.01.0090

Possibility of reintegration of the contracted ICT service

Easy

B_99.01.R0150

Difficult

B_99.01.R0160

Highly complex

B_99.01.R0170

B_07.01.0100

Impact of discontinuing the ICT services

B_99.01.R0180

Medium

B_99.01.R0190

High

ANNEX II

List of activities by type of entity

Type of entity

List of activities and services

(a) credit institutions

Activities listed in Annex I to Directive 2013/36/EU and activities listed in Section A and B of Annex I to Directive 2014/65/EU

(b) payment institutions, including payment institutions exempted pursuant to Directive (EU) 2015/2366

Activities listed in Annex I to Directive (EU) 2015/2366

Account information services as referred to in point (8) of Annex I to Directive (EU) 2015/2366

(d) electronic money institutions, including electronic money institutions exempted pursuant to Directive 2009/110/EC

Issuing electronic money in accordance with Directive 2009/110/EC and the activities listed in Annex I to Directive (EU) 2015/2366

(e) investment firms

Investment services and activities listed in Section A and B of Annex I to Directive 2014/65/EU

(f) crypto-asset service providers authorised under Regulation (EU) 2023/1114

Services and activities listed in Article 3, point (16), of Regulation (EU) 2023/1114

(g) issuers of asset-referenced tokens authorised under Regulation (EU) 2023/1114

Activities referred to in Article 16(1) of Regulation (EU) 2023/1114

(h) central securities depositories

Activities listed in Annex to Regulation (EU) No 909/2014 of the European Parliament and of the Council ( 1 )

(i) central counterparties

Activity of central counterparties as defined in Article 2, point (1), of Regulation (EU) No 648/2012

(j) trading venues

Activity of trading venues as defined in Article 4(21-24), of Directive 2014/65/EU

(k) trade repositories

Activities of trade repositories as defined in Article 2, point (2), of Regulation (EU) No 648/2012 and in Article 3, point (1), of Regulation (EU) No 2015/2365 of the European Parliament and of the Council ( 2 )

(l) managers of alternative investment funds

Activities listed in Article 6(4) and in Annex I to Directive 2011/61/EU of the European Parliament and of the Council ( 3 )

(m) management companies

Activities listed in Article 6(3) and in Annex II to Directive 2009/65/EC of the European Parliament and of the Council ( 4 )

(n) data reporting service providers

Services referred to in Article 2(1), points (34), (35) and (36), of Regulation (EU) No 600/2014 of the European Parliament and of the Council ( 5 )

(o) insurance and reinsurance undertakings

Activities authorised for (i) the classes of non-life insurance as referred to in Section B of Annex I to Directive 2009/138/EC of the European Parliament and of the Council ( 6 ) : (ii) classes of life insurance as referred to in Annex II to that Directive: (iii) non-life reinsurance activities and (iv) life reinsurance activities as referred to in article 15(5) of that Directive.

(p) insurance intermediaries, reinsurance intermediaries and ancillary insurance intermediaries

Activities of insurance and reinsurance distribution as defined in Article 2(1), points (1) and (2), of Directive (EU) 2016/97 of the European Parliament and of the Council ( 7 )

(q) institutions for occupational retirement provision

Activities of institutions for occupational retirement provision as referred to in Article 7 of Directive (EU) 2016/2341 of the European Parliament and of the Council ( 8 )

(r) credit rating agencies

Activities of credit rating agencies as referred to in Article 3(1), points (a) and (b), of Regulation (EC) No 1060/2009 of the European Parliament and of the Council ( 9 )

(s) administrators of critical benchmarks

Provision of benchmarks by administrators as defined in Article 3(1)(5) and 3(1)(6) of Regulation (EU) 2016/1011 of the European Parliament and of the Council, referring to critical benchmarks defined in Article 3(1), point (25), of that Regulation.

(t) crowdfunding service providers

Provision of crowdfunding services in accordance with Article 3 of Regulation (EU) 2020/1503 of the European Parliament and of the Council ( 10 )

(u) securitisation repositories

Activity of securitisation repositories as defined in Article 2, point (23), of Regulation (EU) 2017/2402 of the European Parliament and of the Council ( 11 ) and Article 1(4-5) of Commission Delegated Regulation (EU) 2020/1230 ( 12 )

Non-financial entity: ICT intra-group service provider

Not applicable

Non-financial entity: Other intra-group entity

Not applicable

Non-financial entity: ICT third-party service provider

Not applicable

( 1 )

Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (OJ L 257, 28.8.2014, p. 1, ELI: http://data.europa.eu/eli/reg/2014/909/oj).

( 2 )

Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 (OJ L 337, 23.12.2015, p. 1, ELI: http://data.europa.eu/eli/reg/2015/2365/oj).

( 3 )

Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (OJ L 174, 1.7.2011, p. 1, ELI: http://data.europa.eu/eli/dir/2011/61/oj).

