Annex I Instructions for completing the register of information

This template lists all contractual arrangements with direct ICT third-party service providers means an undertaking providing ICT services;.

For each contractual arrangement with a direct ICT third-party service provider means an undertaking providing ICT services;, the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; maintaining the register of information shall assign a unique ‘contractual arrangement reference number’ to identify unambiguously the contractual arrangement itself.

• the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; included in the scope of the contractual arrangement;

• the functions of the financial entitiesas defined in Article 2, points (a) to (t) supported by those ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services;;

• other important information in relation to the specific ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; provided (e.g. notice period, law governing the arrangement, etc.).

This template provides information on the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; signing the contractual arrangements with the direct ICT third-party service provider means an undertaking providing ICT services; for the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services;.

Where the register of information is maintained and updated at entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; level, the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; signing the contractual arrangement and the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; is the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; maintaining and updating the register of information.

In the context of sub-consolidation and consolidation, the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; provided is not necessarily the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; signing the contractual arrangement with the ICT third-party service providers means an undertaking providing ICT services;.

This template identifies all entities means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making uses of the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; provided by ICT third-party service providers means an undertaking providing ICT services; and registered in the register of information.

The entities means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; shall be either the financial entitiesas defined in Article 2, points (a) to (t) in scope, or the ICT intra-group service providers means an undertaking that is part of a financial group and that provides predominantly ICT services to financial entities within the same group or to financial entities belonging to the same institutional protection scheme, including to their parent undertakings, subsidiaries, branches or other entities that are under common ownership or control;.

Where the register of information is maintained and updated at entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; level, the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; signing the contractual arrangement and the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; are the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; maintaining the register.

• the direct ICT third-party service providers means an undertaking providing ICT services;;

• the ICT intra-group service providers means an undertaking that is part of a financial group and that provides predominantly ICT services to financial entities within the same group or to financial entities belonging to the same institutional protection scheme, including to their parent undertakings, subsidiaries, branches or other entities that are under common ownership or control;;

• all subcontractors included in template B_05.02 on ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; supply chain;

• the ultimate parent undertaking means a parent undertaking within the meaning of Article 2, point (9), and Article 22 of Directive 2013/34/EU; of the ICT third-party service providers means an undertaking providing ICT services; listed in points (a), (b) and (c).

This template identifies and links the ICT third-party service providers means an undertaking providing ICT services; that are part of the same ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; supply chain.

Financial entitiesas defined in Article 2, points (a) to (t) shall identify and rank the ICT third-party service providers means an undertaking providing ICT services; for each ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; included in each contractual arrangement.

• In relation to ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; A, the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; supply chain is composed of one ICT third-party service provider means an undertaking providing ICT services;, ICT third-party service provider means an undertaking providing ICT services; X, which will be ranked as number 1 in the template. ICT third-party service provider means an undertaking providing ICT services; X is the direct ICT third-party service provider means an undertaking providing ICT services;.

• In relation to ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; B, the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; supply chain is composed of two ICT third-party service providers means an undertaking providing ICT services;:

  • ICT third-party service provider means an undertaking providing ICT services; X, which will be ranked number 1 in the template. ICT third-party service provider means an undertaking providing ICT services; X is the direct ICT third-party service provider means an undertaking providing ICT services;.

  • ICT third-party service provider means an undertaking providing ICT services; Y, which will be ranked number 2 in the template. ICT third-party service provider means an undertaking providing ICT services; Y is a subcontractor.

  All ICT third-party service providers means an undertaking providing ICT services; belonging to the same ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; supply chain share the same ‘contractual arrangement reference number’ as referred to in template B_02.01 and the same type of ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services;

This template identifies and provides information on the functions of the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services;.

In the information to be provided in this template, financial entitiesas defined in Article 2, points (a) to (t) shall include a unique identifier, the ‘function identifier’ for each combination of a financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;’s LEI, licenced activity and function.

