25. pants Trešās valstsCCPatzīšana

Komisija ir pieņēmusi īstenošanas aktu saskaņā ar 6. punktu;

CCP ir saņēmis atļauju attiecīgajā trešā valstī un tam piemēro efektīvu uzraudzību un prasības, kas nodrošina pilnīgu atbilstību šajā trešā valstī piemērotajām uzraudzības prasībām;

saskaņā ar 7. punktu ir noslēgtas vienošanās par sadarbību;

CCP veic uzņēmējdarbību vai ir saņēmis atļauju trešā valstī, par kuru Komisija saskaņā ar Eiropas Parlamenta un Padomes Direktīvu (ES) 2015/849 ( 20 ) neuzskata, ka tās nelikumīgi iegūtu līdzekļu legalizēšanas un terorisma finansēšanas novēršanas režīmā ir stratēģiski trūkumi, kas rada būtiskus apdraudējumus Savienības finanšu sistēmai;

saskaņā ar 2.a punktu nav konstatēts, ka CCP ir sistēmiski nozīmīgs vai tāds, kas, iespējams, kļūs sistēmiski nozīmīgs, un tādēļ ir 1. līmeņa CCP.

the nature, size and complexity of the CCP's business in the Union, and outside the Union to the extent its business may have a systemic impact on the Union or on one or more of its Member States, including:

the effect that the failure of or a disruption to the CCP would have on:

the CCP's clearing membership structure including, to the extent the information is available, the structure of its clearing members' network of clients and indirect clients, established in the Union;

the extent to which alternative clearing services provided by other CCPs exist in financial instruments denominated in Union currencies for clearing members and, to the extent the information is available, their clients and indirect clients established in the Union;

the CCP's relationships, interdependencies, or other interactions with other financial market infrastructures, other financial institutions and the broader financial system to the extent that that is likely to have an impact on the financial stability of the Union or one or more of its Member States.

the CCP complies, at the moment of recognition and thereafter on an ongoing basis, with the requirements set out in Article 16 and in Titles IV and V. With regard to the CCP's compliance with Articles 41, 44, 46, 50 and 54, ESMA shall consult the central banks of issue referred to in point (f) of paragraph 3 in accordance with the procedure set out in Article 24b(1). ESMA shall take into account, in accordance with Article 25a, the extent to which a CCP's compliance with those requirements is satisfied by its compliance with comparable requirements applicable in the third country;

the central banks of issue referred to in point (f) of paragraph 3 have provided ESMA with written confirmation, within 30 working days of the determination that a third-country CCP is not a Tier 1 CCP in accordance with paragraph 2a or following the review in accordance with paragraph 5, that the CCP complies with the following requirements that those central banks of issue may have imposed in the carrying out of their monetary policy tasks:

The requirements referred to in subpoint (iv) shall ensure the efficiency, soundness and resilience of CCPs and be aligned with those set out in Article 16 and in Titles IV and V of this Regulation.

The application of the requirements referred to in subpoint (iv) shall be a condition for recognition for a limited period of time of up to six months. Where at the end of that period the central bank of issue considers that the exceptional situation persists, the application of the requirements for recognition purposes may be extended once by an additional period not exceeding six months.

Before imposing, or extending the application of, the requirements referred to in subpoint (iv), the central bank of issue shall inform ESMA, the other central banks of issue referred to in point (f) of paragraph 3 and the members of the third-country CCP college and provide them with an explanation of the effects of the requirements it intends to impose on the efficiency, soundness and resilience of CCPs and with a justification of why the requirements are necessary and proportionate to ensure the transmission of monetary policy or the smooth operation of payment systems in relation to the currency it issues. ESMA shall submit to the central bank of issue an opinion within 10 working days of the transmission of the draft requirement or draft extension. In emergency situations, the aforementioned period shall not exceed 24 hours. In its opinion, ESMA shall consider in particular the effects of the requirements imposed on the efficiency, soundness and resilience of the CCP. The other central banks of issue referred to in point (f) of paragraph 3 may submit an opinion within the same deadline. Upon conclusion of the period for consultation, the central bank of issue shall duly consider the amendments proposed in the opinions of ESMA or the central banks of issue referred to in point (f) of paragraph 3.

The central bank of issue shall also inform the European Parliament and the Council before extending the application of requirements referred to in subpoint (iv).

The central bank of issue shall cooperate and share information on a continuous basis with ESMA and the other central banks of issue referred to in point (f) of paragraph 3 in relation to the requirements referred to in subpoint (iv), in particular in relation to the assessment of systemic liquidity risks and the effects of the imposed requirements on the efficiency, soundness and resilience of CCPs.

Where a central bank of issue imposes any of the requirements referred to in this point after a Tier 2 CCP has been recognised, compliance with any such requirement shall be considered as a condition for recognition and the central banks of issue shall provide ESMA with written confirmation, within 90 working days, that the CCP complies with the requirement.

Where a central bank of issue has not provided a written confirmation to ESMA within the deadline, ESMA may consider that requirement to be fulfilled;

the CCP has provided ESMA with:

the CCP has implemented all necessary measures and established all necessary procedures to ensure the effective compliance with the requirements laid down in points (a) and (c);

the Commission has not adopted an implementing act in accordance with paragraph 2c.

explain how compliance with the conditions set out in paragraph 2b would not sufficiently address the financial stability risk for the Union or for one or more of its Member States;

describe the characteristics of the clearing services provided by the CCP, including the liquidity and physical settlement requirements associated with the provision of such services;

provide a quantitative technical assessment of the costs and benefits and consequences of a decision not to recognise the CCP to provide certain clearing services or activities, taking into account:

that following the adaptation period specified by the Commission in accordance with point (b) of this subparagraph, some or all of the clearing services of that third-country CCP can only be provided to clearing members and trading venues established in the Union by that CCP after it has been authorised to do so in accordance with Article 14;

an appropriate adaptation period for the CCP, its clearing members and their clients. The adaptation period shall not exceed two years, and may only be extended once by an additional period of six months where the reasons for granting an adaptation period still exist;

the conditions under which that CCP may continue to provide certain clearing services or activities during the adaptation period referred to in point (b);

any measures that shall be taken during the adaptation period, in order to limit the potential costs to clearing members and their clients, in particular those established in the Union.

