Instructions to Fill In Annexes I to XII

ANNEX XIII
Instructions to complete the templates in Annexes I to XII General instructions
1. Structure and convention
1.1 Structure
The framework consists of 12 sets of templates which comprise a total of 15 templates according to the following scheme:
1. Organisational structure
2. Governance and management
3. Critical functions and core business lines
4. Critical counterparties (3 templates)
5. Liabilities structure
6. Pledged collateral
7. Off-balance sheet
8. Payment, clearing and settlement systems
9. Information systems (2 templates)
10. Interconnectedness
11. Authorities
12. Legal impacts of resolution
1.2 Accounting standard
Institutions shall report carrying amounts under the accounting framework they use for the reporting of financial information. Institutions that are not required to report financial information shall use their respective accounting framework. For the purpose of this Annex, ‘IAS’ and ‘IFRS’ refer to the international accounting standards as defined in Article 2 of Regulation (EC) No 1606/2002. Amounts reported in the template should be gross book value, unless otherwise stated in the instructions.
1.3 Numbering convention
The following general notation is used in these instructions to refer to the columns, rows and cells of a template: {Template; Row; Column}.
1.4 Level of application
The level of application is determined by resolution authorities when formulating their request, either directly or indirectly, to institutions.

Template related instructions
2. Annex I - Organisational structure
template:
(1) detailed description of the institution's organisational structure including a list of all legal entities (2) identification of the direct holder and the percentage of voting and non-voting rights of each legal entity Instructions concerning specific columns:
Columns Legal reference and instructions
010-020 Legal entity
010 Entity name
020 Legal identifier
20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030-040 Direct holder 030 Entity name Name of the Entity holding a direct participation and controlling the legal entity identified in column 010. 040 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 030. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. 050 Capital (%) Percentage of capital held by the legal entity listed in column 030 in the legal entity listed in column 010. 060 Voting rights (%) Percentage of voting rights held by the legal entity listed in column 030 in the legal entity listed in column 010. 070-080 Consolidating entity 070 Entity name Name of the entity consolidating the entity listed in column 010 at the highest level according to Regulation (EU) No 575/2013. 080 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 070. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’.

3. Annex II - Governance and management
   The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:
   (3) the Location, jurisdiction of incorporation, licensing and key management associated with each legal entity Instructions concerning specific columns:
   Columns Legal reference and instructions
   010-020 Legal entity
   010 Entity name
   020 Legal identifier
   20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030 Location City where the entity listed in Column 010 is legally registered. 040 Jurisdiction of incorporation Jurisdiction where the entity listed in Column 010 is incorporated, identified according to ISO 3166. 050 Licensing authority Name of the authority providing banking or investment firm license to the institution listed in Column 010. 060 Type of license 070-090 Member of the management body responsible for providing the resolution authorities with the information necessary for the resolution plan 070 Name First name, Last name 080 Phone number 090 E-mail address 100-140 Key manager Senior person in the entity responsible for resolution of that entity 100 Name First name, Last name 110 Function 120 Department 130 Phone numbers Department’s telephone number and individual number of the person named in Column 100. 140 E-mail addresses Department’s mailbox and individual email address of the person named in Column 100.

4. Annex III - Critical functions and core business lines
   template:
   (4) a mapping of the institution's critical operations and core business lines including material asset holdings and liabilities related to such operations and business lines, by reference to legal entities (17) the senior management official responsible for the resolution plan of the institution as well as those responsible, if different, for the different legal entities, critical operations and core business lines Instructions concerning specific columns:
   Columns Legal reference and instructions
   010 Critical functions
   Means ‘critical functions’ pursuant to Article 2(1)(35) and Article 2(2) of Directive 2014/59/EU. 020 Core business lines Means ‘core business lines’ pursuant to Article 2(1)(36) and Article 2(2) of Directive 2014/59/EU. 030-040 Legal entity 030 Entity name 040 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 050 Location Country in which business lines operate. 060 Number of offices/branches in a location 070-090 Material assets 070 Type 080 Amount In Million 090 Currency Identification according to ISO 4217 100-120 Material liabilities 100 Type 110 Amount In Million 120 Currency Identification according to ISO 4217 130-170 Senior management official responsible for providing information 130 Name First name, Last name 140 Function 150 Department 160 Phone numbers Department’s telephone number and individual number of the person named in Column 130. 170 E-mail addresses Department’s mailbox and individual email address of the person named in Column 130.

