Guideline (EU) 2018/876 of the European Central Bank of 1 June 2018 on the Register of Institutions and Affiliates Data (ECB/2018/16)

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Contents

Preamble
CHAPTER I GENERAL PROVISIONS
1. Article 1 Subject matter and purpose
2. Article 2 Definitions
CHAPTER II GENERAL PROVISIONS ON RIAD AND ON THE RECORDING, MAINTENANCE, REVISION AND TRANSMISSION OF REFERENCE DATA FOR ENTITIES
CHAPTER III CONFIDENTIALITY
1. Article 10 Confidentiality of attribute values
CHAPTER IV DATA QUALITY MANAGEMENT
1. Article 11 Data quality and synchronisation
CHAPTER V COOPERATION WITH AUTHORITIES OTHER THAN NCBS
1. Article 12 Cooperation with authorities other than NCBs
CHAPTER VI SPECIFIC PROVISIONS ON THE RECORDING OF REFERENCE DATA FOR ENTITIES
CHAPTER VII RELEVANT REFERENCE DATA ON ENTITIES FOR UNPUBLISHED DATASETS AND GROUPS
CHAPTER VIII FINAL PROVISIONS
ANNEX
ANNEX I REGISTER OF INSTITUTIONS AND AFFILIATES DATA (RIAD) - LISTS FOR PUBLICATION
PART 1 Attributes to be reported for datasets maintained for publication
PART 2 1.2.3. Types of relationships between entities
ANNEX II REGISTER OF INSTITUTIONS AND AFFILIATES DATA (RIAD) - LISTS NOT FOR PUBLICATION
Attributes to be reported for datasets according to their respective legal framework referred to in Chapter VII of this Guideline ———————————

THE GOVERNING COUNCIL OF THE EUROPEAN CENTRAL BANK,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 127(2) and (5) thereof,

Having regard to the Statute of the European System of Central Banks and of the European Central Bank, and in particular Articles 5.1, 12.1 and 14.3 thereof,

Whereas:

(1) The European Central Bank (ECB) maintains the Register of Institutions and Affiliates Data (RIAD). RIAD is the shared dataset of reference data on legal and other statistical institutional units, the collection of which supports business processes across the Eurosystem and the performance of the tasks of the European System of Central Banks (ESCB) and the Single Supervisory Mechanism (SSM). RIAD facilitates the integration of a variety of datasets, in particular by providing common identifiers. Combined with data from other databases such as the Centralised Securities Database (CSDB), the European System of Central Banks Securities Holdings Statistics Database (SHSDB) and the common granular analytical credit database (AnaCredit), RIAD data underpin analyses and studies supporting the taking of monetary policy decisions, the early detection of systemic risks and the conduct of macro-prudential policies and micro-prudential supervision. RIAD data are also used to prepare the official lists of monetary financial institutions, investment funds, financial vehicle corporations engaged in securitisation transactions, payment statistics relevant institutions and insurance corporations. The recording of reference data for entities will be processed and recorded in RIAD subject to the existing procedures.

(2) RIAD contains a wide range of attributes on individual entities and relationships between such entities that enables the derivation of group structures. These structures, including the one known as close-links, may be composed differently for accounting or prudential consolidation purposes. These data processes and related analyses support collateral and risk management, financial stability and micro-prudential supervision.

(3) Each national central bank (NCB) currently provides its input in, and updates to, RIAD in accordance with different ECB legal acts such as Guideline ECB/2014/15, Regulation (EU) No 1333/2014 of the European Central Bank (ECB/2014/48) and Regulation (EU) 2016/867 of the European Central Bank (ECB/2016/13). The ESCB also makes use of the balance sheet data reported within the framework of the ECB's monetary and financial statistics in relation to its counterparties as defined in point 11 of Article 2 of Guideline (EU) 2015/510 of the European Central Bank (ECB/2014/60). In the future, NCBs will also be required to provide their input in and update RIAD in respect of non-financial corporations and other entities, in particular to support AnaCredit. The NCBs monitor and ensure the quality of all information made available to the ECB in accordance with the Public Commitment on European Statistics by the ESCB and the ECB Statistics Quality Framework and quality assurance procedures.

(4) The aim of this Guideline is to better coordinate the responsibilities of each NCB and each relevant business area of an NCB to provide, update and validate reference data.

(5) The confidentiality of statistical data collected under the legal acts referred to in this Guideline should be safeguarded in accordance with Council Regulation (EC) No 2533/98. Any reference data not collected under the ESCB legal framework for statistics will be subject to the confidentiality provisions of the contract with the relevant entity which provided the data.

