ANNEX
In Annex IV to Implementing Regulation (EU) 2022/389, Part 1 is replaced by the following:
‘PART 1
Individual data per competent authority (year 20XX)
Reference to reporting template | Data | ||||
Number and size of investment firms | |||||
010 | Number of investment firms | [Value] | |||
020 | Total assets of all investment firms in the Member State (in MEUR) (1) | [Value] | |||
Number and size of third country investment firms (2) | |||||
030 | From third countries | Number of branches (3) | [Value] | ||
040 | Number of subsidiaries (4) | [Value] | |||
Own funds composition with respect to own funds requirements | Data, in millions euro | Data, as percentage of total own funds requirements (6)% | |||
050 | Total Common Equity Tier 1 (5) | I 01.00 row 0030 and I 01.01 row 0030 | [Value] | [Value] | |
060 | Total Additional Tier 1 (5) | I 01.00 row 0300 and I 01.01 row 0300 | [Value] | [Value] | |
070 | Total Tier 2 capital (5) | I 01.00 row 0420 and I 01.01 row 0420 | [Value] | [Value] | |
080 | Total own funds (6) | I 01.00 row 0010 and I 01.01 row 0010 | [Value] | [Value] | |
Total own funds requirement by type | Data, in millions euro | Data, as percentage of the total own funds requirements (6) % | |||
090 | Data on own funds requirements | Fixed overheads requirement (7) | I 02.01 row 0030 and I 02.03 row 0030 | [Value] | [Value] |
100 | Permanent minimum capital requirement (8) | I 02.01 row 0020 and I 02.03 row 0020 | [Value] | [Value] | |
110 | K-factor requirement (9) | I 02.01 row 0040 | [Value] | [Value] | |
120 | of which Risk-to-Client (RtC) (10) | I 04.00 row 0020 | [Value] | [Value] | |
130 | of which Risk-to-Market (RtM) (11) | I 04.00 row 0090 | [Value] | [Value] | |
140 | of which Risk-to-Firm (RtF) (12) | I 04.00 row 0120 | [Value] | [Value] | |
(1) The total assets figure shall be the sum of the asset values of all investment firms in a Member State, calculated based on applicable accounting standards, excluding any asset under management.
(2) EEA countries shall not be included.
(3) Number of branches as defined in Article 3(1), point (3), of Directive (EU) 2019/2034. Any number of places of business set up in the same country by an investment firm with headquarters in a third country should be counted as a single branch.
(4) Number of subsidiaries as defined in Article 3(1), point (29), of Directive (EU) 2019/2034. Any subsidiary of a subsidiary undertaking shall be regarded as a subsidiary of the parent undertaking, which is at the head of those undertakings.
(5) Capital as referred to in Article 9(1) of Regulation (EU) 2019/2033.
(6) Total own funds requirement as referred to in Article 11 of the Regulation (EU) 2019/2033.
(7) Fixed overheads requirement as referred to in Article 11(1), point (a), of Regulation (EU) 2019/2033.
(8) Permanent minimum capital requirement as referred to in Article 11(1), point (b), of Regulation (EU) 2019/2033.
(9) K-factor requirement as referred to in Article 11(1), point (c), of Regulation (EU) 2019/2033.
(10) Own funds requirements associated with Risk to Client as referred to in Article 15(1), point (a), of Regulation (EU) 2019/2033. Indicate total capital ratio in column ‘Data, as percentage of the total own fund requirements %’.
(11) Own funds requirements associated with Risk to Market as referred to in Article 15(1), point (b), of Regulation (EU) 2019/2033.
(12) Own funds requirements associated with Risk to Firm as referred to in Article 15(1), point (c), of Regulation (EU) 2019/2033.’