Commission Implementing Regulation (EU) 2022/1220 of 14 July 2022 laying down implementing technical standards for the application of Directive 2014/65/EU
as it stood on 2022-07-14, permalink: /eu-eurlex/32022r1220/2022-07-14--2e780873abcdb8fe32a131e31baf05cc6b21f28675b7fccd40ab25c51462f38b
Article 1
The branch of a third-country firm authorised in accordance with Article 41(1) of Directive 2014/65/EU shall use the format set out in Annex I to report the information referred to in Article 41(3) of that Directive. However, where the third-country firm is subject to an equivalence decision as referred to in Article 47(1) of Regulation (EU) No 600/2014, the branch of such third-country firm shall use the format set out in Annex II for those services and activities that are covered by such equivalence decision.
The information referred to in paragraph 1 shall be submitted in a language customary in the sphere of international finance.
The information referred to in paragraph 1 shall be submitted by 30 April of each year and shall cover the period from 1 January to 31 December of the preceding calendar year. The information provided shall be accurate as of 31 December of the preceding year.
Article 2
For the purpose of Article 41(4) of Directive 2014/65/EU, competent authorities shall report the following fields from Annex I and II to ESMA:
| 1. | Reporting Period: 1a and 1b and, where applicable, 19a and 19b; |
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| 2. | Name of the third-country firm and the branch: 2a and 2d and, where applicable, 20a and 20d; |
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| 3. | Investment services, investment activities and ancillary services provided by the branch: 3a, 3b, 3c, 3d, 3e, 3f, 3g and 3h and, where applicable, 21a, 21b, 21c, 21d, 21e, 21f, 21g and 21h; |
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| 4. | Number of clients and counterparties and number of staff of the branch: 4a, 4b, 4c, 4d and, where applicable, 22a, 22b and 22c; |
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| 5. | Turnover and aggregated value of the assets of the branch: 5a, 5b, 5c and, where applicable, 23a, 23b and 23c. |
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Article 3
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
Provenance and validity dates, identifier, hash
| as of | 2022-07-14 → this publisher state was selected |
| publisher state | publisher version 2022-07-14 → latest held publisher-asserted |
| type | REG_IMPL Commission Implementing Regulation (EU) 2022/1220 of 14 July 2022 laying down implementing technical standards for the application of Directive 2014/65/EU of the European Parliament and of the Council with regard to the format in which branches of third-country firms and competent authorities have to report the information referred to in Article 41(3) and (4) of that Directive (Text with EEA relevance) |
| language | en |
| published | 2022-07-14 |
| lex_id | eu-eurlex:32022r1220:2022-07-14--2e780873abcdb8fe32a131e31baf05cc6b21f28675b7fccd40ab25c51462f38b |
| record sha256 | 2ebddc65ac51a1a97284b6600152f3b0c149eeb2dcbaf5bf86df55d8f8a5ec65 |
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