• F1 for the combination of “21USLEIC20231109J3Z8” “Activity A” and ‘Function X”

• F2 for the combination of “21USLEIC20231109J3Z8” “Activity B” and ‘Function X”

This template captures entity-internal explanations, meanings, and definitions of the closed set of indicators used by the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; in the register of information.

Example: In template B_07.01 the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; shall provide an indication of the impact of discontinuation of the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; by using a closed set of options (low, medium, high). In template B_99.01 the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; shall specify the meaning of those options.

• credit institutions means a credit institution as defined in Article 4(1), point (1), of Regulation (EU) No 575/2013 of the European Parliament and of the Council (^32^); Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and amending Regulation (EU) No 648/2012 (OJ L 176, 27.6.2013, p. 1).;

• payment institutions means a payment institution as defined in Article 4, point (4), of Directive (EU) 2015/2366;, including payment institutions means a payment institution as defined in Article 4, point (4), of Directive (EU) 2015/2366; exempted pursuant to Directive (EU) 2015/2366 of the European Parliament and of the Council(¹)Directive (EU) 2015/2366 of the European Parliament and of the Council of 25 November 2015 on payment services in the internal market, amending Directives 2002/65/EC, 2009/110/EC and 2013/36/EU and Regulation (EU) No 1093/2010, and repealing Directive 2007/64/EC (OJ L 337, 23.12.2015, p. 35, ELI: http://data.europa.eu/eli/dir/2015/2366/oj).

• account information service providers means an account information service provider as referred to in Article 33(1) of Directive (EU) 2015/2366;;

• electronic money institutions means an electronic money institution as defined in Article 2, point (1), of Directive 2009/110/EC of the European Parliament and of the Council;, including electronic money institutions exempted pursuant to Directive 2009/110/EC means an electronic money institution benefitting from a waiver as referred to in Article 9(1) of Directive 2009/110/EC; of the European Parliament and of the Council(²)Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC (OJ L 267, 10.10.2009, p. 7, ELI: http://data.europa.eu/eli/dir/2009/110/oj).

• investment firms means an investment firm as defined in Article 4(1), point (1), of Directive 2014/65/EU;;

• crypto-asset service providers means a crypto-asset service provider as defined in the relevant provision of the Regulation on markets in crypto-assets; authorised under Regulation (EU) 2023/1114 of the European Parliament and of the Council(³)Regulation (EU) 2023/1114 of the European Parliament and of the Council of 31 May 2023 on markets in crypto-assets, and amending Regulations (EU) No 1093/2010 and (EU) No 1095/2010 and Directives 2013/36/EU and (EU) 2019/1937 (OJ L 150, 9.6.2023, p. 40, ELI: http://data.europa.eu/eli/reg/2023/1114/oj).

• issuers of asset-referenced tokens means an issuer of asset-referenced tokens as defined in the relevant provision of the Regulation on markets in crypto-assets; authorised under Regulation (EU) 2023/1114;

• central securities depositories means a central securities depository as defined in Article 2(1), point (1), of Regulation (EU) No 909/2014;;

• central counterparties means a central counterparty as defined in Article 2, point (1), of Regulation (EU) No 648/2012;;

• trading venues means a trading venue as defined in Article 4(1), point (24), of Directive 2014/65/EU;;

• trade repositories means a trade repository as defined in Article 2, point (2), of Regulation (EU) No 648/2012;;

• managers of alternative investment funds means a manager of alternative investment funds as defined in Article 4(1), point (b), of Directive 2011/61/EU;;

• management companies means a management company as defined in Article 2(1), point (b), of Directive 2009/65/EC;;

• data reporting service providers means a data reporting service provider within the meaning of Regulation (EU) No 600/2014, as referred to in Article 2(1), points (34) to (36) thereof;;

• insurance and reinsurance undertakings means a reinsurance undertaking as defined in Article 13, point (4), of Directive 2009/138/EC;;

