ANNEX I
RESOLUTION TEMPLATES
Template number | Template code | Name of the template or group of templates | Short name
| | ENTITY INFORMATION, GROUP STRUCTURE AND DEPENDENCIES |
1 | Z 01.00 | Organisational structure | ORG
| | INFORMATION ON ON- AND OFF-BALANCE SHEET ITEMS |
2 | Z 02.00 | Liability Structure | LIAB
3 | Z 03.00 | Own funds requirements | OWN
4 | Z 04.00 | Intragroup financial interconnections | IFC
5,1 | Z 05.01 | Major counterparties (Liabilities) | MCP 1
5,2 | Z 05.02 | Major counterparties (off-balance sheet) | MCP 2
6 | Z 06.00 | Deposit insurance | DIS
| | CORE BUSINESS LINES, CRITICAL FUNCTIONS AND RELATED INFORMATION SYSTEMS AND FINANCIAL MARKET INFRASTRUCTURES |
| | Critical functions and core business lines |
7,1 | Z 07.01 | Criticality assessment of economic functions | FUNC 1
7,2 | Z 07.02 | Mapping of critical functions to legal entities | FUNC 2
7,3 | Z 07.03 | Mapping of core business lines to legal entities | FUNC 3
7,4 | Z 07.04 | Mapping of critical functions to core business lines | FUNC 4
8 | Z 08.00 | Critical services | SERV
| | FMI services - providers and users |
9 | Z 09.00 | FMI Services - Providers and Users - Mapping to Critical Functions (FMI) | FMI 1
| | Information systems |
10,1 | Z 10.01 | Critical Information systems (General information) | CIS 1
10,2 | Z 10.02 | Mapping of information systems | CIS 2
Z 01.00 - Organisational structure (ORG)
Entity | Direct Parent
Name | Code | LEI code | Entity type | Country | Included in prudential consolidation | Art 7 CRR Waiver | Art 10 CRR waiver | Total assets | Total Risk Exposure Amount | Leverage ratio exposure | Accounting standard | Contribution to total consolidated assets | Contribution to total consolidated risk exposure amount | Contribution to consolidated Leverage Ratio Exposure | Relevant legal entity | Name | Code | LEI code | Share Capital | Voting rights in the entity
0010 | 0020 | 0030 | 0040 | 0050 | 0060 | 0070 | 0080 | 0090 | 0100 | 0110 | 0120 | 0130 | 0140 | 0150 | 0160 | 0170 | 0180 | 0190 | 0200 | 0210
| | | | | | | | | | | | | | | | | | | |
Z 02.00 - Liability Structure (LIAB)
| Counterparty | TOTAL |
Households | Non-financial corporations (SMEs) | Non-financial corporations (non-SMEs) | Credit institutions | Other financial corporations | General governments & Central banks | Non identified, listed on a trading venue | Non identified, not listed on a trading venue | of which: intragroup | of which: liabilities governed by the law of a third-country, excluding intragroup
Row | Item | 0010 | 0020 | 0030 | 0040 | 0050 | 0060 | 0070 | 0080 | 0090 | 0100 | 0110
0100 | LIABILITIES EXCLUDED FROM BAIL-IN | | | | | | | | | | |
0110 | Covered deposits | | | | | | | | | | |
0120 | Secured liabilities - collateralizedcollateralised part | | | | | | | | | | |
0130 | Client liabilities, if protected in insolvency | | | | | | | | | | |
0140 | Fiduciary liabilities, if protected in insolvency | | | | | | | | | | |
0150 | Institution liabilities < 7 days | | | | | | | | | | |
01600161 | System (operator) and CCP liabilities < 7 days | | | | | | | | | | |
0170 | Employee liabilities | | | | | | | | | | |
0180 | Liabilities critical to operational daily functioning | | | | | | | | | | |
0190 | Tax and social security authorities liabilities, if preferred | | | | | | | | | | |
0200 | DGS liabilities | | | | | | | | | | |
0210 | Liabilities towards other entities of the resolution group | | | | | | | | | | |
0300 | LIABILITIES NOT EXCLUDED FROM BAIL-IN | | | | | | | | | | |
0310 | Deposits, not covered but preferential | | | | | | | | | | |
0311 | of which: residual maturity <= 1 month | | | | | | | | | | |
