ANNEX I
Form for the submission of a branch passport notification or a change in a branch particulars notification
Where credit institutions notify changes in branch particular notifications to competent authorities of home and host Member States, credit institutions shall only complete the parts of the form which contain information that has changed.
1. Contact information
Type of notification | [Branch□ Initial branch passport notification/changenotification □ Notification of change in branch particulars notification]notification
Host Member State in which the branch is to be established: | [to be completed by the credit institution]
Name and national reference numbercode of the credit institution:institution as available in the credit institution register maintained by the European Banking Authority (EBA): | [to be completed by the credit institution]
LEI of the credit institution: | [to be completed by the credit institution]
Address of the credit institution in the host Member State from which documents may be obtained: | [to be completed by the credit institution]
Intended principal place of business of the branch in the host Member State: | [to be completed by the credit institution]
Date on which the branch intends to commence its activities: | [to be completed by the credit institution]
Name of contact person at the branch: | [to be completed by the credit institution]
Telephone number: | [to be completed by the credit institution]
E-mail:Email: | [to be completed by the credit institution]
2. Programme of operations
2.1. Types of business envisaged
2.1.1. Description of the main objectives and business strategy of the branch and an explanation of how the branch will contribute to the strategy of the institution and, where applicable, of its group
[to be completed by the credit institution]
2.1.2. Description of the target customers and counterparties
[to be completed by the credit institution]
2.1.3. List of the activities referred to in Annex I to Directive 2013/36/EU that the credit institution intends to carry out in the host Member State with the indication of the activities that will constitute the core business in the host Member State, including the intended start date for each coreactivity activity(as accurate as possible).
NoNo. | Activity | Activities that the credit institution intends to carrystart carrying out (fill in with ‘S’)/or to cease carrying out (fill in with ‘C’) | Activities that will constitute the core business | Intended start or cease date for each core activity
1. | Taking deposits and other repayable funds | | |
2. | Lending including, inter alia: consumer credit, credit agreements relating to immovable property, factoring, with or without recourse, financing of commercial transactions (including forfeiting) | | |
3. | Financial leasing | | |
4. | Payment services as defined in Article 4(3)4, point (3) of Directive 2007/64/EC(EU) 2015/2366 of the European Parliament and of the Council (^{*1})(^{1}) | | |
4a. | Services enabling cash to be placed on a payment account as well asand all the operations required for operating a payment account | | |
4b. | Services enabling cash withdrawals from a payment account as well asand all the operations required for operating a payment account | | |
4c. | Execution of payment transactions, including transfers of funds on a payment account with the user'suser’s payment service provider or with another payment service provider: — execution of direct debits, including one- off direct debits — execution of payment transactions through a payment card or a similar device — execution of credit transfers, including standing orders | | |
4d. (^{}) | Execution of payment transactions where the funds are covered by a credit line for a payment service user: — execution of direct debits, including one- off direct debits — execution of payment transactions through a payment card or a similar device — execution of credit transfers, including standing orders | | |
4e. (^{}) | — Issuing and/or acquiring of payment instruments — Acquiring of payment transactions | | |
4f. | Money remittance | | |
4g. | Execution of payment transactions where the consent of the payer to execute a payment transaction is given by means of any telecommunication, digital or IT device and the payment is made to the telecommunication, IT system or network operator, acting only as an intermediary between the payment service user and the supplier of the goods and services (*2) | | |
4g. | Payment initiation services | | |
4h. | Account information services | | |
5. | Issuing and administering other means of payment (e.g. travellers'travellers’ cheques and bankers'bankers’ drafts) insofar as such activity is not covered by point 44. | | |
6. | Guarantees and commitments | | |
7. | Trading for own account or for account of customers in any of the following: | | |
7a. | | | |
7c. | | | |
7d. | | | |
7e. | | | |
7a. | — Money market instruments (e.g. cheques, bills, certificates of deposits) | | |
7b. | — Foreign exchange | | | |
7c. | — Financial futures and options | | |
7d. | — Exchange and interest-rate instruments | | |
7e. | — Transferable securities | | |
8. | Participation in securities issues and the provision of services relatingrelated to such issues | | |
9. | Advice to undertakings on capital structure, industrial strategystrategy, and related questions and advice as well as services relating to mergers and the purchase of undertakings | | |
10. | Money broking | | |
11. | Portfolio management and advice | | |
12. | Safekeeping and administration of securities | | |
13. | Credit reference services | | |
14. | Safe custody services | | |
15. | Issuing electronic money | | |
(1) Directive (EU) 2015/2366 of the European Parliament and of the Council of 25 November 2015 on payment services in the internal market (OJ L 337, 23.12.2015, p. 35). (2) Does the activity referred to in point 4d include the granting of credits in accordance with Article 18(4) of Directive (EU) 2015/2366? □yes□no (3) Does the activity referred to in point 4e include the granting of credit in accordance with Article 18(4) of Directive (EU) 2015/2366? □yes□no
