ANNEX III
Counterparty reference data
Tables 2 and 3 specify the reporting requirements for each data attribute in the counterparty reference data described in Template 1 of Annex I.
Table 2 specifies the requirements for counterparties resident in a reporting Member State while Table 3 specifies the requirements for counterparties not resident in a reporting Member State.
The following classification of requirements is used:
(a) N: subject to individual arrangements, the relevant NCBs may decide not to collect this information from individual reporting agents;
(b) X: information not required to be reported.
Where no classification is provided, the information is required to be reported.
Where data is covered by more than one description in Table 2 or 3, the most onerous reporting requirement must apply.
Table 2
Specific counterparty reference data reporting requirements for counterparties resident in a reporting Member State
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4.
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Debtor — All instruments originated prior to 1 September 2018
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5.
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Debtor — At least one instrument originated at or after 1 September 2018
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7.
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Head office undertaking
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8.
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Immediate parent undertaking
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9.
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Ultimate parent undertaking
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Counterparty reference data
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Counterparty identifier
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Legal Entity Identifier (LEI)
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N
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N
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N
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N
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N
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N
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N
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N
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N
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National identifier
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N
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N
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N
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N
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N
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N
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N
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N
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N
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Head office undertaking identifier
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X
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X
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X
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N
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N
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X
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X
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X
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X
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X
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Immediate parent undertaking identifier
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X
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X
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X
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N
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N
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X
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X
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X
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X
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X
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Ultimate parent undertaking identifier
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X
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X
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X
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N
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N
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X
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X
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X
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X
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X
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Name
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Address: street
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N
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Address: city/town/village
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N
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Address: county/administrative division
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N
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Address: postal code
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N
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Address: country
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N
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Legal form
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N
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Institutional sector
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N
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Economic activity
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X
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X
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N
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N
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N
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N
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Status of legal proceedings
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X
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X
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X
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N
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N
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N
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N
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N
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N
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N
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Date of initiation of legal proceedings
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X
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X
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X
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N
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N
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N
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N
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N
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N
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N
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Enterprise size
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X
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X
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X
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N
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N
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N
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N
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N
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N
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N
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Date of enterprise size
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X
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X
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X
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N
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N
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N
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N
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N
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N
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N
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Number of employees
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X
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X
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X
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N
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N
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N
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N
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N
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N
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X
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Balance sheet total
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X
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X
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X
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N
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N
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N
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N
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N
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N
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X
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Annual turnover
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X
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X
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X
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N
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N
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N
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N
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N
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N
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X
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Accounting standard
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X
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X
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X
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X
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X
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X
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X
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X
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X
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X
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Table 3
Specific counterparty reference data reporting requirements for counterparties not resident in a reporting Member State
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4.
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Debtor — All instruments originated prior to 1 September 2018
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5.
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Debtor — At least one instrument originated at or after 1 September 2018
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7.
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Head office undertaking
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8.
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Immediate parent undertaking
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9.
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Ultimate parent undertaking of the debtor
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Counterparty reference data
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Counterparty identifier
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NA
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Legal Entity Identifier (LEI)
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NA
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N
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N
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N
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N
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N
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N
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N
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N
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N
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National identifier
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NA
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N
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N
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N
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N
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N
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N
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N
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N
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N
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N
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Head office undertaking identifier
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NA
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X
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X
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X
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X
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X
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X
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X
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X
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X
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X
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Immediate parent undertaking identifier
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NA
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X
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X
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X
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X
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X
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X
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X
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X
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X
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X
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Ultimate parent undertaking identifier
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NA
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X
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X
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X
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X
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X
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X
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X
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X
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X
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X
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Name
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NA
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Address: street
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NA
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N
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Address: city/town/village
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NA
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N
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Address: county/administrative division
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NA
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X
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X
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X
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X
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X
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X
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X
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X
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X
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X
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Address: postal code
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NA
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N
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Address: country
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NA
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N
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Legal form
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NA
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N
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Institutional sector
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NA
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N
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Economic activity
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NA
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X
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N
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N
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N
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N
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N
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N
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N
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N
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N
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Status of legal proceedings
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NA
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X
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X
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X
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N
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N
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X
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X
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X
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X
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X
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Date of initiation of legal proceedings
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NA
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X
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X
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X
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N
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N
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X
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X
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X
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X
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X
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Enterprise size
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NA
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X
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X
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X
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N
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N
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X
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X
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X
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X
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X
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Date of enterprise size
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NA
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X
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X
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X
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X
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X
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X
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X
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X
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X
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X
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Number of employees
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NA
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X
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X
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X
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X
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X
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X
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X
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X
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X
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X
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Balance sheet total
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NA
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X
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X
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X
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X
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X
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X
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X
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X
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X
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X
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Annual turnover
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NA
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X
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X
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X
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X
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X
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X
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X
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X
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X
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X
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Accounting standard
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NA
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X
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X
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X
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X
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X
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X
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X
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X
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X
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X
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