0312 | of which: residual maturity > 1 month < 1 year | | | | | | | | | | |
0313 | of which: residual maturity >= 1 year and < 2 years | | | | | | | | | | |
0314 | of which: residual maturity >= 2 years | | | | | | | | | | |
0320 | Deposits, not covered and not preferential | | | | | | | | | | |
0321 | of which: residual maturity <= 1 month | | | | | | | | | | |
0322 | of which: residual maturity > 1 month < 1 year | | | | | | | | | | |
0323 | of which: residual maturity >= 1 year and < 2 years | | | | | | | | | | |
0324 | of which: residual maturity >= 2 years | | | | | | | | | | |
0330 | Balance sheet liabilities arising from derivatives | | | | | | | | | | |
0331 | Sum of net liability positions taking into account contractual netting sets, after mark-to-market adjustments, prior to collateral offset | | | | | | | | | | |
0332 | Sum of net liability positions taking into account contractual netting sets, after mark-to-market adjustments, post collateral offset | | | | | | | | | | |
0333 | Sum of net liability positions taking into account contractual netting sets, after mark-to-market adjustments, post collateral offset, incorporating estimated close-out amounts | | | | | | | | | | |
0334 | Sum of net liability positions taking into account prudential netting rules | | | | | | | | | | |
0340 | UncollateralizedUncollateralised secured liabilities | | | | | | | | | | |
0341 | of which: residual maturity <= 1 month | | | | | | | | | | |
0342 | of which: residual maturity > 1 month < 1 year | | | | | | | | | | |
0343 | of which: residual maturity >= 1 year and < 2 years | | | | | | | | | | |
0344 | of which: residual maturity >= 2 years | | | | | | | | | | |
0350 | Structured notes | | | | | | | | | | |
0351 | of which: residual maturity <= 1 month | | | | | | | | | | |
0352 | of which: residual maturity > 1 month < 1 year | | | | | | | | | | |
0353 | of which: residual maturity >= 1 year and < 2 years | | | | | | | | | | |
0354 | of which: residual maturity >= 2 years | | | | | | | | | | |
0360 | Senior unsecured liabilities | | | | | | | | | | |
0361 | of which: residual maturity <= 1 month | | | | | | | | | | |
0362 | of which: residual maturity > 1 month < 1 year | | | | | | | | | | |
0363 | of which: residual maturity >= 1 year and < 2 years | | | | | | | | | | |
0364 | of which: residual maturity >= 2 years | | | | | | | | | | |
0365 | Senior non-preferred liabilities | | | | | | | | | | |
0366 | of which: residual maturity <= 1 month | | | | | | | | | | |
0367 | of which: residual maturity > 1 month < 1 year | | | | | | | | | | |
0368 | of which: residual maturity >= 1 year and < 2 years | | | | | | | | | | |
0369 | of which: residual maturity >= 2 years | | | | | | | | | | |
0370 | Subordinated liabilities (not recognised as own funds) | | | | | | | | | | |
0371 | of which: residual maturity <= 1 month | | | | | | | | | | |
0372 | of which: residual maturity > 1 month < 1 year | | | | | | | | | | |
0373 | of which: residual maturity >= 1 year and < 2 years | | | | | | | | | | |
0374 | of which: residual maturity >= 2 years | | | | | | | | | | |
0380 | Other MREL eligible liabilities | | | | | | | | | | |
0381 | of which: residual maturity >= 1 year and < 2 years | | | | | | | | | | |
0382 | of which: residual maturity >= 2 years | | | | | | | | | | |
0390 | Non-financial liabilities | | | | | | | | | | |
0400 | Residual liabilities | | | | | | | | | | |
0500 | OWN FUNDS | | | | | | | | | | |
0510 | Common Equity Tier 1 Capital | | | | | | | | | | |
0511 | of which: capital instruments/share capital | | | | | | | | | | |
0512 | of which: instruments ranking pari passu with ordinary shares | | | | | | | | | | |
