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Notes to assist the completion of the BMR Schedule of Benchmarks form for Benchmark Administrators

Contents:

Reporting Administrators

Section Data Element

New/Update

The Schedule of Benchmarks form requires details on those Benchmarks or Families of Benchmarks that the benchmark administrator already or intends to administor. This includes all benchmarks administered in the UK and/or EU.

If the Benchmark takes the form of a family of benchmarks with multiple benchmarks all with the same structure, input data methodology etc., benchmark administrators should complete one row with the relevant information for the benchmark family.

During the course of the application process, if there are any changes to the benchmarks detailed (including the addition of new benchmarks) then the benchmark administrator should make the amendments to the original Schedule of Benchmarks and resubmit. Please do not complete a new form.

Please avoid the following while completing the forms:• Copying/cutting and pasting contents into any of the fields.• Overwriting cells with a drop-down list.• Saving the forms after completion in file format other than .xls or .xlsx.

Please upload your completed form along with the relevant benchmark administrator application or notification.The subject line of the email should contain your FRN (or firm name for new applications) followed by the type of benchmark application.

Firms should use the following naming convention for the Schedule of Benchmark file: the firm’s FRN (or firm name for a new authorisation) followed by “Schedule of Benchmarks”.

Notes for the completion of the forms are detailed below. Please complete all sections of the form that have column headings in either black or white font, using “n/a” where appropriate.

Reporting Administrators

This indicates whether the data reported is a new administrator, or an update on a previously reported administrator.

Reporting date The date the data is sent to ESMA

Reporting country code

Record validity start date

National ID National identifier of the administrator

Previous national ID

Previous country code

LEI Legal Entity Identifier of the administrator

Full name Full name of the administrator

Location country Place of business of the administrator

Contact info Website, or contact info of the administrator

National supervising authority code

National supervising authority full name

Status reason The status reason of the administrator

Status reason date

Relevant EU/EEA authority The EU/EEA authority of the administrator

Country code of the country sending the data

The date when the data is valid. This date should be equal or after reporting date.This field refers to the date re. any change effecting a record (change of name of administrator for example)

Previous national identifier of the administrator in case the administrator is changing national identifier or is changing national supervising authority

Previous country code, in case the administrator is changing national supervising authority

The 4 digit code of the national supervising authority.In case of a EU/EEA administrator, this value will be the same as for field "Relevant EU/EEA authority".In case of a third country administrator, this value will be the code of the third country supervising authority.In case the authority is not in the list, please fill in only the next field with the full name of the authority and contact ESMA.

The name of the national supervising authority. To be provided only if the code of the authority is not in the list.

The effective date of the status reason of the administratorThis field refers to a change (only) in the satus reason of the administrator

Family of Benchmarks or Benchmark Name

Estimated Value (€)

ISIN (International Securities Identification Number)

Do Exemptions Apply?

The full name of the benchmark or families of benchmarks. Please ensure the name matches any supporting documentation provided.

Benchmark Type (Commodity, Interest rate, Regulated-data)

Please select the appropriate category from the drop down list.

Benchmark Category (Critical, Significant, Non-Significant)

Please select the appropriate type from the drop down list. A brief breakdown of critical, significant and non-significant administrator categories can be found by clicking the small red triangle comment indicator found in the upper right corner of the this cell. Please select N/A if your firm is none of the specified categories.

Where known please advise the estimated value of the underlying contracts associated with the benchmark in line with ESMA guidance.

Please provide this if available. Where a benchmark or family of benchmarks does not have any ISIN code you should select “Not applicable” from the dropdown list.

Please refer to Article 17, 18, 19, 25 & 26 of the Regulation (EU) 2016/1011. Exemptions do not apply to commodity, interest rate, critical or single regulated data benchmarks. They apply only to the provision of, and contribution to, regulated data benchmarks that are used directly or indirectly within a combination of benchmarks.

4(2) Significant & Non-Significant etc. Please select 'Y' or 'N' from the drop down list to indicate if you will be applying this exemption. Details of the individual exemptions can be found by clicking the small red triangle comment indicator found in the upper right corner of the appropriate cell. They can also be found by reference to the appropriate article of the Regulation (EU) 2016/1011. If an exemption is used please ensure that you either attach a completed compliance statement to the application or provide a brief explanation of why the applicant believes the indicated exemptions apply under column AD of the Benchmark Schedule.

Compliance Statement completed and attached to application?