• insurance intermediaries means an insurance intermediary as defined in Article 2(1), point (3), of Directive (EU) 2016/97 of the European Parliament and of the Council (^34^); Directive (EU) 2016/97 of the European Parliament and of the Council of 20 January 2016 on insurance distribution (OJ L 26, 2.2.2016, p. 19)., reinsurance intermediaries means a reinsurance intermediary as defined in Article 2(1), point (5), of Directive (EU) 2016/97; and ancillary insurance intermediaries means an ancillary insurance intermediary as defined in Article 2(1), point (4), of Directive (EU) 2016/97;;

• institutions for occupational retirement provision means an institution for occupational retirement provision as defined in Article 6, point (1), of Directive (EU) 2016/2341;;

• credit rating agencies means a credit rating agency as defined in Article 3(1), point (b), of Regulation (EC) No 1060/2009;;

• administrators of critical benchmarks means an administrator of ‘critical benchmarks’ as defined in Article 3(1), point (25), of Regulation (EU) 2016/1011;;

• crowdfunding service providers means a crowdfunding service provider as defined in Article 2(1), point (e), of Regulation (EU) 2020/1503 of the European Parliament and of the Council (^35^); Regulation (EU) 2020/1503 of the European Parliament and of the Council of 7 October 2020 on European crowdfunding service providers for business, and amending Regulation (EU) 2017/1129 and Directive (EU) 2019/1937 (OJ L 347, 20.10.2020, p. 1).;

• securitisation repositories means a securitisation repository as defined in Article 2, point (23), of Regulation (EU) 2017/2402 of the European Parliament and of the Council (^36^); Regulation (EU) 2017/2402 of the European Parliament and of the Council of 12 December 2017 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation, and amending Directives 2009/65/EC, 2009/138/EC and 2011/61/EU and Regulations (EC) No 1060/2009 and (EU) No 648/2012 (OJ L 347, 28.12.2017, p. 35)..

• other financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;;

Where the register of information is maintained at the group means a group as defined in Article 2, point (11), of Directive 2013/34/EU; level by the parent undertaking means a parent undertaking within the meaning of Article 2, point (9), and Article 22 of Directive 2013/34/EU;, which is not itself subject to the obligation to maintain such register, i.e. it does not fall under the definition of financial entitiesas defined in Article 2, points (a) to (t) set out in Article 2 of the Regulation (EU) 2022/2554 (e.g., financial holding company, mixed financial holding company or mixed-activity holding company) ‘Other financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;’ option shall be chosen.

• credit institutions means a credit institution as defined in Article 4(1), point (1), of Regulation (EU) No 575/2013 of the European Parliament and of the Council (^32^); Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and amending Regulation (EU) No 648/2012 (OJ L 176, 27.6.2013, p. 1).;

• payment institutions means a payment institution as defined in Article 4, point (4), of Directive (EU) 2015/2366;, including payment institutions means a payment institution as defined in Article 4, point (4), of Directive (EU) 2015/2366; exempted pursuant to Directive (EU) 2015/2366;

• account information service providers means an account information service provider as referred to in Article 33(1) of Directive (EU) 2015/2366;;

• electronic money institutions means an electronic money institution as defined in Article 2, point (1), of Directive 2009/110/EC of the European Parliament and of the Council;, including electronic money institutions exempted pursuant to Directive 2009/110/EC means an electronic money institution benefitting from a waiver as referred to in Article 9(1) of Directive 2009/110/EC;;

• investment firms means an investment firm as defined in Article 4(1), point (1), of Directive 2014/65/EU;;

• crypto-asset service providers means a crypto-asset service provider as defined in the relevant provision of the Regulation on markets in crypto-assets; authorised under Regulation (EU) 2023/1114;

• issuers of asset-referenced tokens means an issuer of asset-referenced tokens as defined in the relevant provision of the Regulation on markets in crypto-assets; authorised under Regulation (EU) 2023/1114;

• central securities depositories means a central securities depository as defined in Article 2(1), point (1), of Regulation (EU) No 909/2014;;

• central counterparties means a central counterparty as defined in Article 2, point (1), of Regulation (EU) No 648/2012;;

