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 |
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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 |
A to supervised entities N/A to non-supervised entities |
1(g) |
Operations conducted |
A |
A |
1(h) |
Constitutional documents |
A |
A |
1(i) |
Group structure |
A |
A |
1(j) |
Self-declaration of good repute |
A |
A |
1(k) |
Number of benchmarks |
A |
A |
(2) Organisational structure and governance |
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2(a) |
Internal organisational structure |
A |
A |
2(b) |
Employees |
A |
A |
2(c) |
Human resources |
A |
N/A |
(3) Conflicts of interest |
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3(a) |
Policies and procedures |
A |
A 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 |
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4(a) |
Policies and procedures for monitoring the activities of the provision of a benchmark |
A |
A in the form of a summary |
4(b) |
Internal arrangements for determining and publishing a benchmark |
A |
A in the form of a summary |
4(c) |
Internal reporting of infringements |
A |
A in the form of a summary |
(5) Description of benchmarks provided |
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5(a) |
Description |
A |
A in the form of a summary |
5(b) |
Underlying market |
A |
A in the form of a summary |
5(c) |
Contributors |
A |
A in the form of a summary |
5(d) |
Corrections |
A |
A in the form of a summary |
5(e) |
Changes to and cessation |
A |
A in the form of a summary |
(6) Input data and methodology |
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6(a)(i) |
Description of input data used |
A |
A in the form of a summary |
6(a)(ii) |
Input data — sufficient, appropriate and verifiable |
A |
A in the form of a summary |
6(a)(iii) |
Contributors |
A |
A in the form of a summary |
6(a)(iv) |
Evaluation of contributor's input data and validation of input data |
A |
N/A |
6(b)(i) |
Description of the methodology |
A |
A in the form of a summary |
6(b)(ii)(1) |
Validation/Review |
A |
A in the form of a summary |
6(b)(ii)(2) |
Material change |
A |
N/A |
(7) Outsourcing |
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7(a) |
Contracts |
A |
N/A |
7(b) |
Outsourced functions |
A |
A in the form of a summary |
7(c) |
Control |
A |
A in the form of a summary |
(8) Others |
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8(a) |
Additional information |
A |
A |
8(b) |
Form |
A |
A |