(6) Accurate, timely and comprehensive reference data on entities and the relationships between them are necessary for the performance of ESCB and SSM tasks. Hence, it is necessary to enhance the overall governance of RIAD and to consolidate the requirements relating to data collection, quality management and dissemination under this Guideline as regards ESCB tasks, addressed to the NCBs of the Member States whose currency is the euro as well as, for SSM tasks, under a separate guideline addressed to the national competent authorities.

(7) The reference data reported currently under Guideline ECB/2014/15 are to be reported under this Guideline. In the future, the reference data reported under Guideline (EU) 2017/2335 of the European Central Bank (ECB/2017/38) and other ECB Guidelines, as deemed necessary, will be reported under this Guideline.

(8) The Euro Unsecured Overnight Interest Rate which, according to the Governing Council Decision of 20 September 2017 would be produced before 2020, will also rely on the enrichment of the reported LEIs with reference information from RIAD. Given the high criticality and importance of this forthcoming new rate and the planned publication of additional data relevant for Regulation (EU) No 1333/2014 (ECB/2014/48), competent NCBs should take all possible efforts to ensure the quality and reliability of those data.

(9) In the interests of a close and effective cooperation across the ESCB for the management of RIAD, this Guideline should be complemented by a Recommendation to invite NCBs of the Member States whose currency is not the euro to actively contribute to the data reporting and validation in RIAD and, on a reciprocal basis, share data on their domestic entities and have access to the euro area dataset.

(10) Furthermore, due to the complementarity between the ESCB and SSM in processing and updating data on group structures, the relevant requirements as regards ESCB tasks should be laid down in this Guideline and the relevant requirements as regards SSM tasks should be laid down in the future Guideline addressed to the SSM.

(11) Any personal data in RIAD should be processed in accordance with Regulations (EC) No 45/2001 and (EU) 2016/679 of the European Parliament and of the Council.

(12) It is necessary to establish a procedure for making technical amendments to the annexes to this Guideline in an effective manner, provided they neither change the underlying conceptual framework nor affect the reporting burden,

HAS ADOPTED THIS GUIDELINE:

CHAPTER I GENERAL PROVISIONS

Article 1 Subject matter and purpose

1. This Guideline establishes the obligations of NCBs with respect to the reporting of reference data to, and the maintenance and data quality management of, RIAD, as well as certain obligations of the ECB with respect to arrangements for data maintenance.

2. RIAD shall be the ESCB's shared dataset of reference data on individual entities and the relationships between them. RIAD shall facilitate the integration of the CSDB, the SHSDB and (as of when the obligation of reporting agents to report data under Regulation (EU) 2016/867 (ECB/2016/13) becomes applicable) AnaCredit, as well as of the datasets on monetary financial institutions, investment funds, financial vehicle corporations engaged in securitisation transactions, payment statistics relevant institutions and insurance corporations, provided pursuant to the respective ECB legal acts on the statistical reporting requirements of these entities. The RIAD will thereby enable the ESCB to derive, inter alia, consolidated banking exposures and borrowers' indebtedness on a consolidated basis.

Article 2 Definitions

For the purposes of this Guideline, the following definitions apply:

(1) entity means any of the following: (i) a legal unit; (ii) a branch of a legal unit; (iii) a collective investment undertaking; and (iv) any institutional unit which does not fall under (i), (ii) or (iii);

(2) legal unit means a legal person whose existence is recognised by law independently of the individuals or institutions which may own it or are members of it, and a natural person who is engaged in an economic activity in its own right;

(3) legal person has the same meaning as legal entity as defined in point 5 of Article 1 of Regulation (EU) 2016/867 (ECB/2016/13);

(4) branch means a place of business which forms a legally dependent part of an incorporated legal unit;

(5) headquarters means an entity that controls one or more unincorporated non-resident entities;

(6) collective investment undertaking or UCITS has the same meaning as defined in point 7 of Article 4(1) of Regulation (EU) No 575/2013 of the European Parliament and of the Council;

(7) institutional unit has the same meaning as defined in paragraphs 2.12 and 2.13 of Annex A to Regulation (EU) No 549/2013 of the European Parliament and of the Council;

(8) enterprise has the same meaning as defined in Section III A of the Annex to Council Regulation (EEC) No 696/93;

(9) enterprise group has the same meaning as defined in Section III C of the Annex to Regulation (EEC) No 696/93;

(10) banking group means a group of financial entities that functions as a single economic entity through a common source of control by an authorised credit institution or financial holding company in accordance with Regulation (EU) No 575/2013 and which are subject to accounting consolidation in accordance with International Financial Reporting Standard (IFRS) 10;

(11) control has the same meaning as defined in point 37 of Article 4(1) of Regulation (EU) No 575/2013;

