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Commission Implementing Regulation (EU) 2017/394 of 11 November 2016 laying down implementing technical standards with regard to standard forms, templates and procedures for authorisation, review and evaluation of central securities depositories, for the cooperation between authorities of the home Member State and the host Member State, for the consultation of authorities involved in the authorisation to provide banking-type ancillary services, for access involving central securities depositories, and with regard to the format of the records to be maintained by central securities depositories in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council (Assimilated Law)RecitalsChapter I CSD Authorisation (Article 17(10) of Regulation (EU) No 909/2014) (art. 1)Article 1 Standard forms, templates and procedures for applicationChapter II Review and evaluation (Article 22(11) of Regulation (EU) No 909/2014) (arts. 2-5)Article 2 Standard forms and templates for the provision of informationArticle 3 Procedure for the provision of informationArticle 4 Provision of information to the authorities referred to in Article 22(7) of Regulation (EU) No 909/2014Article 5 Exchange of information between competent authoritiesChapter III Cooperation arrangements (Article 24(8) of Regulation (EU) No 909/2014) (arts. 6-10)Article 6 General requirements for cooperation arrangementsArticle 7 Supervision of a branchArticle 8 On-site inspections in the branchArticle 9 Exchange of information on the CSD's activities in the host Member StateArticle 10 CSD breach of obligationsChapter IV Record keeping (Article 29(4) of Regulation (EU) No 909/2014) (art. 11)Article 11 Format of recordsChapter V Access (Articles 33(6), 49(6), 52(4) and 53(5) of Regulation (EU) No 909/2014) (art. 12)Article 12 Standard forms and templates for the access procedureChapter VI Procedure for authorisation to provide banking-type ancillary services and final provision (arts. 13-17)Article 13 List of authoritiesArticle 14 Transmission of information and request for a reasoned opinionArticle 15 Reasoned opinion and reasoned decisionArticle 16 Authorisation irrespective of negative reasoned opinionArticle 17 Entry into force and applicationAnnex I Forms and templates for the CSD application for authorisation (Article 17(10) of Regulation (EU) No 909/2014)Annex II Templates for submission of information for the review and evaluation (Article 22(11) of Regulation (EU) No 909/2014)Annex III Forms and templates for the cooperation between authorities of the home Member State and of the host Member State (Article 24(8) of Regulation (EU) No 909/2014)Annex IV Format of CSD records (Article 29(4) of Regulation (EU) No 909/2014)Annex V Forms and templates for access procedures (Articles 33(6), 49(6), 52(4) and 53(5) of Regulation (EU) No 909/2014)Annex VI Forms and templates for the consulta tion of author ities prior to granting author isation to provide banking-type ancillar y services (Article 55(8) of Regulation (EU) No 909/2014)Done at
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Version status: In force | Document consolidation status: Assimilated law updated to reflect all known changes
Published date: 10 March 2017

Commission Implementing Regulation (EU) 2017/394 of 11 November 2016 laying down implementing technical standards with regard to standard forms, templates and procedures for authorisation, review and evaluation of central securities depositories, for the cooperation between authorities of the home Member State and the host Member State, for the consultation of authorities involved in the authorisation to provide banking-type ancillary services, for access involving central securities depositories, and with regard to the format of the records to be maintained by central securities depositories in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council (Assimilated Law)

To be revoked by s. 1 and Sch. 1 Pt 1 to the Financial Services and Markets Act 2023 (c. 29) (FSMA 2023), Sch. 1 Pt 1 not yet fully commenced.

General modifications have been made by Annex A to the EU Exit Instrument: The Technical Standards (Bank Resolution and Recovery Directive) (EU Exit) (No.1) Instrument 2019.

Recitals
Chapter I CSD Authorisation (Article 17(10) of Regulation (EU) No 909/2014) (art. 1)
Article 1 Standard forms, templates and procedures for application
Chapter II Review and evaluation (Article 22(11) of Regulation (EU) No 909/2014) (arts. 2-5)
Article 2 Standard forms and templates for the provision of information
Article 3 Procedure for the provision of information
Article 4 Provision of information to the authorities referred to in Article 22(7) of Regulation (EU) No 909/2014
Article 5 Exchange of information between competent authorities
Chapter III Cooperation arrangements (Article 24(8) of Regulation (EU) No 909/2014) (arts. 6-10)
Article 6 General requirements for cooperation arrangements
Article 7 Supervision of a branch
Article 8 On-site inspections in the branch
Article 9 Exchange of information on the CSD's activities in the host Member State
Article 10 CSD breach of obligations
Chapter IV Record keeping (Article 29(4) of Regulation (EU) No 909/2014) (art. 11)
Article 11 Format of records
Chapter V Access (Articles 33(6), 49(6), 52(4) and 53(5) of Regulation (EU) No 909/2014) (art. 12)
Article 12 Standard forms and templates for the access procedure
Chapter VI Procedure for authorisation to provide banking-type ancillary services and final provision (arts. 13-17)
Article 13 List of authorities
Article 14 Transmission of information and request for a reasoned opinion
Article 15 Reasoned opinion and reasoned decision
Article 16 Authorisation irrespective of negative reasoned opinion
Article 17 Entry into force and application
Annex I Forms and templates for the CSD application for authorisation (Article 17(10) of Regulation (EU) No 909/2014)
Annex II Templates for submission of information for the review and evaluation (Article 22(11) of Regulation (EU) No 909/2014)
Annex III Forms and templates for the cooperation between authorities of the home Member State and of the host Member State (Article 24(8) of Regulation (EU) No 909/2014)
Annex IV Format of CSD records (Article 29(4) of Regulation (EU) No 909/2014)
Annex V Forms and templates for access procedures (Articles 33(6), 49(6), 52(4) and 53(5) of Regulation (EU) No 909/2014)
Annex VI Forms and templates for the consulta tion of author ities prior to granting author isation to provide banking-type ancillar y services (Article 55(8) of Regulation (EU) No 909/2014)
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