5. Annex IV, Section 1 - Critical counterparties (Assets)
   The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:
   (10) Identification of the major or most critical counterparties of the institution as well as an analysis of the impact of the failure of major counterparties in the institution's financial situation Instructions concerning specific columns:
   Columns Legal reference and instructions
   010-020 Legal entity
   010 Entity name
   020 Legal identifier
   20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030-040 Critical counterparty Criticality to be determined by the relevant authorities. Counterparties shall be reported for the relevant Groups of Connected Clients and in case a client does not belong to a Group of Connected Clients, on an individual level. Resolution authorities may request information on Groups of Connected Clients on an individual level. Group of Connected Clients is defined in Article 4(39) of Regulation (EU) No 575/2013. Information provided in this template should be complementary to the information already provided in Large Exposures. 030 Entity name 040 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 050 Currency Identification according to ISO 4217 060 Original exposure Means ‘original exposures’ as per Articles 24, 389, 390 and 392 of Regulation (EU) No 575/2013 and should follow the approach in FINREP. 070 Credit risk mitigations Means ‘credit risk mitigation’ (CRM) as per Articles 399 and 401 to 403 of Regulation (EU) No 575/2013. For the purposes of this reporting, the CRM technique as defined in Article 4(57) and recognised in Part Three, Title II, Chapter 3 and 4, shall be used in accordance with the Articles 401 to 403 of Regulation (EU) No 575/2013. 080 Value adjustments and provisions Means ‘value adjustments and provisions’ as defined in Articles 34, 24, 110 and 111 of Regulation (EU) No 575/2013. 090 Net exposure 090 = 060 – 070 – 080 100 Impact on CET1 ratio Impact of a default of the counterparty listed in column 030 on the Core Equity Tier 1 ratio of the legal entity listed in column 010. Suggested formula for

calculating Impact on CET1 ratio is:
CET1 – ((CET1 – expected loss) / (RWA – expected loss)) = Impact on CET1. Where the resolution authorities determine that a more sophisticated formula is more appropriate they are free to request a different one.

6. Annex IV, Section 2 - Critical counterparties (Liabilities)
   template:
   (10) Identification of the major or most critical counterparties of the institution as well as an analysis of the impact of the failure of major counterparties in the institution's financial situation Instructions concerning specific columns:
   Columns Legal reference and instructions
   010-020 Legal entity
   010 Entity name
   020 Legal identifier
   20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030-040 Critical counterparty Criticality to be determined by the relevant authorities. Information provided in this template should be complementary to the information already provided in Large Exposures. 030 Entity name 040 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 050-070 Funding 050 Type 060 Amount Expressed in currency of the liability 070 Currency Identification according to ISO 4217

7. Annex IV, Section 3 - Critical counterparties (Material Hedges)
   The following item listed in Section B of the Annex to Directive 2014/59/EU is covered by this template:
   (9) the material hedges of an institution including a mapping to legal persons Instructions concerning specific columns:
   Columns Legal reference and instructions
   010-020 Legal entity
   010 Entity name
   020 Legal identifier
   20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030-040 Critical counterparty Counterparties shall be reported for the relevant Groups of Connected Clients and in case a client does not belong to a Group of Connected Clients, on an individual level. Resolution authorities may request information on Groups of Connected Clients on an individual level. Group of Connected Clients is defined in Article 4(39) of Regulation (EU) No 575/2013. 030 Entity name 040 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 050-080 Material hedges (on-balance sheet) 050 Type Material hedges provided should not be limited to accounting hedges. 060 Amount 070 Currency Identification according to ISO 4217 080 Purpose of hedge Risks intended to be hedged. 090-120 Material hedges (off-balance sheet) 090 Type Material hedges provided should not be limited to accounting hedges. 100 Amount 110 Currency Identification according to ISO 4217 120 Purpose of hedge Risks intended to be hedged.

8. Annex V - Liabilities structure
   template:
   (5) a detailed description of the components of the institution's and all its legal entities' liabilities, separating, at a minimum by types and amounts of short term and long-term debt, secured , unsecured and subordinated liabilities (6) detail of those liabilities of the institution that are eligible liabilities Instructions concerning specific rows:
   Rows Legal reference and instructions
   010 Legal entity name
   020 Legal identifier
   20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030 Governing law of the liabilities EEA or ‘third country’. Resolution authorities are free to set a threshold above which they would require a breakdown into different third countries. 040 Date 050 Natural persons 055 Of which eligible liabilities Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(71) of Directive 2014/59/EU. 060 Micro, small and medium-sized enterprises 065 Of which eligible liabilities Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(71) of Directive 2014/59/EU. 070 Large non-financial enterprises 075 Of which eligible liabilities Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(71) of Directive 2014/59/EU. 080 Institutions As defined in Article 2(23) of Directive 2014/59/EU. 085 Of which eligible liabilities Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(71) of Directive 2014/59/EU. Debt with legal subordination (column 050) and senior unsecured debt (column
   080) of institutions, with original maturity of less than 7 days should not be
   included in the ‘of which eligible liabilities’ amount provided in row 085 because in line with Article 44(2) of Directive 2014/59/EU, such liabilities are excluded from bail-in. 090 Insurance firms and pension funds Insurance undertakings, reinsurance undertakings firms and pension and retirement funds 095 Of which eligible liabilities Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(71) of Directive 2014/59/EU. 100 Other financial undertakings 105 Of which eligible liabilities

Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(71) of Directive 2014/59/EU. 110 Intragroup Exposures towards entities within the same group. Such exposures shall be listed in that row only to avoid double counting (e.g. exposures towards a bank belonging to the same group should be identified in row 110 and not in row 080 on ‘credit institutions’). 115 Of which eligible liabilities Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(71) of Directive 2014/59/EU. 120 Government, central banks and supranationals 125 Of which eligible liabilities Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(71) of Directive 2014/59/EU. 130 Others/non-identified Where the identity of the holder of a security is not possible, only totals should be provided. 135 Of which eligible liabilities Amount of liabilities that are ‘eligible liabilities’ pursuant to Article 2(71) of Directive 2014/59/EU. 150 Total 160 Total eligible liabilities Total of ‘eligible liabilities’ pursuant to Article 2(71) of Directive 2014/59/EU. Instructions concerning specific columns Columns Legal reference and instructions 010 Debt with a legal subordination qualifying as additional tier 1 020-040 Debt with a legal subordination qualifying as tier 2 020 Remaining maturity of less than a month 030 Remaining maturity of less than a year 040 Remaining maturity of more than a year 050-070 Debt with a legal subordination 050 Remaining maturity of less than a month Subordinated debt which does not qualify as tier 1 or tier 2. 060 Remaining maturity of less than a year Subordinated debt which does not qualify as tier 1 or tier 2. 070 Remaining maturity of more than a year Subordinated debt which does not qualify as tier 1 or tier 2. 080-100 Senior unsecured debt Includes certificates of deposits and commercial papers 080 Remaining maturity of less than a month 090 Remaining maturity of less than a year 100 Remaining maturity of more than a year 110-130 Deposits 110 Total 120 Of which Eligible deposits 130 Of which Covered deposits Excluded from the scope of bail-in by article 44(2)(a). 140 Secured debt Excluded from the scope of bail-in by article 44(2)(b). 150 Other liabilities excluded by Article 44(2) of BRRD Excluded from the scope of bail-in by articles 44(2)(a-d) to 44(2)(f-g).

160-170 Derivatives
Only on-balance sheet items. Off-balance sheet items should be reported in Annex VII. 160 Exposure after prudential netting 170 Exposure after deducting margin and collateral 180 Total Sum of columns 010-110, 140-160.

9. Annex VI - Pledged collateral
   template:
   (7) an identification of the processes needed to determine to whom the institution has pledged collateral, the person that holds the collateral and the jurisdiction in which the collateral is located Instructions concerning specific columns:
   Columns Legal reference and instructions
   010-020 Legal entity
   010 Entity name
   020 Legal identifier
   20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030-040 Issuer of collateral 030 Entity name 040 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 050 Type of collateral Covers all types of pledging including where there is an off-balance sheet liability or no liability (e.g. collateral swaps, default funds). 060 Identification number ISIN code. Where the ‘ISIN code’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 070-080 Holder of collateral 070 Entity name 080 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 090 Amount 100 Currency Identification according to ISO 4217 110 Jurisdiction Law of the jurisdiction applicable to the holder of the collateral as identified in column 070 (e.g. German law). 120-130 Counterparty 120 Name 130 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The

Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 140 Amount 150 Currency Identification according to ISO 4217. 160 Jurisdiction Law of the jurisdiction applicable to the pledge contract.

10. Annex VII - Off-balance sheet
    template:
    (8) A description of the off balance sheet exposures of the institution and its legal entities, including a mapping to its critical operations and core business lines (21) information on off-balance sheet activities, hedging strategies Instructions concerning specific columns:
    Columns Legal reference and instructions
    010-020 Legal entity
    010 Entity name
    020 Legal identifier
    20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030 Off-balance sheet item To be identified under the three following categories: ‘guarantees’, ‘credit lines’, ‘other’. This template should not include on balance sheet items. 040-050 Counterparty 040 Entity name 050 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 060-070 Amount 060 Total Nominal value. 070 of which committed To be filled in for credit lines only. 080 Currency Identification according to ISO 4217. 090 Critical operations 100 Core business lines 110 Additional information

11. Annex VIII, Section 1 – Payment, clearing and settlement systems
    template:
    (11) each system on which the institution conducts a material number or value amount of trades, including a mapping to the institution's legal persons, critical operations and core business lines (12) Each payment, clearing or settlement system of which the institution is directly or indirectly a member, including a mapping to the institution's legal persons, critical operations and core business lines Instructions concerning specific columns:
    Columns Legal reference and instructions
    010-020 Legal entity
    010 Entity name
    020 Legal identifier
    20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030-060 System 030 System type Categorise systems using the following options: ‘Payment’, ‘Settlement’, ‘Securities clearing’, ‘Derivatives clearing’, ‘Depository’, ‘CCP’, and ‘Other’. Where more than one applies, specify all types. 040 Designation 050 Participation mode Direct or indirect. 060 Identification code BIC code. Where the ‘BIC code’ is not available another form of identification shall be provided, e.g. institution code or account number. Only where there is no other form of identification, it is allowed to say ‘not available’. 070-080 Representative institution Should only be filled when access is indirect. 070 Entity name 080 Identification code 090 Mapping to critical function 100 Mapping to core business line 110 Membership requirements Qualitative and quantitative information necessary to understand the risk of the institution’s membership being cancelled. 120 Impact of resolution proceedings on membership or contract with the representative institution 130 Substitutability Name of potential other payment system provider that could substitute the payment system provider listed in column 040. 140 Additional information

12. Annex IX, Template 1 - Information systems (General information)
    template:
    (13) a detailed inventory and description of the key management information systems, including those for risk management, accounting and financial reporting used by the institution including a mapping to the institution's legal persons, critical operations and core business lines (14) an identification of the owners of the systems identified in point 13, SLA related thereto, and any software and systems or licenses, including a mapping to their legal entities, critical operations and core business lines Instructions concerning specific columns:
    Columns Legal reference and instructions
    010-020 System
    010 Identification
    020 Type
    To be chosen between ‘risk management’, ‘accounting’, ‘financial reporting’, ‘regulatory reporting’ and ‘other’. 030 Description 040-050 Group entity party to the contract 040 Entity name 050 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 060 Type of contract License, shared service, or other 070-080 Counterparty 070 Entity name 080 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 090-110 Person responsible 090 Name 100 Phone number 110 Email address 120 Impact of resolution proceedings on continuity of access to information systems

