ANNEX III
‘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 | |
General information | ||
1(a) | Full name | A |
1(b) | Address | A |
1(c) | Legal status | A |
1(d) | Website | A |
1(e) | Contact person | A |
1(f) | Current authorisation status | A (1) |
1(g) | Operations conducted | A (1) |
1(h) | Constitutional documents | A (1) |
1(i) | Group structure | A (1) |
1(j) | Self-declaration of good repute | A (1) |
1(k) | Number of benchmarks | A |
Organisational structure and governance | ||
2(a) | Internal organisational structure | A |
2(b) | HR procedures | A |
2(c) | Number of employees | A |
2(d) | Curriculum Vitae | A |
2(e) | Criminal record files and self-declarations of good repute | A |
Conflicts of interest | ||
3(a) | Policies and procedures | A (2) |
3(b) | Material conflicts of interest | A |
3(c) | Remuneration structure | A |
Internal control structure, oversight and accountability framework | ||
4(a) | Policies and procedures for monitoring the activities of the provision of a benchmark | A |
4(b) | Internal reporting of infringements | A |
Description of benchmarks provided | ||
5(a) | Description | A |
5(b) | Underlying market | A |
5(c) | Contributors | A |
5(d) | Corrections | A |
5(e) | Changes to and cessation | A |
5(f) | List of benchmarks | A |
5(g) | Benchmark statement | A |
5(h) | Exemptions | A |
Input data and methodology | ||
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 |
Outsourcing | ||
7 | Policies, procedures and outsourcing arrangements to demonstrate compliance with Article 10 of Regulation (EU) 2016/1011 | A |
Others | ||
8 | Additional information | A |
(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 benchmark it provides.