( 4 )

Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ L 302, 17.11.2009, p. 32, ELI: http://data.europa.eu/eli/dir/2009/65/oj).

( 5 )

Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 (OJ L 173, 12.6.2014, p. 84, ELI: http://data.europa.eu/eli/reg/2014/600/oj).

( 6 )

Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (OJ L 335, 17.12.2009, p. 1, ELI: http://data.europa.eu/eli/dir/2009/138/oj).

( 7 )

Directive (EU) 2016/97 of the European Parliament and of the Council of 20 January 2016 on insurance distribution (OJ L 26, 2.2.2016, p. 19, ELI: http://data.europa.eu/eli/dir/2016/97/oj).

( 8 )

Directive (EU) 2016/2341 of the European Parliament and of the Council of 14 December 2016 on the activities and supervision of institutions for occupational retirement provision (IORPs) (OJ L 354, 23.12.2016, p. 37, ELI: http://data.europa.eu/eli/dir/2016/2341/oj).

( 9 )

Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (OJ L 302, 17.11.2009, p. 1, ELI: http://data.europa.eu/eli/reg/2009/1060/oj).

( 10 )

Regulation (EU) 2020/1503 of the European Parliament and of the Council of 7 October 2020 on European crowdfunding service providers for business, and amending Regulation (EU) 2017/1129 and Directive (EU) 2019/1937 (OJ L 347, 20.10.2020, p. 1, ELI: http://data.europa.eu/eli/reg/2020/1503/oj).

( 11 )

Regulation (EU) 2017/2402 of the European Parliament and of the Council of 12 December 2017 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation, and amending Directives 2009/65/EC, 2009/138/EC and 2011/61/EU and Regulations (EC) No 1060/2009 and (EU) No 648/2012 (OJ L 347, 28.12.2017, p. 35, ELI: http://data.europa.eu/eli/reg/2017/2402/oj).

( 12 )

Commission Delegated Regulation (EU) 202/1230 of 29 November 2019 supplementing Regulation (EU) 2017/2402 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of the application for registration of a securitisation repository and the details of the simplified application for an extension of registration of a trade repository (OJ L 289, 03.09.2020 p. 345) ELI: http://data.europa.eu/eli/reg/2020/1230/oj).

ANNEX III

Type of ICT services

When referring to a type of ICT services in the templates of the register of information, only the identifier (from S01 to S19) of the relevant type of ICT services shall be reported.

Identifier

Type of ICT services

Description

S01

ICT project management

Provision of services related to Project Management Officer (PMO).

S02

ICT Development

Provision of services related to: business analysis, software design and development, testing.

S03

ICT help desk and first level support

Provision of services related to: helpdesk support and first level support on ICT incident

S04

ICT security management services

Provision of services related to: ICT security (protection, detection, response and recovering), including security incident handling and forensics.

S05

Provision of data

Subscription to the services of data providers. (digital data service)

S06

Data analysis

Provision of services related to the support for data analysis. (digital data service)

S07

ICT, facilities and hosting services (excluding Cloud services)

Provision of ICT infrastructure, facilities and hosting services, including the provision of utilities (energy, heat management etc.), telecom access and physical security (excluding cloud services), payment-processing activities, or operating payment infrastructures

S08

Computation

Provision of digital processing capabilities (including data computation), excluding the computation services performed in the context of a cloud environment.

S09

Non-Cloud Data storage

Provision of data storage platform (excluding cloud services).

S10

Telecom carrier

Operations for telecommunication systems and flow management. Traditional analogue telephone services are explicitly excluded pursuant to Article 3, point (21), of Regulation (EU) 2022/2554

S11

Network infrastructure

Provision of network infrastructure

S12

Hardware and physical devices

Provision of workstations, phones, servers, data storage devices, appliances, etc. in a form of a service

S13

Software licencing (excluding SaaS)

Provision of software run on premises.

S14

ICT operation management (including maintenance)

Provision of services related to: infrastructure (systems and hardware except network) configuration, maintenance, installing, capacity management, business continuity management, etc.

Including Managed Service Providers (MSP)

S15

ICT Consulting

Provision of intellectual / ICT expertise services.

S16

ICT Risk management

Verification of compliance with ICT risk management requirements in accordance with Article 6(10) of Regulation (EU) 2022/2554

S17

Cloud services: IaaS

Infrastructure-as-a-Service

S18

Cloud services: PaaS

Platform-as-a-Service

S19

Cloud services: SaaS

Software-as-a-Service

ANNEX IV

Instruction to report the “value of total assets”

Type of entity

Instruction to report value of total assets in column B_01.02.0110

(a) credit institutions

Information as specified in Template C40.00, Row 0410, Column 0010 of Annex X to Commission Implementing Regulation (EU) 2021/451 ( 1 )

(b) payment institutions, including payment institutions exempted pursuant to Directive (EU) 2015/2366