(12) reference data means any master data describing an individual entity and its relationships with other entities recorded in RIAD;

(13) RIAD code means the unique identifier created by the competent NCB or by the ECB to identify an entity recorded in RIAD;

(14) temporary RIAD code means an identifier, with a pre-defined format that is different from the format of the RIAD code, assigned either by the NCBs or by the ECB to a new entity when it is recorded in RIAD until the RIAD code is assigned;

(15) competent NCB means the NCB responsible for managing entities in RIAD which are resident in its Member State;

(16) national competent authority has the same meaning as defined in point 2 of Article 2 of Council Regulation (EU) No 1024/2013;

(17) compounding rule means the order of priority for each single attribute used by an NCB for conflicting data sources;

(18) RIAD hub means a centre of activity related to RIAD within the ESCB used for the purposes of Article 3 of this Guideline;

(19) resident entity means an entity which is resident within the meaning of point 4 of Article 1 of Regulation (EC) No 2533/98;

(20) working day means any day other than a Saturday, a Sunday or a public holiday in the ECB or the Member State concerned;

(21) Legal Entity Identifier or LEI means an alphanumeric reference code in line with the ISO 17442 standard assigned to a legal entity.

(22) monetary financial institution or MFI has the same meaning as defined in point (a) of Article 1 of Regulation (EU) No 1071/2013 of the European Central Bank (ECB/2013/33);

(23) investment fund or IF has the same meaning as defined in point (1) of Article 1 of Regulation (EU) No 1073/2013 of the European Central Bank (ECB/2013/38);

(24) financial vehicle corporation or FVC has the same meaning as defined in point (1) of Article 1 of Regulation (EU) No 1075/2013 of the European Central Bank (ECB/2013/40);

(25) payment statistics relevant institutions or PSRI are payment service providers, as defined in Article 4 of Directive (EU) 2015/2366 of the European Parliament and of the Council, and payment system operators, which are defined as legal entities that are legally responsible for operating a payment system;

(26) insurance corporation or IC has the same meaning as defined in point (1) of Article 1 of Regulation (EU) No 1374/2014 of the European Central Bank (ECB/2014/50);

(27) attribute shall be the attributes to be reported for the datasets set out in Annexes I and II to this Guideline.

CHAPTER II GENERAL PROVISIONS ON RIAD AND ON THE RECORDING, MAINTENANCE, REVISION AND TRANSMISSION OF REFERENCE DATA FOR ENTITIES

Article 3 Establishment of RIAD hubs

1. Each NCB shall establish a local RIAD hub, comprising local centres of expertise, knowledge and all technical operations relating to reference data for entities and their group structures.

2. The local RIAD hubs shall perform the following functions: (a) to act as the unique point of contact for all reference data matters relating to RIAD in their respective Member State, (b) to coordinate activity with other national competent authorities at national level, with the central RIAD hub and with other hubs in the ESCB, on a reasonable efforts basis, so as to ensure the accuracy, timeliness and consistency of reference data on all resident entities recorded in RIAD, and (c) to ensure, on a reasonable efforts basis, the consistent use of identifiers for entities in other databases so as to enable the linking and the synchronisation of the different datasets.

3. The ECB shall establish a central RIAD hub, which shall perform the following functions: (a) to coordinate the work of the local RIAD hubs, (b) to oversee and, if necessary, propose amendments regarding the governance framework for RIAD under this Guideline, for consideration by the Statistics Committee, (c) to verify the data quality, and (d) to manage reference data on entities resident in third countries.

Article 4 Recording of reference data in RIAD

1. NCBs shall take all possible measures to accurately record all relevant entities in RIAD and shall consistently refer to such entities, irrespective of their country of residence, by means of the RIAD code assigned to them.

2. NCBs shall maintain reference data on entities which are resident in their Member State and ensure to the extent possible their accurate recording in RIAD in accordance with the prescribed timeframes, which the ECB shall make available to the NCBs. The reference data for an entity includes in particular, its name, Legal Entity Identifier or any other relevant identifier, the institutional sector and the country of residence, as well as the other mandatory reference data attributes listed in Annexes I and II.

3. The ECB shall manage reference data for entities resident in third countries on a reasonable efforts basis. The ECB may establish bilateral arrangements directly with certain NCBs for some areas outside the Union, e.g. for reasons of business expertise and linguistic competencies.

4. The competent NCBs shall use all information available to them at the national level to ensure, to the extent possible, that the reference data on all relevant resident entities recorded in RIAD is complete, accurate and up-to-date. For this purpose, NCBs may use all available sources of information that they deem appropriate, provided such information can be used for the purpose and to the extent set out in Regulation (EC) No 2533/98, and, where applicable, subject to safeguarding confidentiality in accordance with Article 8 of that Regulation.