13. Annex IX, Template 2 - Information systems (Mapping)
    template:
    (13) a detailed inventory and description of the key management information systems, including those for risk management, accounting and financial reporting used by the institution including a mapping to the institution's legal persons, critical operations and core business lines (14) an identification of the owners of the systems identified in point 13, SLA related thereto, and any software and systems or licenses, including a mapping to their legal entities, critical operations and core business lines Instructions concerning specific columns:
    Columns Legal reference and instructions
    010 System
    020-050 User
    020 Entity name
    030 Legal identifier
    20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 040 Critical functions Means ‘critical functions’ pursuant to Articles 2(1)(35) and 2(2) of Directive 2014/59/EU. 050 Core business lines Means ‘core business lines’ pursuant to Articles 2(1)(36) and 2(2) of Directive 2014/59/EU.

14. Annex X - Interconnectedness
    template:
    (15) an identification and mapping of the legal persons and the interconnections and interdependencies among different legal persons such as:

• common or shared personnel, facilities and systems

• capital, funding or liquidity arrangements

• existing or contingent credit exposure

• cross guarantee agreements, cross-collateral arrangements, cross-default provisions and cross￾affiliate netting arrangements

• risk transfers and back-to-back trading arrangements, service level agreements
  Instructions concerning specific columns:
  Columns Legal reference and instructions
  010-020 Legal entity A
  010 Entity name
  Must be different from the name listed in column 030.
  020 Legal identifier
  20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Must be different from the identifier listed in column 040 Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030-040 Legal entity B 030 Entity name Must be different from the name listed in column 010. 040 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Must be different from the identifier listed in column 020 Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 050 Type of interconnectedness To be chosen between the following categories:

• Personnel

• Facilities

• System

• Capital arrangements

• Funding arrangements

• Liquidity arrangements

• Credit exposure

• Cross-guarantee agreement

• Cross-collateral arrangement

• Cross-default provision

• Cross-affiliate netting arrangements

• Risk transfers

• Back-to-back trading arrangements

• Service level agreement

• Other
  060 Description
  To be mandatory filled when columns 010 to 050 are filled.

15. Annex XI - Authorities
    template:
    (16) Supervisory and resolution authority for each legal entity (18) Description of the arrangements that the institution has in place to ensure that, in the event of resolution, the resolution authority will have the necessary information, as determined by the resolution authority, for applying the resolution tools and powers Instructions concerning specific columns:
    Columns Legal reference and instructions
    010-020 Legal entity
    010 Name
    020 Legal identifier
    20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. Where the ‘Legal Identifier’ is not available for a given entity another form of identification shall be provided. Only where there is no other form of identification, it is allowed to say ‘not available’. 030-050 Supervisory authority/ies 030 Name of the authority 040 Phone number 050 Email address 060-080 Resolution authority 060 Name of the authority 070 Phone number 080 Email address 090-110 Deposit guarantee authority 090 Name of the authority 100 Phone numbers 110 Email address

16. Annex XII – Legal impact of resolution
    template:
    (19) All the agreements entered into by the institutions and their legal entities with third parties the termination of which may be triggered by a decision of the authorities to apply a resolution tool and whether the consequences of termination may affect the resolution tool Instructions concerning specific columns:
    Columns Legal reference and instructions
    010-020 Legal entity
    010 Entity name
    020 Legal identifier
    20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. 030-040 Third party 030 Entity name 040 Legal identifier 20-digit, alpha-numeric code of the legal entity identified in Column 010. The Legal identifier uniquely identifies every legal entity or structure that is party to a financial transaction, in any jurisdiction. 050 Type of contract 060 Termination affecting resolution tool Y (‘yes’) or N (‘no’). 070 Comments