0520 | Additional Tier 1 capital | | | | | | | | | | |
0521 | of which: (part of) subordinated liabilities recognised as own funds | | | | | | | | | | |
0530 | Tier 2 Capital | | | | | | | | | | |
0531 | of which: (part of) subordinated liabilities recognised as own funds | | | | | | | | | | |
0600 | TOTAL LIABILITIES & OWN FUNDS INCLUDING DERIVATIVE LIABILITIES | | | | | | | | | | |
Z 03.00 - Own funds requirements (OWN)
| | Amount or Percentage
0010
0100 | TOTAL RISK EXPOSURE AMOUNT | 0100 |
0110 | Contribution to total consolidated risk exposure amount | 0110 |
0120 | Total Exposure Measure |
| INITIAL CAPITAL AND LEVERAGE RATIO REQUIREMENT | |
0210 | Initial capital | 0210 |
0220 | Leverage Ratio Requirement | 0220 |
0300 | TOTAL SREP CAPITAL REQUIREMENT (TSCR) RATIO | 0300 |
0310 | TSCR: to be made up of CET1 capital | 0310 |
0320 | TSCR: to be made up of Tier 1 capital | 0320 |
0400 | COMBINED BUFFER REQUIREMENTS | 0400 |
0410 | Capital Conservation Buffer | 0410 |
0420 | Conservation buffer due to macro-prudential or systemic risk identified at the level of a Member State | 0420 |
0430 | Institution-Specific Countercyclical Capital Buffer | 0430 |
0440 | Systemic Risk Buffer | 0440 |
0450 | Global Systemically Important Institution Buffer | 0450 |
0460 | Other Systemically Important Institution Buffer | 0460 |
0500 | Overall capital requirement (OCR) ratio | 0500 |
0510 | OCR: to be made up of CET1 capital | 0510 |
0520 | OCR: to be made up of Tier 1 capital | 0520 |
0600 | OCR and Pillar 2 Guidance (P2G) | 0600 |
0610 | OCR and P2G: to be made up of CET1 capital | 0610 |
0620 | OCR and P2G: to be made up of Tier 1 capital | 0620 |
Z 04.00 - Intragroup financial interconnections (IFC)
Issuer or guaranteed entity | Creditor, holder or guarantee provider | Financial interconnection
Entity name | Code | Entity name | Code | Type | Outstanding amount
| of which issued under 3rd ctry law | of which MREL eligible
0010 | 0020 | 0030 | 0040 | 0050 | 0060 | 0070 | 0080
| | | | | | |
Z 05.01 - Major Liability Counterparties (MCP 1)
Counterparty | Type | Outstanding amount
Entity name | Code | Group or individual | Country | Sector
0010 | 0020 | 0030 | 0040 | 0050 | 0060 | 0070
| | | | | |
Z 05.02 - Major off-balance sheet counterparties (MCP 2)
Counterparty | Type | Amount
Entity name | Code | Group or individual | Country | Sector
0010 | 0020 | 0030 | 0040 | 0050 | 0060 | 0070
| | | | | |
Z 06.00 - Deposit insurance (DIS)
Legal Entity | DGS Membership | Institutional Protection Scheme | Additional protection under contractual scheme
Entity name | Code | DGS | Amount of covered deposits
0010 | 0020 | 0030 | 0040 | 0050 | 0060
| | | | |
Z 07.01 - Criticality assessment of economic functions (FUNC 1)
Country: | |
Row | Economic functions | Quantitative Data | Criticality Assessment
ID | Economic function | Description of economic function | Market share | Monetary amount | Numeric indicator | Impact on market | Substitutability | Critical Function
| | 0010 | 0020 | 0030 | 0040 | 0050 | 0060 | 0070
| 1 | Deposits
0010 | 1,1 | Households | | | | | | |
0020 | 1,2 | Non-financial corporations - SMEs | | | | | | |
0030 | 1,3 | Non-financial corporations - non-SMEs | | | | | | |
0040 | 1,4 | General Governments | | | | | | |
0050 | 1,5 | Other sectors/counterparties (1) | | | | | | |
0060 | 1,6 | Other sectors/counterparties (2) | | | | | | |
0070 | 1,7 | Other sectors/counterparties (2) | | | | | | |
| 2 | Lending
0080 | 2,1 | Households - lending for house purchase | | | | | | |
0090 | 2,2 | Households - other lending | | | | | | |
0100 | 2,3 | Non-financial corporations - SMEs | | | | | | |