5. RIAD enables the processing of information on entities and on any relevant individual attributes provided by one or more sources. If there are two or more contradictory sources, a compounding rule shall rank the relevant data sources. The competent NCB shall either accept this standard compounding rule or decide itself the order of priority of the relevant data sources. If a competent NCB adopts a different order of priority, it shall record it in RIAD and the ECB shall approve the new order of priority. For each attribute, a different compounding rule may be established by the competent NCB, which may change the rule over time, if it deems it appropriate. NCBs may seek agreement with the ECB through its central RIAD hub on any classification issues, which either the ECB or the NCBs consider to be potentially controversial, in particular relating to the MFI sector.

6. Subject to the requirements of Regulation (EC) No 45/2001, in accordance with which any personal data in RIAD shall be processed, NCBs shall not delete entities recorded in RIAD so as to ensure that there is a record of an entity and its life cycle. The ECB shall establish a procedure to correct factual errors, and make it available to the NCBs.

7. Competent NCBs shall not be held responsible for the misuse of the data by any other ESCB central bank.

Article 5 Assignment and management of the RIAD code and identifiers

1. The competent NCBs shall assign a RIAD code to each resident entity upon its first registration in RIAD. An NCB or the ECB may assign a temporary RIAD code for non-resident entities not yet identified in RIAD. The RIAD code and the temporary RIAD code must meet the required format, which the ECB shall make available to the NCBs.

2. NCBs shall ensure that each RIAD code they assign is exclusive, so that the RIAD code does not relate to more than one entity, and does not change over time. Entities shall be uniquely identified in RIAD with the RIAD code so as to ensure smooth data exchange and communication systems between RIAD and the ESCB and between RIAD and the SSM.

3. In the case of entities recorded with a temporary RIAD code, the competent NCBs shall assess potential duplicate codes and assign a RIAD code no later than the last working day of the second month following the date of receipt of the list of potential duplicates automatically generated by RIAD.

4. The ECB shall assign the RIAD code and process the necessary reference data for international organisations in RIAD.

5. Entities recorded in RIAD may have multiple identifiers or aliases. When reporting information on an attribute, NCBs shall record the identifier type (or its description, if allowed, when the identifier type is not included in the pre-defined list of identifier types in RIAD) and the corresponding code. NCBs shall also ensure that such information is reported to RIAD in the required format, which the ECB shall make available to the NCBs.

Article 6 Recording of demographic events, sector changes and corporate actions in RIAD

1. The competent NCBs shall make reasonable efforts to record all demographic events relating to entities whose reference data are recorded in RIAD. These events shall include:

(a) birth date of an entity;

(b) closure date of an entity;

2. The competent NCBs shall make reasonable efforts to report the creation of, or updates in connection with, attributes accompanied by the corresponding validity range of values.

3. The competent NCBs shall report any updates in connection with a sector re-classification of an entity in accordance with Annex I either as soon as they gain knowledge of the change or on a daily basis if the change is in respect of an MFI re-classification, whether a previous non-MFI becomes an MFI or an MFI becomes a non-MFI. The competent NCBs shall provide to the ECB a written explanation of any delay between the occurrence of an MFI re-classification and its recording in RIAD.

4. The competent NCBs shall make reasonable efforts to report all corporate actions affecting the status of an entity, such as the birth, modification (e.g. when an entity becomes inactive) or closure of that entity. The competent NCBs shall report the following corporate actions in respect of the resident entities listed in Annex I in RIAD as soon as they gain knowledge of them in accordance with the timeframe set out in Chapter VI:

(a) mergers by the formation of a new company as defined in Article 90 of Directive (EU) 2017/1132 of the European Parliament and of the Council;

(b) mergers by acquisition as defined in Article 89 of Directive (EU) 2017/1132;

(d) divisions by the formation of new companies as defined in Article 155 of Directive (EU) 2017/1132;

(e) disposal of a subsidiary.

Article 7 Maintenance and revision policy

NCBs shall make reasonable efforts to ensure that all attributes are maintained and kept up-to-date on an ongoing basis. Maintenance shall include making timely and effective revisions to the attributes.

Article 8 Transmission standards

1. The process for uploading data in RIAD is described in the data exchange specifications to which NCBs have access. NCBs shall upload information either via the standard ESCB facility or via online updates.

2. Prior to the transmission of data to RIAD, NCBs shall carry out validation checks to ensure that the relevant data complies with the data exchange specifications. NCBs shall maintain an adequate set of controls to minimise operational errors and ensure the accuracy and consistency of the data recorded in RIAD.

3. Where NCBs are unable to access RIAD due to a technical failure, they shall use the contingency facility envisaged for that eventuality or transmit the data by email to the following address: RIAD-Support@ecb.europa.eu. The NCBs shall safeguard the confidentiality of the data sent by email in accordance with Article 8 of Regulation (EC) No 2533/98.

4. When transmitting data, NCBs may use their national character set, provided they use the Roman alphabet. They shall use Unicode (UTF-8) to correctly display all special character sets when receiving information from the ECB via RIAD.

Article 9 Acquisition and error acknowledgements

When new data are recorded in RIAD, checks are automatically generated to validate the quality of the information provided on the basis of agreed standards and validation rules. The ECB shall provide to the NCBs an automated backflow including: On receipt of an error acknowledgement, NCBs shall promptly take action to transmit corrected information.

(a) an acquisition acknowledgement containing summary information on the updates which have been processed and implemented successfully in the relevant dataset; and/or

(b) an error acknowledgement containing detailed information on the updates and validation checks which have failed.

CHAPTER III CONFIDENTIALITY

Article 10 Confidentiality of attribute values

1. In accordance with the confidentiality regime set out in Article 8 of Regulation (EC) No 2533/98, confidential reference data shall not be published. Statistical information taken from sources which are available to the public in accordance with national legislation shall not be considered confidential and information recorded in RIAD is usually published by the legal entities to which it relates. Any reference data not collected under the ESCB legal framework for statistics will be subject to the confidentiality provisions of the contract with the relevant entity which provided the data.

2. NCBs shall declare the confidentiality status of each attribute value describing an entity by selecting one of the pre-defined values:

(a) F meaning free, i.e. not confidential and can be made public;

(b) N meaning that an attribute value may be released only for the use of the ESCB and of institutions for which a memorandum of understanding is in place, i.e. not for external release; or

3. The ECB shall handle the information provided duly protecting confidentiality, so that the ECB shall not publish data marked as C or N. In respect of quantitative measures marked as C or N, the ECB may, however, publish or distribute a range of size classes.

4. The LEI shall always have the value F.

5. The following attributes shall always have the value F for entities with an LEI:

(a) name;

(b) address.

6. The following attributes shall always have the value F for entities listed in Annex I:

(a) name;

(b) institutional sector.

CHAPTER IV DATA QUALITY MANAGEMENT

Article 11 Data quality and synchronisation

1. Without prejudice to the ECB's verification rights under Regulation (EC) No 2533/98 and Regulation (EU) No 1071/2013 (ECB/2013/33), the NCBs shall monitor and ensure the quality of all information made available to the ECB in accordance with the principles applicable to statistics governance and the quality assurance framework as published on the ECB website.

2. In view of the planned integration of datasets, NCBs shall ensure that reference data are adequate, complete and consistent. In particular, NCBs shall make reasonable efforts to ensure the synchronisation of the reference data used in different datasets.

3. In case of diverging views concerning, for example, the identification or classification of entities or other matters affecting data quality management the ECB shall take a decision after having consulted the ESCB Statistics Committee.

4. Within one year from the adoption of this Guideline, the ESCB Statistics Committee shall establish procedures for data quality assurance, including a RIAD quality report. It shall then review the procedures at regular intervals of three years.

CHAPTER V COOPERATION WITH AUTHORITIES OTHER THAN NCBS

Article 12 Cooperation with authorities other than NCBs

1. Where sources of part of or all the data referred to in Chapter II, VI and VII fall within the competence of national authorities other than the NCBs, the NCBs shall endeavour to establish permanent cooperation arrangements with those authorities to ensure a data transmission complying with the ECB's standards, in particular with respect to data quality and confidentiality status, and the requirements set out in this Guideline, unless the same result has already been achieved through the existing national legislation. Where applicable, such arrangements may be in the form of memoranda of understanding with national statistical institutes, national competent authorities or other national authorities.

2. Where, in the course of this cooperation, an NCB is unable to comply with the requirements laid down in Chapters II, VI and VII because the national authority fails to provide the NCB with the necessary data or information, the ECB and the NCB shall review the matter together with that national authority with a view to ensuring that the information is made available in accordance with the applicable quality standards and in a timely manner.

3. If national authorities other than NCBs are the source of statistical information marked as confidential, such information shall be used by the ECB in accordance with Regulation (EC) No 2533/98.

CHAPTER VI SPECIFIC PROVISIONS ON THE RECORDING OF REFERENCE DATA FOR ENTITIES

Article 13 Publication of lists of entities

The ECB shall publish lists of entities:

(a) to the extent and in the manner permitted by the relevant statistical regulations mentioned in this Chapter; and

(b) according to the institutional sector classification defined in Annex A to Regulation (EU) No 549/2013.

