ANNEX II
Information to be provided in an application for registration under Article 34 of Regulation (EU) 2016/1011
| ‘A’ means ‘Applicable’
| ‘N/A’ means ‘Not applicable’
Item in Annex I | Supervised entities providing only non-critical benchmarks | Entities providing only non-significant benchmarks
(1) General information
1(a) | Full name | A | A
1(b) | Address | A | A
1(c) | Legal status | A | A
1(d) | Website | A | A
1(e) | Contact person | A | A
1(f) | Current authorisation status | A (^{1}) | A (^{1}) to supervised entities N/A to non-supervised entities
1(g) | Operations conducted | A (^{1}) | A (^{1})
1(h) | Constitutional documents | A (^{1}) | A (^{1})
1(i) | Group structure | A (^{1}) | A (^{1})
1(j) | Self-declaration of good repute | A (^{1}) | A (^{1})
1(k) | Number of benchmarks | A | A
(2) Organisational structure and governance
2(a) | Internal organisational structure | A | A
2(b) | EmployeesHR procedures | A | A
2(c) | HumanNumber resourcesof employees | A | N/A
2(d) | Curriculum Vitae | A
2(e) | Criminal record files and self-declarations of good repute | A
(3) Conflicts of interest
3(a) | Policies and procedures | A (^{2}) | A (^{2}) in the form of a summary
3(b) | Material conflicts of interest | A | N/A
3(c) | Remuneration structure | A | A
(4) Internal control structure, oversight and accountability framework
4(b) | Internal arrangements for determining and publishing a benchmark | A | A in the form of a summary
4(a) | Policies and procedures for monitoring the activities of the provision of a benchmark | A | A (^{3}) in the form of a summary
4(c)4(b) | Internal reporting of infringements | A | A in the form of a summary
(5) Description of benchmarks provided
5(a) | Description | A (^{4}) | A in the form of a summary
5(b) | Underlying market | A (^{4}) | A in the form of a summary
5(c) | Contributors | A (^{4}) | A in the form of a summary
5(d) | Corrections | A (^{4}) | A in the form of a summary
5(e) | Changes to and cessation | A (^{4}) | A in the form of a summary
5(f) | List of benchmarks | A
5(g) | Benchmark statement | A
5(h) | Exemptions | A
(6) Input data and methodology
6(a)(i) | Description of input data used | A (4) | A in the form of a summary
6(a)(ii) | Input data — sufficient, appropriate and verifiable | A (4) | A (5) in the form of a summary
6(a)(iii) | Contributors | A (4) | A in the form of a summary
6(a)(iv) | Evaluation of contributor's input data and validation of input data | A (6) | N/A
6(b)(i) | Description of the methodology | A (4) | A in the form of a summary
6(b)(ii)(1) | Validation/Review | A (4) | A in the form of a summary
6(b)(ii)(2) | Material change | A (6) | N/A
6(a) | Policies and procedures to comply with Article 11 of Regulation (EU) 2016/1011 | A
6(b)(i) | Documented evidence of compliance with Article 12 or Regulation (EU) 2016/1011 | A
6(b)(ii) | Documented evidence of compliance with Article 13 of Regulation (EU) 2016/1011 | A
(7) Outsourcing
7(a) | Contracts | A (6) | N/A
7(b) | Outsourced functions | A (6) | A in the form of a summary
7(c) | Control | A (6) | A in the form of a summary
7 | Policies, procedures and outsourcing arrangements to demonstrate compliance with Article 10 of Regulation (EU) 2016/1011 | A
(8) Others
8(b) | Form | A | A
(1) Unless already supervised by the same competent authority for other activities than the provision of benchmarks
(3) An applicant may omit to provide information relating to point 4(a)(iii) of Annex I — with the exception of information on the establishment and maintenance of a permanent oversight function — points 4(a)(iv) and 4(a)(v) of Annex I — for some of the information to be provided on the control and accountability framework — in respect of a non-significant benchmark it provides.
(4) A supervised entity which provides both significant and non-significant benchmarks may provide such information in the form of a summary with reference to its non-significant benchmarks.
(5) An applicant may choose not to provide information relating to input data being verifiable in respect of a non-significant benchmark that it provides.
(6) A supervised entity which provides both significant and non-significant benchmarks may provide such information only for the significant benchmarks it provides.
8(a)8 | Additional information | A | A
(2)(^{1}) Unless already supervised by the same competent authority for other activities than the provision of benchmarks. (^{2}) An applicant may choose not to provide information relating to point 3(a)(iii) of Annex I, in respect of a significant or non-significant benchmark it provides.