Instruction No. 2013-I-16 of December 12, 2013, regarding the communication to the ACPR of the International Legal Entity Identifier (LEI) by certain supervised entities (consolidated version)

PRUDENTIAL CONTROL AND RESOLUTION AUTHORITY

Instruction No. 2013-I-16 of December 12, 2013 regarding the communication to the ACPR of the international "Legal Entity Identifier" by certain supervised entities modified by Instruction No. 2019-I-18 of April 23, 2019, Instruction No. 2021-I-21 of December 6, 2021, and Instruction No. 2024-I-13 of October 24, 2024

The Prudential Control and Resolution Authority, Having regard to the Monetary and Financial Code, particularly Article L. 612-24; Having regard to Regulation (EU) No 648/2012 of the European Parliament and of the Council of July 4, 2012, on OTC derivatives, central counterparties and trade repositories; Having regard to Commission Implementing Regulation (EU) No 1247/2012 of December 19, 2012, defining regulatory technical standards with regard to the format and frequency of transaction reports to trade repositories pursuant to Regulation (EU) No 648/2012 of the European Parliament and of the Council of July 4, 2012, on OTC derivatives, central counterparties and trade repositories; Having regard to the opinion of the Prudential Affairs Advisory Committee of November 29, 2013,

DECIDES

Article 1:
This Instruction applies, for French companies and branches, to:
1° Credit institutions and financing companies referred to in Article L. 511-1 of the Monetary and Financial Code; 2° Central bodies referred to in Article L. 511-30 of the Monetary and Financial Code; 3° Holding financial companies and parent companies of financing companies referred to in Article L. 517-1 of the Monetary and Financial Code; 4° Mixed holding financial companies referred to in Article L. 517-4 of the Monetary and Financial Code;

5° Mixed holding companies and mixed parent companies of financing companies referred to in Article L. 517-4-1 of the Monetary and Financial Code; 6° Investment holding companies referred to in Article L. 517-4-3 of the Monetary and Financial Code; 7° Payment institutions and account information service providers referred to in Article L. 522-1 of the Monetary and Financial Code; 8° Electronic money institutions referred to in Article L. 526-1 of the Monetary and Financial Code; 9° Investment firms referred to in Article L. 531-4 of the Monetary and Financial Code; 10° Persons referred to in Article L. 421-17 of the Monetary and Financial Code; 11° Legal persons admitted to clearing houses referred to in points 3 and 4 of Article L. 440-2 of the Monetary and Financial Code; 12° Legal persons authorized to carry out activities of custody or administration of financial instruments referred to in points 4 and 5 of Article L. 542-1 of the Monetary and Financial Code.

Article 2:
The supervised entities referred to in Article 1 of this Instruction (excluding European passports) must declare their Legal Entity Identifier to the Prudential Control and Resolution Authority (ACPR). If the supervised entity is a branch established in France of an establishment having its registered office outside the European Economic Area, it must also communicate to the ACPR the Legal Entity Identifier assigned, where applicable, to its parent company.

Entities having their registered office in a State party to the Agreement on the European Economic Area, acting in the form of a branch or by way of the free provision of services in France, must inform the ACPR - via their national supervisory authority - of the Legal Entity Identifier issued to them.

These entities must also communicate to the ACPR, under the same conditions, the Legal Entity Identifier assigned to their branches operating in France. To this end, they send to the ACPR the standard file "Legal Entity Identifier Declaration Form" attached to this Instruction, accompanied by supporting documentation (certificate, invoice) provided upon obtaining the identifier.

This file, duly completed and signed, must be sent to the ACPR in electronic format by depositing it on the portal accessible at the following address: https://acpr-portail.banque-france.fr.

Article 3:
The supervised entities referred to in Article 1 of this Instruction must indicate their Legal Entity Identifier to the ACPR in all documents addressed to it.

Article 4:
This Instruction enters into force on January 1, 2014. However, the obligated entities have until January 31, 2014, to send their form.

Paris, December 12, 2013
The President of the Prudential
Control and Resolution Authority,
Christian NOYER