the characteristics of the services offered by the CCP and their substitutability;

whether and to what extent, outstanding cleared transactions shall be included within the scope of the implementing act, taking into account the legal and economic consequences of that inclusion;

the potential cost implications to clearing members and, where that information is available, their clients, in particular those established in the Union.

tās dalībvalsts kompetento iestādi, kurā CCP sniedz vai plāno sniegt tīrvērtes pakalpojumus un kuru CCP ir izraudzījies;

kompetentajām iestādēm, kuru pienākums ir uzraudzīt CCP tīrvērtes dalībniekus, kas veic uzņēmējdarbību trijās dalībvalstīs, kuras sniedz vai, pēc CCP prognozēm, sniegs lielāko kopējo ieguldījumu 42. pantā minētajā CCP saistību neizpildes fondā viena gada laikā;

kompetentajām iestādēm, kas atbildīgas par tādu Savienībā izvietoto tirdzniecības vietu uzraudzību, kuras apkalpo vai apkalpos CCP;

kompetentajām iestādēm, kas uzrauga CCP, kuri veic uzņēmējdarbību Savienībā un ar kuriem ir izveidoti sadarbspējas mehānismi;

attiecīgajiem ECBS dalībniekiem no dalībvalstīm, kurās CCP sniedz vai plāno sniegt tīrvērtes pakalpojumus, un attiecīgajiem ECBS dalībniekiem, kas atbildīgi par to CCP pārziņu, ar kuriem ir izveidoti sadarbspējas mehānismi;

centrālajām bankām, kas emitē visas Savienības valūtas, kurās denominēti finanšu instrumenti, kam tīrvērti veic vai tīrvērte jāveic CCP.

ja minētais CCP paredz paplašināt vai sašaurināt savu darbību un pakalpojumu klāstu Savienībā, un tādā gadījumā CCP par to informē EVTI, iesniedzot tai visu nepieciešamo informāciju; un

jebkurā gadījumā vismaz reizi piecos gados.

trešās valsts tiesiskā un uzraudzības sistēma nodrošina to, ka attiecīgajā trešā valstī atļauju saņēmušie CCP pastāvīgi atbilst juridiski saistošām prasībām, kuras ir līdzvērtīgas šīs regulas IV sadaļā noteiktajām prasībām;

minētajiem CCP minētajā trešā valstī pastāvīgi tiek piemērota efektīva uzraudzība un prasību izpilde;

minētās trešās valsts tiesiskais regulējums paredz efektīvu līdzvērtīgu sistēmu tādu CCP atzīšanai, kas saņēmuši atļauju saskaņā ar trešo valstu tiesisko regulējumu.

the mechanism for the exchange of information on an annual basis between ESMA, the central banks of issue referred to in paragraph 3, point (f), and the competent authorities of the third countries concerned, so that ESMA is able to:

exceptionally, the mechanism for the exchange of information on a quarterly basis requiring detailed information covering the aspects referred to in paragraph 2a, and in particular information on significant changes to risk models and parameters, the extension of CCP activities and services and changes in the client account structure, with the aim of detecting whether a CCP is potentially close to becoming or is potentially likely to become systemically important for the financial stability of the Union or of one or more of its Member States as well as the mechanism for the exchange of information on market developments that could have consequences for the financial stability of the Union;

the mechanism for prompt notification to ESMA where a third-country competent authority deems a CCP it is supervising to be in breach of the conditions of its authorisation or of other law to which it is subject;

the mechanism for prompt notification to ESMA by the third-country competent authority where a third-country CCP which is supervised by that competent authority intends to extend or reduce its clearing services or activities;

the procedures necessary for the effective monitoring of regulatory and supervisory developments in a third country;

the procedures for third-country authorities to inform ESMA, the third-country CCP college referred to in Article 25c, and the central banks of issue referred to in paragraph 3, point (f), without undue delay of any emergency situations relating to the recognised CCP, including developments in financial markets, which may have an adverse effect on market liquidity and the stability of the financial system in the Union or one of its Member States and the procedures and contingency plans to address such situations;

the procedures for third-country authorities to assure the effective enforcement of decisions adopted by ESMA in accordance with Articles 25f, 25j, Article 25k(1), point (b), and Articles 25l, 25m and 25p;

the consent of third-country authorities to the onward sharing of any information they have provided to ESMA under the cooperation arrangements with the authorities referred to in paragraph 3 and the members of the third-country CCP college, subject to the professional secrecy requirements set out in Article 83.

the elements referred to in paragraph 7a, points (a), (c), (e), (f) and (h), where cooperation arrangements are not already established with the relevant third country pursuant to that paragraph;

the mechanism for the exchange of information at least on a monthly basis, as appropriate, between ESMA, the central banks of issue referred to in paragraph 3, point (f), and the competent authorities of the third countries concerned, including access to all information requested by ESMA to ensure the CCP’s compliance with the requirements referred to in paragraph 2b;

the procedures concerning the coordination of supervisory activities, including the agreement of third-country authorities to allow investigations and on-site inspections in accordance with Articles 25g and 25h respectively;

the procedures for third-country authorities to assure the effective enforcement of decisions adopted by ESMA in accordance with Articles 25b, 25f to 25m, 25p and 25q;

the procedures for third-country authorities to: