Retained EU Law SI 2017/394 United Kingdom

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 (Text with EEA relevance)

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Status
In Force
Penalty ceiling
Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Financial Services Firm5

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Financial Services Firm — also bound by 167 other Acts

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

s.art001 Standard forms, templates and procedures for application Regulated
  • Submit authorisation application using standard formsFinancial Services Firm
s.art002 Standard forms and templates for the provision of information Regulated
  • Provide information in standard forms and durable mediumFinancial Services Firm
s.art003 Procedure for the provision of information Regulated
  • Provide post-review information to the competent authority within two monthsFinancial Services Firm
s.art011 Format of records Regulated
  • Keep records in prescribed formats and provide data feed on requestFinancial Services Firm
s.art012 Standard forms and templates for the access procedure Regulated
  • Use standard templates for CSD access requests, grants, denials and complaintsFinancial Services Firm
13 other provisions — procedural and definitional
uri:annex/iv/division/format uri:annex/iv/division/format
s.art004 Provision of information to the authorities referred to in Article 22(7) of Regulation (EU) No 909/2014
s.art005 Exchange of information between competent authorities
s.art006 General requirements for cooperation arrangements
s.art007 Supervision of a branch
s.art008 On-site-inspections in the branch
s.art009 Exchange of information on the CSD's activities in the host Member State
s.art010 CSD breach of obligations
s.art013 List of authorities
s.art014 Transmission of information and request for a reasoned opinion
s.art015 Reasoned opinion and reasoned decision
s.art016 Authorisation irrespective of negative reasoned opinion
s.art017 Entry into force and application

Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.