Article 14 Recording of reference data for MFIs

1. In order to enable the establishment and maintenance of the list of MFIs referred to in Article 4 of Regulation (EU) No 1071/2013 (ECB/2013/33), NCBs shall record in RIAD the attributes specified in Parts 1 and 2 of Annex I to this Guideline at the intervals prescribed.

2. An NCB shall record in RIAD if an institution on the list of MFIs is restricted in its financial intermediation activities, e.g. in the acceptance of deposits or granting of loans, in particular prior to its liquidation and/or removal from the MFI sector.

3. The ECB may periodically request further information from the relevant NCB, to which the relevant NCB has to respond promptly with the requested information, in order to allow the ECB to monitor if RIAD data are consistent with the relevant national classifications of MFIs.

4. Where an MFI is a branch, its relationship to its non-resident headquarters shall be recorded in RIAD. Conversely, where an MFI is a headquarters, its relationships with its branches resident in other Member States whose currency is the euro shall be recorded in RIAD.

5. NCBs shall record in RIAD, where possible, updates of the attributes specified for MFIs in Parts 1 and 2 of Annex I, as soon as changes in the MFI sector, or in the attributes of existing MFIs, occur. If this is not possible, NCBs shall provide to the ECB a written explanation of the delay between the occurrence of the change and its recording in RIAD.

Article 15 Recording of reference data for IFs

1. To enable the establishment and maintenance of the list of IFs referred to in Article 3 of Regulation (EU) No 1073/2013 (ECB/2013/38), the NCBs shall record in RIAD the attributes specified in Parts 1 and 2 of Annex I to this Guideline at the intervals prescribed.

2. Relationships between IFs and management companies, and between a sub-fund and an umbrella fund shall be recorded in RIAD, as applicable.

3. NCBs shall report any updates to the attributes specified for IFs in Parts 1 and 2 of Annex I, in particular when an IF joins or leaves the IF population, and record them in RIAD at least on a quarterly basis, within two months after the quarter end. However, the net asset value attribute shall be updated for all IFs on an annual basis, within two months of the reference date of year end.

Article 16 Recording of reference data for FVCs

1. To enable the establishment and maintenance of the list of FVCs referred to in Article 3 of Regulation (EU) No 1075/2013 (ECB/2013/40), NCBs shall record in RIAD the attributes specified in Parts 1 and 2 of Annex I at the intervals prescribed.

2. Relationships between FVCs and management companies and originators shall be recorded in RIAD, as applicable.

3. NCBs shall report any updates of the attributes specified for FVCs in Parts 1 and 2 of Annex I, in particular when an FVC joins or leaves the FVCs population, and record them in RIAD at least on a quarterly basis, within 14 working days after the quarter end.

Article 17 Recording of reference data for PSRIs

To enable the establishment and maintenance of the list of PSRIs referred to in Article 5(2) of Regulation (EU) No 1409/2013 of the European Central Bank (ECB/2013/43), NCBs shall record in RIAD the attributes specified in Part 1 of Annex I to this Guideline at the intervals prescribed. NCBs shall report any updates to these attributes, in particular, when an PSRI joins or leaves the PSRIs population, and record them in RIAD as at year end, within three months after the year end.

Article 18 Recording of reference data for ICs

1. To enable the establishment and maintenance of the list of ICs referred to in Article 3 of Regulation (EU) No 1374/2014 (ECB/2014/50), NCBs shall record in RIAD the attributes specified in Parts 1 and 2 of Annex I to this Guideline at the intervals prescribed. NCBs shall report any updates of these attributes, in particular when an IC joins or leaves the ICs population, and record them in RIAD at least on a quarterly basis, within two months after each quarter end.

2. Where an IC is a branch, its relationships to its non-resident headquarters shall be recorded in RIAD. Conversely, where an IC is a headquarters, its relationships with its branches resident in other Member States whose currency is the euro shall be recorded in RIAD.

Article 19 Regular publication of datasets

1. By 18.00 CET every working day, the ECB shall make a copy of the MFI dataset available on its website.

2. By 18.00 CET on the fourth working day following the deadline for transmitting updates, the ECB shall make a copy of the IF dataset available on its website.

3. By 18.00 CET on the second working day following the deadline for transmitting updates, the ECB shall make a copy of the FVC dataset available on its website.

4. By 18.00 CET on the last working day of the month following the month of the deadline for transmitting updates, the ECB shall make a copy of the PSRI dataset available on its website.

5. By 18.00 CET on the fourth working day following the month of the deadline for transmitting updates, the ECB shall make a copy of the IC dataset available on its website.