• trading venues means a trading venue as defined in Article 4(1), point (24), of Directive 2014/65/EU;;

• trade repositories means a trade repository as defined in Article 2, point (2), of Regulation (EU) No 648/2012;;

• managers of alternative investment funds means a manager of alternative investment funds as defined in Article 4(1), point (b), of Directive 2011/61/EU;;

• management companies means a management company as defined in Article 2(1), point (b), of Directive 2009/65/EC;;

• data reporting service providers means a data reporting service provider within the meaning of Regulation (EU) No 600/2014, as referred to in Article 2(1), points (34) to (36) thereof;;

• insurance and reinsurance undertakings means a reinsurance undertaking as defined in Article 13, point (4), of Directive 2009/138/EC;;

• insurance intermediaries means an insurance intermediary as defined in Article 2(1), point (3), of Directive (EU) 2016/97 of the European Parliament and of the Council (^34^); Directive (EU) 2016/97 of the European Parliament and of the Council of 20 January 2016 on insurance distribution (OJ L 26, 2.2.2016, p. 19)., reinsurance intermediaries means a reinsurance intermediary as defined in Article 2(1), point (5), of Directive (EU) 2016/97; and ancillary insurance intermediaries means an ancillary insurance intermediary as defined in Article 2(1), point (4), of Directive (EU) 2016/97;;

• institutions for occupational retirement provision means an institution for occupational retirement provision as defined in Article 6, point (1), of Directive (EU) 2016/2341;;

• credit rating agencies means a credit rating agency as defined in Article 3(1), point (b), of Regulation (EC) No 1060/2009;;

• administrators of critical benchmarks means an administrator of ‘critical benchmarks’ as defined in Article 3(1), point (25), of Regulation (EU) 2016/1011;;

• crowdfunding service providers means a crowdfunding service provider as defined in Article 2(1), point (e), of Regulation (EU) 2020/1503 of the European Parliament and of the Council (^35^); Regulation (EU) 2020/1503 of the European Parliament and of the Council of 7 October 2020 on European crowdfunding service providers for business, and amending Regulation (EU) 2017/1129 and Directive (EU) 2019/1937 (OJ L 347, 20.10.2020, p. 1).;

• securitisation repositories means a securitisation repository as defined in Article 2, point (23), of Regulation (EU) 2017/2402 of the European Parliament and of the Council (^36^); Regulation (EU) 2017/2402 of the European Parliament and of the Council of 12 December 2017 laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation, and amending Directives 2009/65/EC, 2009/138/EC and 2011/61/EU and Regulations (EC) No 1060/2009 and (EU) No 648/2012 (OJ L 347, 28.12.2017, p. 35).;

• other financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;;

• non-financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;: ICT intra-group service provider means an undertaking that is part of a financial group and that provides predominantly ICT services to financial entities within the same group or to financial entities belonging to the same institutional protection scheme, including to their parent undertakings, subsidiaries, branches or other entities that are under common ownership or control;;

• non-financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;: other.

• The financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; is the ultimate parent undertaking means a parent undertaking within the meaning of Article 2, point (9), and Article 22 of Directive 2013/34/EU; in the consolidation;

• The financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; is the parent undertaking means a parent undertaking within the meaning of Article 2, point (9), and Article 22 of Directive 2013/34/EU; of a sub-consolidated part in the consolidation;

• The financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; is a subsidiary means a subsidiary undertaking within the meaning of Article 2, point (10), and Article 22 of Directive 2013/34/EU; in the consolidation and is not a parent undertaking means a parent undertaking within the meaning of Article 2, point (9), and Article 22 of Directive 2013/34/EU; of a sub-consolidated part;

• The financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; is not part of a group means a group as defined in Article 2, point (11), of Directive 2013/34/EU;;

• The financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; is a service provider to which the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; (or the third-party service provider acting on its behalf) is outsourcing all its operational activities.

Where an entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; fulfils more than one options from the closed list above, the higher-level option applicable to this entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; shall be selected.

Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of deletion of the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; from the register of information.

Where the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; has not been deleted, ‘9999-12-31’ shall be reported.

Identify the ISO 4217 alphabetic code of the currency used for the preparation of the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;’s financial statements.

The currency reported shall be the same currency used by the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; for the preparation of the financial statements at entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;, sub-consolidated or consolidated level, as applicable.

Monetary value of total assets of the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; as reported in the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;’s annual financial statement of the year before the date of the last update of the register of information. Monetary value shall be reported in units.

Refer to Annex IV for the filling in this column.

• LEI of the branch if unique for this branch and different from B_01.03.0020;

• other identification code used by the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; to identify the branch (where the LEI of the branch is equivalent to the one in template B_01.03.0020 or equivalent to the LEI of another branch).

As reported in B_01.02.0010

Identify the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; head office of the branch, using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard means a standard as defined in Article 2, point (1), of Regulation (EU) No 1025/2012 of the European Parliament and of the Council (^29^); Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council (OJ L 316, 14.11.2012, p. 12).

Identify the contractual arrangement between the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; or, in case of a group means a group as defined in Article 2, point (11), of Directive 2013/34/EU;, the group means a group as defined in Article 2, point (11), of Directive 2013/34/EU; subsidiary means a subsidiary undertaking within the meaning of Article 2, point (10), and Article 22 of Directive 2013/34/EU; and the direct ICT third-party service provider means an undertaking providing ICT services;.

The contractual arrangement reference number is the internal reference number of the contractual arrangement assigned by the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;.

The contractual arrangement reference number shall be unique and consistent over time at entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;, sub-consolidated and consolidated level, where applicable.

The contractual arrangement reference number shall be used consistently across all templates of the register of information when referring to the same contractual arrangement.

For the case where an entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; is acting on behalf of a financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; for all the activities of the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; including the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; (refer to recital 7) the contractual arrangement reference number can be the contractual arrangement between the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; and its direct ICT third-party service provider means an undertaking providing ICT services;.

• standalone arrangement;

• overarching / master contractual arrangement;

• subsequent or associated arrangement.

Annual expenses or estimated costs (or intragroup transfer) of the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; contractual arrangement for the past year. Monetary value shall be reported in units.

The annual expense or estimated cost shall be expressed in the currency reported in B_01.02.0040.

• where the annual expenses or estimate costs are not determined at the level of the overarching arrangement (i.e. they are 0), the annual expenses or estimated costs shall be reported at the level of each subsequent or associated arrangements.

• where the annual expenses or estimated costs cannot be reported for each of the subsequent or associated arrangements, the total annual expenses or estimated costs shall be reported at the level of the overarching arrangement.

• where there are annual expenses or estimated costs related to each level of the arrangement, i.e. overarching and subsequent or associated, and that information is available, the annual expenses or estimated costs shall be reported without duplication at each level of the contractual arrangement.

As reported in B_04.01.0020

Identify the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881;(s) using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard means a standard as defined in Article 2, point (1), of Regulation (EU) No 1025/2012 of the European Parliament and of the Council (^29^); Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council (OJ L 316, 14.11.2012, p. 12).

As reported in B_05.01.0010

Code to identify the ICT third-party service provider means an undertaking providing ICT services; as reported in B_05.01.0010 for that provider.

As reported in B_05.01.0020

Type of code to identify the ICT third-party service provider means an undertaking providing ICT services; in B_02.02.0030 as reported in B_05.01.0020 for that provider.

Identify the end date as stipulated in the contractual arrangement using the ISO 8601 (yyyy–mm–dd) code. Where the contractual arrangement is indefinite, it shall be filled in with ‘9999-12-31’. Where the contractual arrangement has been terminated on a date different than the end date, this shall be filled in with the termination date.

Where the contractual arrangement foresees a renewal, this shall be filled in with the date of the contract renewal as stipulated in the contractual arrangement.

• Termination not for cause: The contractual arrangement has expired/ended and has not been renewed by any of the parties;

• Termination for cause: The contractual arrangement has been terminated, the ICT third-party service provider means an undertaking providing ICT services; being in a breach of applicable law, regulations or contractual provisions;

• Termination for cause: The contractual arrangement has been terminated, due to the fact that impediments of the ICT third-party service provider means an undertaking providing ICT services; capable of altering the supported function have been identified;

• Termination for cause: The contractual arrangement has been terminated due to weaknesses of the ICT third-party service provider means an undertaking providing ICT services; regarding the management and security of sensitive data or information of any of the counterparties;

• Termination following a request by a competent authorityas defined in Article 46: The contractual arrangement has been terminated following a request by a competent Authorityas defined in Article 46.

• Other: The contractual arrangement has been terminated by any of the parties for any other reason than the reasons referred to in points 1 to 5.

Is the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; related to (or does it foresee) storage of data (even temporarily)?

• Yes;

• No.

Identify the country of location of the data at rest (storage) using the ISO 3166–1 alpha–2 code.

If there are several countries of location, additional row(s) shall be used for each country.

Identify the country of location of the management of the data (processing) using the ISO 3166–1 alpha–2 code.

If there are several countries of location, additional row(s) shall be used for each country.

• Low

• Medium;

• High.

The most sensitive data take precedence: e.g. if both ‘Medium’ and ‘High’ apply, then ‘High’ shall be selected.

• Not significant;

• Low reliance: in case of disruption of the services, the supported functions would not be significantly impacted (no interruption, no important damage) or disruption can be resolved quickly and with minimal impact on the functions supported;

• Material reliance: in case of disruption of the services, the supported functions would be significantly impacted if the disruption lasts more than a few minutes/few hours, and the disruption may cause damages, but is still manageable;

• Full reliance: in case of disruption of the services, the supported functions would be immediately and severely interrupted/damaged, for a long period.

Reference number of the contractual arrangement between the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881;(s) provided and the ICT intra-group service provider means an undertaking that is part of a financial group and that provides predominantly ICT services to financial entities within the same group or to financial entities belonging to the same institutional protection scheme, including to their parent undertakings, subsidiaries, branches or other entities that are under common ownership or control;.

The contractual arrangement reference number shall be unique and consistent over time and across all the group means a group as defined in Article 2, point (11), of Directive 2013/34/EU;.

As reported in B_02.02.0010

Identify the contractual arrangement reference number signed by the undertaking

As reported in B_02.02.0010

Identify the contractual arrangement reference number signed by the ICT third-party service provider means an undertaking providing ICT services;

As reported in B_05.01.0010

Code to identify the ICT third-party service provider means an undertaking providing ICT services; as reported in B_05.01.0020 for that provider.

As reported in B_05.01.0020

Type of code to identify the ICT third-party service provider means an undertaking providing ICT services; in B_03.02.0020 as reported in B_05.01.0020 for that provider.

As reported in B_02.02.0010

Identify the reference number of the contractual arrangement signed by the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; for providing ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881;(s)

As reported in B_01.02.0010

Identify the entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; providing ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; using LEI, 20-character, alpha-numeric code based on the ISO 17442 standard means a standard as defined in Article 2, point (1), of Regulation (EU) No 1025/2012 of the European Parliament and of the Council (^29^); Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council (OJ L 316, 14.11.2012, p. 12)..

As reported in B_02.01.0010

Identify the reference number of the contractual arrangement in relation to the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; provided

• The financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881;(s) is a branch of a financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;

• The financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881;(s) is not a branch

As reported in B_05.01.0010 for that ICT third-party service provider means an undertaking providing ICT services;.

• The identification code of the direct ICT third-party service provider means an undertaking providing ICT services; providing ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; to the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of it;

• The identification code of the subcontractor at rank 2 providing service to the direct ICT third-party service provider means an undertaking providing ICT services;.

