1. Information about the identity of the applicant head undertaking and its group

The application for authorisation to establish a TCB should include the following information on the applicant head undertaking, the intermediate and the ultimate parent head undertaking as applicable:

• a) legal name, legal form, date and place of incorporation, website or other communication channels of the head undertakings and contact details of the person within the applicant head undertaking to contact regarding the application. Where relevant and available, the name and contact details of the principal professional adviser, if any, used to prepare the application;
• b) country and address of the registered office of the applicant head undertaking, the intermediate and the ultimate parent head undertaking and, where different, the country and address of its administrative headquarters;
• c) where applicable, name of the public register where the head undertaking is registered and related registration number and, where available, its Legal Entity Identifier (LEI);
• d) confirmation that the activities that the applicant head undertaking seeks authorisation for in the Member State are covered by the authorisation that such applicant head undertaking holds in the third country where it is established and is subject to supervision. Where relevant, explanation on the correspondence between the activities authorised in the third country and the activities listed in Annex I of CRD. Where lending or the provision of guarantees and commitment that the applicant head undertaking intends to provide in the Member State via the TCB is not subject to authorisation in the third country, the applicant head undertaking should clarify in the application that the core banking service is part of its ordinary course of business, and that is subject to prudential regulation and supervision (in particular all the risks linked to such core banking services are captured by the risk management framework and are reflected in the capital ratios and requirements);
• e) name, organisational unit, and contact details of the relevant contact persons within the third-country competent authority(ies) in charge of the supervision of the applicant head-undertaking and of the intermediate and ultimate head-undertaking, or for the supervision of the relevant activities, if different;
• f) confirmation that the application for authorisation to establish a TCB in the Member State and related documentation as per Article 48c(4), point (c) CRD has been notified to the third-country competent authority of the applicant head undertaking.

The application for authorisation should contain the following information on the head undertaking and its group:

• a) corporate chart of the group of the applicant head undertaking, showing, among others, the intermediary and ultimate parent head undertaking, as per Article 47(3), point (2) CRD and the geographic areas of establishment and of activity of the entities which are part of the TCG;
• b) indication of any ongoing or foreseen corporate material operations within the TCG (eg. mergers or acquisitions, establishment of new subsidiaries and/or other third-country branches) which may significantly impact on the prudential situation and the organisational structure of the applicant head undertaking;
• c) identity of the members of the management body in management function of (i) the applicant head undertaking, including the member(s) who is the ultimate reporting line about the TCB, and (ii) the intermediate and ultimate parent undertaking, where applicable;
• d) chart of the capital structure of the ultimate parent head undertaking with identification of direct controlling shareholders and of the ultimate beneficial owner(s). Where the TCG has one or more subsidiaries or TCBs in the EU which are financial sector entities, information on the Member State where they are authorised and name of the relevant authority or, where the application for authorisation is pending, indication of the competent authority handling such application and the relevant contact persons within that competent authority;
• e) audited financial statements of the last three years of the head undertaking on a solo and where applicable on a consolidated basis, including a summary note describing the operations of the head undertaking or its group;
• f) where the programme of operations envisages the taking of deposits by the TCB, commitment of the applicant head undertaking to make the TCB to become member of the deposit guarantee scheme of the Member State where the application is submitted²⁴ .
• g) statement from the third-country competent authority or authorities of the applicant head undertaking, and where applicable, the intermediary and ultimate parent head undertaking within the meaning of Article 47(2), point (b) CRD, that there are no grounds of opposition to the establishment of the TCB. Such statement(s) should cover the good standing of all the relevant head undertakings in respect of the compliance by such head undertaking(s) on an individual and on a consolidated basis as applicable under third-country law, with the prudential requirements applicable in third-country law and regulation (notably, own funds, own funds requirements, LCR, NSFR, leverage ratio requirement), and the adequacy of the organisational, administrative and accounting structures. The non-opposition statement should also cover the good repute of all the relevant head undertakings and the members of their respective management bodies in management function, as well as the controlling shareholders and the ultimate beneficial owners. The non-opposition statement by the third-country competent authority or authorities should consider any breach of law or regulation that is relevant for the prudential framework of the relevant third country, such as violation of prudential regulations, insolvency, commercial crimes, money laundering and terrorist financing, which occurred in the past ten years or other shorter period as applicable under third-country prudential law,

24 To align with Article 15 Directive 2014/49/EU on Deposit guarantee schemes, as amended by point (16) of Article 1 of Directive 2026/804/EU of 30 March 2026, in OJEU L of 20.4.2026, page 1. . including under pending procedure or investigation. Where relevant, the non-opposition statement should specify information about criminal, financial law, money laundering, insolvency or commercial law convictions which have not been set aside, pending criminal investigations, procedures or similar proceedings or investigations.

• h) Where directly provided to the applicant by the third-country competent authority, such non-opposition statement should be included in the application. Alternatively, the competent authority should consult the third-country competent authority in accordance with Part III of these Guidelines.
• i) A reasoned, third-party legal opinion on the absence of impediments in the third country’s framework applicable to the applicant, intermediate and ultimate parent head undertaking, as applicable, precluding the ability of the TCB to comply with the EU and prudential legislation and regulation.

The application should indicate whether, based on the criteria set out in Article 48a(1) and (2) CRD, including the conditions to be a qualifying TCB as per Article 48b(1) CRD, the envisaged TCB will classify as category 1 or category 2 TCB. To that end, the application should contain all the information necessary to enable the competent authority to review and assess the classification of the envisaged TCB.