2.1.4. List of the services and activities that the credit institution intends to carry out in the host Member State, and which are provided for in Sections A and B of Annex I to Directive 2004/39/EC2014/65/EU of the European Parliament and of the Council (1), when referring to the financial instruments provided for in Section C of Annex I of that Directive
Financial Instrumentsinstruments | Investment services and activities | Ancillary services
| A 1 | A 2 | A 3 | A 4 | A 5 | A 6 | A 7 | A 8 | A9 | B 1 | B 2 | B 3 | B 4 | B 5 | B 6 | B 7
C1 | | | | | | | | | | | | | | | |
C2 | | | | | | | | | | | | | | | |
C3 | | | | | | | | | | | | | | | |
C4 | | | | | | | | | | | | | | | |
C5 | | | | | | | | | | | | | | | |
C6 | | | | | | | | | | | | | | | |
C7 | | | | | | | | | | | | | | | |
C8 | | | | | | | | | | | | | | | |
C9 | | | | | | | | | | | | | | | |
C10 | | | | | | | | | | | | | | | |
C11 | | | | | | | | | | | | | | | |
Note 1:
Note 1: Row and column headings are references to the relevant section and item numbernumbers in Annex I to Directive 2004/39/EC2014/65/EU (e.g. A1 refers to point 1 of Section A of Annex I)
2.2. Structural organisation of the branch
2.2.1. Description of the organisational structure of the branch, including functional and legal reporting lines and the position and role of the branch within the corporate structure of the institution and, where applicable, of its group
[to be completed by the credit institution]
[to be completed by the credit institution] The description can be supported by relevant documents, such as an organisational chart
2.2.2. Description of the governance arrangements and internal control mechanisms of the branch, including the following information:
2.2.2.1. | riskRisk management procedures of the branch and details of liquidity risk management of the institution, and where applicable, of its group [to be completed by the credit institution]
2.2.3.1. | arrangements for safeguarding client money and assets [to be completed by the credit institution]
2.2.2.2. | anyAny limits that apply to the activities of the branch, in particular to its lending activities [to be completed by the credit institution]
2.2.3.3. | internal code of conduct including controls over personal account dealing [to be completed by the credit institution]
2.2.2.3. | detailsDetails of the internal audit arrangements of the branch, including details of the person responsible for these arrangements and, where applicable, details of the external auditor [to be completed by the credit institution]
[to be completed by the credit institution]
2.2.2.4. | anti-moneyAnti-money laundering arrangements of the branch including details of the person appointed to ensure compliance with these arrangements [to be completed by the credit institution]
[to be completed by the credit institution]
2.2.2.5. | controlsControls over outsourcing and other arrangements with third parties in connection with the activities carried out in the branch that are covered by the institution'sinstitution’s authorisation [to be completed by the credit institution]
[to be completed by the credit institution]
2.2.3. Where the branch is expected to carry out one or more of the investment services and activities defined in Article 4(1), point 2 of Article 4(1)(2), of Directive 2004/39/EC,2014/65/EU, a description of the following arrangements:
2.2.3.1. Arrangements for safeguarding client money and assets
[to be completed by the credit institution]
2.2.3.2. | arrangementsArrangements for compliance with the obligations laid down in Articles 19, 21, 22,24, 25, 27 and 28 of Directive 2004/39/EC2014/65/EU and measures adopted pursuant thereto by the relevant competent authorities of the host Member State [to be completed by the credit institution]
[to be completed by the credit institution]
2.2.3.3. Internal code of conduct including controls over personal account dealing
[to be completed by the credit institution]
2.2.3.4. | detailsDetails of the person responsible for dealing with complaints in relation to the investment services and activities of the branch [to be completed by the credit institution]
[to be completed by the credit institution]
2.2.3.5. | detailsDetails of the person appointed to ensure compliance with the arrangements of the branch relating to investment services and activities [to be completed by the credit institution]
[to be completed by the credit institution]
2.2.4. detailsDetails of professional experience of the persons responsible for the management of the branch
[to be completed by the credit institution]
2.3. Other information
[to be completed by the credit institution] This information can be provided as an attachment to the notification
2.3.2. Name and contact details of the Union deposit guarantee and investor protection schemes of which the institution is a member and which cover the activities and services of the branch, together with the maximum coverage of the investor protection scheme
2.3.1. Financial plan containing forecasts for balance sheet and profit and loss account, covering a period of three years comprising the underlying assumptions
[to be completed by the credit institution]
2.3.3. Details of the branch's IT arrangements
This information can be provided as an attachment to the notification
2.3.2. Name and contact details of the Union deposit guarantee and investor protection schemes in the Member State of which the institution is a member and which cover the activities and services of the branch, together with the maximum coverage of the investor protection scheme
[to be completed by the credit institution]
(*1) Directive 2007/64/EC of the European Parliament and of the Council of 13 November 2007. on payment services in the internal market (OJ L 319, 5.12.2007, p. 1).
(*2) Does the activity referred to in point 4g include the granting of credits in accordance with the conditions set out in Article 16(3) of Directive 2007/64/EC?
☐ yes ☐ no
(1) Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ L 145, 30.4.2004, p. 1).
2.3.3. Details of the branch’s IT arrangements
[to be completed by the credit institution]