0110 | 2,4 | Non-financial corporations - non-SMEs | | | | | | |
0120 | 2,5 | General Governments | | | | | | |
0130 | 2,6 | Other sectors/counterparties (1) | | | | | | |
0140 | 2,7 | Other sectors/counterparties (2) | | | | | | |
0150 | 2,8 | Other sectors/counterparties (3) | | | | | | |
| 3 | Payments, Cash, Settlement, Clearing, Custody services
0160 | 3,1 | Payment services to MFIs | | | | | | |
0170 | 3,2 | Payment services to non-MFIs | | | | | | |
0180 | 3,3 | Cash services | | | | | | |
0190 | 3,4 | Securities settlement services | | | | | | |
0200 | 3,5 | CCP clearing services | | | | | | |
0210 | 3,6 | Custody services | | | | | | |
0220 | 3,7 | Other services/activities/functions (1) | | | | | | |
0230 | 3,8 | Other services/activities/functions (2) | | | | | | |
0240 | 3,9 | Other services/activities/functions (3) | | | | | | |
| 4 | Capital Markets
0250 | 4,1 | Derivatives held for trading - OTC | | | | | | |
0260 | 4,2 | Derivatives held for trading - non-OTC | | | | | | |
0270 | 4,3 | Secondary markets/trading (held-for-trading only) | | | | | | |
0280 | 4,4 | Primary Markets/underwriting | | | | | | |
0290 | 4,5 | Other services/activities/functions (1) | | | | | | |
0300 | 4,6 | Other services/activities/functions (2) | | | | | | |
0310 | 4,7 | Other services/activities/functions (3) | | | | | | |
| 5 | Wholesale Funding
0320 | 5,1 | Borrowing | | | | | | |
0330 | 5,2 | Derivatives (assets) | | | | | | |
0340 | 5,3 | Lending | | | | | | |
0350 | 5,4 | Derivatives (liabilities) | | | | | | |
0360 | 5,5 | Other product types (1) | | | | | | |
0370 | 5,6 | Other product types (2) | | | | | | |
0380 | 5.7 | Other product types (3) | | | | | | |
Z 07.02 - Mapping of critical functions by legal entity (FUNC 2)
Critical functions | Legal entity | Monetary importance
Country | ID | Entity name | Code | Monetary amount
0010 | 0020 | 0030 | 0040 | 0050
| | | |
Z 07.03 - Mapping of Core Business Lines to legal entities (FUNC 3)
Core business line | Legal entity
Core business line | Business Line ID | Description | Entity name | Code
0010 | 0020 | 0030 | 0040 | 0050
| | | |
Z 07.04 - Mapping of critical functions to core business lines (FUNC 4)
Critical functions | Core business line
Country | Function ID | Core business line | Business Line ID
0010 | 0020 | 0030 | 0040
| | |
Z 08.00 - Critical services (SERV)
Identifier | Service type | Service recipient | Service provider | Critical function | Estimated time for substitutability | Estimated time for access to contracts | Governing law | Resolution-proof contract
Entity Name | Code | Entity Name | Code | Part of the group | Country | ID
0005 | 0010 | 0020 | 0030 | 0040 | 0050 | 0060 | 0070 | 0080 | 0090 | 0100 | 0110 | 0120
| | | | | | | | | | | |
Z 09.00 - FMI Services - Providers and Users - Mapping to Critical Functions (FMI)
User | Critical function | Provider | Governing law
Entity Name | Code | Country | ID | Financial Market Infrastructure (FMI) | Participation mode | Intermediary | Service Description
System Type | Name | FMI Code | Name | Code
0010 | 0020 | 0030 | 0040 | 0050 | 0060 | 0070 | 0080 | 0090 | 0100 | 0110 | 0120
| | | | | | | | | | |
Z 10.01 - Critical Information systems (General information) (CIS 1)
Critical information system | Group Entity Responsible for the System
System Identification Code | Name | Type | Description | Entity Name | Code
0010 | 0020 | 0030 | 0040 | 0050 | 0060
| | | | |
Z 10.02 - Mapping of information systems (CIS 2)
System Identification Code | Group Entity user of the System | Critical service | Critical function
Entity Name | Code | Identifier | Country | ID
0010 | 0020 | 0030 | 0040 | 0050 | 0060
| | | | |