Register of information

Preamble (Recitals 1 – 14)

Recitals

Chapter I (Articles 1 – 2)

Subject matter and definitions

Article 1

Subject matter

Article 2

Definitions

Chapter II (Articles 3 – 5)

Content of the register of information

Article 3

General requirements for maintaining and updating the register of information

Article 4

Data format requirement

Article 5

Content of the register of information

Chapter III (Article 6)

Scope of consolidation

Article 6

Scope of the register of information at sub-consolidated and consolidated level

Chapter IV (Article 7)

Final provisions

Article 7

Entry into force

Article 5Note: This article is based on the final draft from the ESAs and is not yet adopted. Content of the register of information

  1. Financial entitiesas defined in Article 2, points (a) to (t) shall include in the register of information at least the following information:

    1. general information on the financial entity maintaining and updating the register of information at entity, sub-consolidate and consolidated level, respectively as specified in template RT.01.01 and in accordance with the instructions set out in Annex I of this Regulation;

    2. general information on the entities in the scope of consolidation as specified in template RT.01.02 and in accordance with the instructions set out in Annex I of this Regulation;

    3. identification of the branches of financial entitiesas defined in Article 2, points (a) to (t) located outside the home country listed in template RT.01.02, where applicable, as specified in template RT.01.03 and in accordance with the instructions set out in Annex I of this Regulation;

    4. general information on the contractual arrangements as specified in template RT.02.01 and in accordance with the instructions set out in Annex I of this Regulation;

    5. specific information on the contractual arrangements as specified in template RT.02.02, and in accordance with the instructions set out in Annex I of this Regulation;

    6. information on the links between intra-group contractual arrangements and contractual arrangements with ICT third-party service provideran undertaking providing ICT services which are not part of the groupa group as defined in Article 2, point (11), of Directive 2013/34/EU using the contractual reference numbers when part of the ICT service supply chain is intra-group as specified in template RT.02.03, and in accordance with the instructions set out in Annex I of this Regulation;

    7. information on the links between intra-group contractual arrangements and contractual arrangements with ICT third-party service provideran undertaking providing ICT services which are not part of the groupa group as defined in Article 2, point (11), of Directive 2013/34/EU using the contractual reference numbers when part of the ICT service supply chain is intra-group as specified in template RT.02.03, and in accordance with the instructions set out in Annex I of this Regulation;

    8. information on the entities signing the contractual arrangements with the direct ICT third-party service providersan undertaking providing ICT services for receiving ICT servicesdigital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services or on behalf of the entities making use of the ICT servicesdigital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services as specified in template RT.03.01 and in accordance with the instructions set out in Annex I of this Regulation;

    9. identification of the ICT third party service providers signing the contractual arrangements for providing ICT service(s) as specified in template RT.03.02 and in accordance with the instructions set out in Annex I of this Regulation;

    10. identification of the entities signing the contractual arrangements for providing ICT service(s) to other entities within the scope of consolidation as specified in template RT.03.03 and in accordance with the instructions set out in Annex I of this Regulation;

    11. information on the entities making use of the ICT servicesdigital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services provided by the ICT third-party service providersan undertaking providing ICT services as specified in template RT.04.01 and in accordance with the instructions set out in Annex I of this Regulation;

    12. information on the direct ICT third-party service providersan undertaking providing ICT services and subcontractors, as specified in template RT.05.01 and in accordance with the instructions set out in Annex I of this Regulation;

    13. information on the ICT service supply chain, as specified in template RT.05.02 and in accordance with the instructions set out in Annex I of this Regulation;

    14. information on the identification of functions as specified in template RT.06.01, and in accordance with the instructions set out in Annex I of this Regulation;

    15. information on the assessment of the ICT servicesdigital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services provided by ICT third-party service providersan undertaking providing ICT services supporting a critical or important functiona function the disruption of which would materially impair the financial performance of a financial entity, or the soundness or continuity of its services and activities, or the discontinued, defective or failed performance of that function would materially impair the continuing compliance of a financial entity with the conditions and obligations of its authorisation, or with its other obligations under applicable financial services law or material part thereof provided as specified in template RT.07.01 and in accordance with the instructions set out in Annex I of this Regulation;

    16. information on the internal definitions used by financial entitiesas defined in Article 2, points (a) to (t) and the terms included in close lists and taxonomies used when filling in the templates as specified in template RT.99.01 and in accordance with the instructions set out in Annex I of this Regulation.

  2. Where relevant for their risk management or contract management purposes, financial entitiesas defined in Article 2, points (a) to (t) may include into the register of information additional information not specified in this Regulation in the format that is most appropriate for the purposes of such additional information.

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