Where the ICT third-party service provider means an undertaking providing ICT services; is signing the contractual arrangement with the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;, it is considered as a direct ICT third-party service provider means an undertaking providing ICT services; and the ‘rank’ to be reported shall be 1;

Where the ICT third-party service provider means an undertaking providing ICT services; is signing the contract with the direct ICT third-party service provider means an undertaking providing ICT services;, it is considered as a subcontractor and the ‘rank’ to be reported shall be 2;

The same logic apply to all the following subcontractors by incrementing the ‘rank’.

Where multiple ICT third-party service providers means an undertaking providing ICT services; have the same ‘rank’ in the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; supply chain, financial entitiesas defined in Article 2, points (a) to (t) shall report the same ‘rank’ for all those ICT third-party service providers means an undertaking providing ICT services;.

To be left blank if the ICT third-party service provider means an undertaking providing ICT services; (template B_05.02.0030) is a direct ICT third-party service provider means an undertaking providing ICT services; i.e. at ‘rank’ r = 1 (template B_05.02.0050);

Where the ICT third-party service provider means an undertaking providing ICT services; is at ‘rank’ r = n where n>1, indicate the ‘Identification code of the recipient of the sub-contracted services’ at ‘rank’ r=n-1 that subcontracted the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; (even partially) to the ICT third-party service provider means an undertaking providing ICT services; at ‘rank’ r=n.

• The identification code of the direct ICT third-party service provider means an undertaking providing ICT services; receiving the service from the subcontractor at rank 2;

• The identification code of the subcontractor at rank 2 receiving the service from the subcontractor at rank 3.

The code used to identify the recipient of sub-contracted ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; shall match the identification code provided in B_05.01.0010 for that provider.

To be left blank where the ICT third-party service provider means an undertaking providing ICT services; template B_05.02.0030) is at rank r = 1 (template B_05.02.0050);

• ‘LEI’ for LEI

• ‘EUID’ for EUID

• CRN for Corporate registration number

• VAT for VAT number

• PNR for Passport Number

• NIN for National Identity Number

The type of code used to identify the recipient of sub-contracted ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; shall match the identification code provided in B_05.01.0020 for that provider.

The function identifier shall be composed by the letter F (capital letter) followed by a natural number (e.g. “F1” for the 1^st function identifier and “Fn” for the n^th function identifier with “n” being a natural number).

Each combination between ‘LEI of the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; making use of the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881;(s)’ (B_06.01.0040), ‘Function name’ (B_06.01.0030) and ‘Licenced activity’ (B_06.01.0020) shall have a unique function identifier.

Example: a financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; which operates under two licensed activities (‘activity A’ and ‘activity B’) will be given two unique ‘function identifiers’ for the same function X (e.g. Sales) performed for activity A and activity B.

One of the licenced activities referred to in the underlying legal acts listed in Annex II for the different types of financial entitiesas defined in Article 2, points (a) to (t).

Where the function is not linked to a registered or licenced activity, ‘support functions’ shall be reported.

As reported in B_04.01.0020

Identify the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; using the LEI, 20-character, alpha-numeric code based on the ISO 17442 standard means a standard as defined in Article 2, point (1), of Regulation (EU) No 1025/2012 of the European Parliament and of the Council (^29^); Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council (OJ L 316, 14.11.2012, p. 12).

• Yes;

• No;

• Assessment not performed.

Identify the date using ISO 8601 (yyyy–mm–dd) code of the date of the last assessment of criticality or importance in case the function is supported by ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; provided by ICT third-party service providers means an undertaking providing ICT services;.

Where the assessment of the function’s criticality or importance is not performed, it shall be filled in with ‘9999-12-31’

• Low

• Medium;

• High;

• Assessment not performed.

Use this column to provide the results of the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;’s assessment in relation to the degree of substitutability of the ICT third-party service provider means an undertaking providing ICT services; to perform the specific ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; supporting a critical or important function means a function, the disruption of which would materially impair the financial performance of a financial entity, or the soundness or continuity of its services and activities, or the discontinued, defective or failed performance of that function would materially impair the continuing compliance of a financial entity with the conditions and obligations of its authorisation, or with its other obligations under applicable financial services law;.

• Not substitutable;

• Highly complex substitutability;

• Medium complexity in terms of substitutability;

• Easily substitutable.

• The lack of real alternatives, even partial, due to the limited number of ICT third-party service providers means an undertaking providing ICT services; active on a specific market, or the market share of the relevant ICT third-party service provider means an undertaking providing ICT services;, or the technical complexity or sophistication involved, including in relation to any proprietary technology, or the specific features of the ICT third-party service provider means an undertaking providing ICT services;’s organisation or activity;

• Difficulties in relation to a partial or full migration of the relevant data and workloads from the relevant ICT third- party service provider to another ICT third-party service provider means an undertaking providing ICT services; or by reintegrating them in the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;’s operations, due either to significant financial costs, time or other resources that the migration process may entail, or to an increased ICT risk means any reasonably identifiable circumstance in relation to the use of network and information systems which, if materialised, may compromise the security of the network and information systems, of any technology dependent tool or process, of operations and processes, or of the provision of services by producing adverse effects in the digital or physical environment; or other operational risks means the potential for loss or disruption caused by an incident and is to be expressed as a combination of the magnitude of such loss or disruption and the likelihood of occurrence of the incident; to which the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; might be exposed;

• Both reasons referred to in points 1 and 2.

Use this column to provide the date of the last audit on the specific ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; provided by the ICT third-party service provider means an undertaking providing ICT services;.

• the internal audit department or any other additional qualified personnel of the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;;

• a joint team together with other clients of the same ICT third-party service provider means an undertaking providing ICT services; (‘pooled audit’);

• a third party appointed by the supervised entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; to audit the service provider.

This column does not relate to the reception or reference date of third-party certifications or internal audit reports of the ICT third-party service provider means an undertaking providing ICT services;, the annual monitoring date of the arrangement by the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; or the date of review of the risk means the potential for loss or disruption caused by an incident and is to be expressed as a combination of the magnitude of such loss or disruption and the likelihood of occurrence of the incident; assessment performed by the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;.

This column shall be used to report all types of audits performed by any of the subjects referred to in points (a), (b) and (c) concerning fully or partially the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; provided by the ICT third-party service provider means an undertaking providing ICT services;.

To report the date, the ISO 8601 (yyyy–mm–dd) code shall be used.

Where no audit has been performed, it shall be filled in with ‘9999-12-31’.

Use this column to report the existence of an exit plan from the ICT third-party service provider means an undertaking providing ICT services; in relation to the specific ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; provided.

• Yes;

• No.

• Easy;

• Difficult;

• Highly complex.

Use this column where the ICT service means an ICT service as defined in Article 2, point (13), of Regulation (EU) 2019/881; is provided by an ICT third-party service provider means an undertaking providing ICT services; that is not an ICT intra-group service provider means an undertaking that is part of a financial group and that provides predominantly ICT services to financial entities within the same group or to financial entities belonging to the same institutional protection scheme, including to their parent undertakings, subsidiaries, branches or other entities that are under common ownership or control;

Use this column to provide the impact for the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations; of discontinuing the ICT services means digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; provided by the ICT third-party service provider means an undertaking providing ICT services; according to the financial entity means a natural or legal person created and recognised as such under the national law of its place of establishment, which may, acting under its own name, exercise rights and be subject to obligations;’s assessment.

• Low

• Medium;

• High;

• Assessment not performed.

• Yes;

• No;

• Assessment not performed.

For each ICT third-party service provider means an undertaking providing ICT services; supporting a critical or important function means a function, the disruption of which would materially impair the financial performance of a financial entity, or the soundness or continuity of its services and activities, or the discontinued, defective or failed performance of that function would materially impair the continuing compliance of a financial entity with the conditions and obligations of its authorisation, or with its other obligations under applicable financial services law;, the assessment to identify an alternative service provider shall be performed.