CHAPTER VII RELEVANT REFERENCE DATA ON ENTITIES FOR UNPUBLISHED DATASETS AND GROUPS

Article 20 Relevant reference data on entities for unpublished datasets

In addition to the data needed for the published lists of entities, additional datasets which are not published also use reference data on entities. An overview of the attributes relevant for these datasets is set out in Annex II. Articles 21 to 28 specify the conditions for reporting the attributes mentioned in Annex II. In particular, NCBs shall ensure the completeness and consistency of the reference data in different datasets.

Article 21 Statistics on Individual Balance Sheet Items (iBSI) and Individual MFI Interest Rate (iMIR)

Competent NCBs shall ensure that the information regarding the panel of euro area credit institutions for which iBSI or iMIR data have to be reported by NCBs to the ECB in accordance with Guideline ECB/2014/15 is accurately recorded in RIAD. The ECB shall notify to the NCBs the composition of the panel. NCBs shall make the necessary amendments to the information recorded in RIAD if the panel's membership changes.

Article 22 Reference data relevant for Regulation (EU) No 1333/2014 (ECB/2014/48)

Competent NCBs shall ensure that the reference data for entities that are identified with LEIs relevant for Regulation (EU) No 1333/2014 (ECB/2014/48) are recorded in RIAD. NCBs shall ensure to record any missing reference data within ten working days of notification by the ECB of data relevant for Regulation (EU) No 1333/2014 (ECB/2014/48). The ECB shall notify for the processing of the LEIs for data relevant for Regulation (EU) No 1333/2014 (ECB/2014/48) on a weekly basis. The competent NCBs shall further update the counterparty reference data relevant for Regulation (EU) No 1333/2014 (ECB/2014/48) for entities that are recorded in RIAD, as soon as they become aware of a change to one or more attributes.

Article 23 Reference data relevant for collateral management

Competent NCBs shall ensure the quality and reliability of the reference data for entities relevant for collateral management purposes and shall record in RIAD all the attributes which are listed in Annex II relevant to any such entities, in order for the competent NCBs to properly verify compliance by monetary policy counterparties with the provisions governing close links set out in Title VIII of Part Four in Guideline (EU) 2015/510 (ECB/2014/60).

Article 24 Reference data relevant for the Treasury Management System (TMS)

Competent NCBs shall make reasonable efforts to record in RIAD all the attributes listed in Annex II for entities relevant for TMS. The ECB is responsible for assigning the TMS identifier to entities relevant for TMS.

Article 25 Reference data relevant for SHSDB

Competent NCBs shall record in RIAD all the attributes listed in Annex II for counterparties relevant for the SHSDB in accordance with Regulation (EU) 2016/1384 of the European Central Bank (ECB/2016/22) and Guideline ECB/2013/7. NCBs shall ensure that such entities are linked to the SHSDB via a common, stable entity identifier that covers such entities in all sectors.

Article 26 Reference data relevant for CSDB

NCBs shall make reasonable efforts to record in RIAD all the attributes listed in Annex II for issuers of securities resident in their country which are recorded in CSDB in accordance with Guideline ECB/2012/21. NCBs shall ensure that such entities are linked to the CSDB via a common, stable entity identifier that covers such entities in all sectors.

Article 27 Reference data relevant for AnaCredit

NCBs shall ensure that the reference data for counterparties relevant for AnaCredit in accordance with Regulation (EU) 2016/867 (ECB/2016/13) and in Guideline (EU) 2017/2335 (ECB/2017/38) are recorded in RIAD. Annex II provides an overview of the relevant attributes which are required in accordance with that Regulation and that Guideline, including the unique identification of all resident counterparties in RIAD.

Article 28 Recording of reference data on groups

1. NCBs shall ensure the recording of relationship reference data needed for the data reporting for the SHSDB in accordance with Regulation (EU) 2016/1384 (ECB/2016/22), for AnaCredit in accordance with Regulation (EU) 2016/867 (ECB/2016/13) and for the assessment of close links in accordance with Guideline (EU) 2015/510 (ECB/2014/60). This information on relationship reference data will allow the dynamic construction of group structures by the system.

2. NCBs shall report statistical information on banking groups at legal unit level, including any entities (the direct parent or direct subsidiary) belonging to the banking group that are established outside the euro area.

3. NCBs may report to the ECB information on non-controlled entities.

4. NCBs may complete the groups' information by recording any other type of group members and dependent entities and shall on a reasonable effort basis maintain the information up-to-date.

5. In case of conflicting information on entities belonging to a group structure, the competent NCB(s) shall take the guidance of the NCB of the country in which the head of the group is resident into account.

CHAPTER VIII FINAL PROVISIONS

Article 29 Simplified amendment procedure

The ECB's Executive Board may make any technical amendments to the annexes to this Guideline, provided that such amendments neither change the underlying conceptual framework nor affect the reporting burden on reporting agents in Member States. The Executive Board shall inform the Governing Council of any such amendment without undue delay.

Article 30 Taking effect

This Guideline shall take effect on the day of its notification to the NCBs of the Member States whose currency is the euro.

Article 31 Addressees

This Guideline is addressed to the NCBs of the Member States whose currency is the euro.

Done at Frankfurt am Main, 1 June 2018. For the Governing Council of the ECB The President of the ECB Mario Draghi

ANNEX

ANNEX I REGISTER OF INSTITUTIONS AND AFFILIATES DATA (RIAD) - LISTS FOR PUBLICATION

PART 1 Attributes to be reported for datasets maintained for publication

Relevance: M (mandatory), O (optional), blank (not applicable). Frequency: a (annual), q (quarterly), m (monthly), d (daily/as soon as a change occurs). Timeframe: for annual data is (if not specified elsewhere) one month following the reference date. Attribute name Relevant in the context of the list of MFIs IFs FVCs PSRIs ICs Type Update frequency Type Update frequency Type Update frequency Type Update frequency Type Update frequency Identifiers RIAD code M d M q M q M a M q National identifier (as available) M d O q M q M a M q EGR code O d O q LEI (as available) M d M q M q M a M q Bank identifier code (BIC) O d ISINs (as available) O m M q M q O q Name M d M q M q M a M q Country of residence M d M q M q M a M q Address M d O q O q M a M q Legal form M d O q O q O a O q Flag Listed M d M q M q O a M q Type of supervision M d M q M q M a M q Reporting requirements M d M q M q M a M q Type of banking licence M d O a Legal set-up M q Flag UCITS compliance M q Flag Sub-fund M q Type of transfer M q Type of Investment Funds M q Investment policy for IFs M q Flag Payment service provider (PSP) M a Flag Payment system operator (PSO) M a Flag small PSP M a Flag PSP derogation granted M a Type of PSP licence M a PSP geographical scope M a Institutional sector M d M q M q M a M q Institutional sector details M d M q M q M a M q Institutional sector control M d M q M q M a M q NACE code M d M q M q O a M q Geographic location (NUTS) M d O q O q M a M q Employment domestic O a O a O a O a O a Balance sheet total (ECB Regulation) domestic M a O a Net assets domestic O a M a Gross premiums written domestic M a Total employment O a O a O a O a O a Total balance sheet M a O a O a O a Gross premiums written M a Birth date O d O q O q O a O q Closure date M d M q M q M a M q Flag IsInactive M d M q M q M a M q Flag Is under liquidation M d O q M q M a M q Required counterparties Originator of FVC M q Management company (as applicable) M q M q Headquarters M d M q

PART 2 1.2.3. Types of relationships between entities

Type Update frequency Relationships within an enterprise Relationship between a legal unit(s) and an enterprise O — Relationships within enterprise groups Control relationship between legal units M q Ownership (non-controlled) relationship between legal units O q Other relationships Link between an originator and its FVC M q Link between a management company and its FVC/IF M q Link between a non-resident branch and its resident headquarter M q Link between a resident branch and its non-resident headquarter M q Link between a sub-fund and an umbrella fund M q Link between an entity and its ultimate parent M m

ANNEX II REGISTER OF INSTITUTIONS AND AFFILIATES DATA (RIAD) - LISTS NOT FOR PUBLICATION

Attributes to be reported for datasets according to their respective legal framework referred to in Chapter VII of this Guideline ———————————

Attribute name Individual BSI and MIR statistics (iBSI-iMIR) Regulation (EU) No 1333/2014 (ECB/2014/48) Entities relevant for Collateral Management Treasury Management System (TMS) Security Holding Statistics Database (SHSDB) Centralised Securities Database (CSDB) Common Granular Analytical Credit database (AnaCredit) Entity Identifiers RIAD code x x x x x x x LEI x x x x x National identifiers x x x x Other Identifiers x x x x x Instrument Identifiers ISIN x x Name x x x x x x x Country of residence x x x x x x x Address x Legal form x Institutional sector x x x x x x x Institutional sector details x x x x x x x Institutional sector control x x x x x x x Collateral group x NACE code x x x Geographic location (NUTS) x Flag CCP x Reporting requirements x Accounting Framework x Total employment x Total balance sheet x Enterprise size x Annual turnover x Status of legal proceedings x Birth date x x x x x x x Closure date x x x x x x x Flag IsInactive x x x x x x Relationships Ownership relation x Branch relation x Link to headquarter x x to direct controlling parent x x to ultimate controlling parent x x to management company x

Versions

2018-06-01