Please select 'Y' or 'N' from the drop down list to indicate if you have completed a compliance statement and have attached this to the application. If you are not attaching a compliance statement but are applying an exemption please ensure you complete column AD. If you are attaching a compliance statement with the application you may want to use the compliance statement template that is available in the ANNEX 1 of RTS Compliance statement for administrators of significant and non-significant benchmarks 03 2017 for this purpose.

Reason for Exemption - Please give a brief explanation of why the applicant believes it is appropriate to apply the exemption(s), (please continue on a separate piece of paper if necessary).

If you are applying one or a number of the exemptions please either attach a compliance statement as described above or use column AD to give an explanation of why the applicant believes it is appropriate to apply the exemption. You may find referral to the compliance statement template, that is available in ANNEX 1 of RTS Compliance statement for administrators of significant and non-significant benchmarks 03 2017, of assistance in indicating the information that needs to be included in the explanation.

Notes to assist the completion of the BMR Schedule of Benchmarks form for Benchmark Administrators

Reporting Administrators

Derscription

List

The Schedule of Benchmarks form requires details on those Benchmarks or Families of Benchmarks that the benchmark administrator already or intends to administor. This includes all benchmarks

If the Benchmark takes the form of a family of benchmarks with multiple benchmarks all with the same structure, input data methodology etc., benchmark administrators should complete one row

During the course of the application process, if there are any changes to the benchmarks detailed (including the addition of new benchmarks) then the benchmark administrator should make the amendments to the original Schedule of Benchmarks and resubmit. Please do not complete a new form.

Saving the forms after completion in file format other than .xls or .xlsx.

Please upload your completed form along with the relevant benchmark administrator application or notification.The subject line of the email should contain your FRN (or firm name for new applications) followed by the type of benchmark application.

Firms should use the following naming convention for the Schedule of Benchmark file: the firm’s FRN (or firm name for a new authorisation) followed by “Schedule of Benchmarks”.

Notes for the completion of the forms are detailed below. Please complete all sections of the form that have column headings in either black or white font, using “n/a” where appropriate.

Date

List

List

20 alphamumerical characters - LEI is mandatory when legally required.

Up to 500 alphamumerical characters

List

Up to 2000 alphamumerical characters

Up to 500 alphamumerical characters

List

Date

List

Date - The aim of this field is to indicate to ESMA from which date all the information contained in the record become valid for the NCA and, consequently from which date ESMA must consider it as valid. ESMA cannot consider an information as valid when reported late. It must not be confused with the status reason effectivity start date which informs ESMA when the status reason becomes applicable at national level.

Up to 30 alphamumerical characters - This attribute is used to identify with the submitting country code unambiguously the administrator in ESMA.

Up to 30 alphamumerical characters - This attribute is used in order to keep historical track and to identify with the previous entity national identifier country unambiguously the administrator in ESMA, whenever the national code is changing within the same country of reference or the administratormis changing its country of reference.

List - This authority is a third country authority of the Administrator in the case of Art 33/32, an EU/EEA authority for an administrator under Art.34 or an endorsing supervised entity. In case the Competent Authority is not referenced in Reference data sheet : Authority code, please contact ESMA. In case of Article 32, this field may be non applicable, in this case use the code NOAP.

Up to 2000 alphamumerical characters

List

List

Up to 2000 alphamumerical characters

Up to 2000 alphamumerical characters

List

List

List

List

Notes to assist the completion of the BMR Schedule of Benchmarks form for Benchmark Administrators

Reporting Administrators

Derscription

List

The Schedule of Benchmarks form requires details on those Benchmarks or Families of Benchmarks that the benchmark administrator already or intends to administor. This includes all benchmarks

If the Benchmark takes the form of a family of benchmarks with multiple benchmarks all with the same structure, input data methodology etc., benchmark administrators should complete one row

During the course of the application process, if there are any changes to the benchmarks detailed (including the addition of new benchmarks) then the benchmark administrator should make the

The subject line of the email should contain your FRN (or firm name for new applications) followed by the type of benchmark application.

Firms should use the following naming convention for the Schedule of Benchmark file: the firm’s FRN (or firm name for a new authorisation) followed by “Schedule of Benchmarks”.

Notes for the completion of the forms are detailed below. Please complete all sections of the form that have column headings in either black or white font, using “n/a” where appropriate.

Date

List

List

20 alphamumerical characters - LEI is mandatory when legally required.

Up to 500 alphamumerical characters

List

Up to 2000 alphamumerical characters

Up to 500 alphamumerical characters

List

Date

List

Date - The aim of this field is to indicate to ESMA from which date all the information contained in the record become valid for the NCA and, consequently from which date ESMA must consider it as valid. ESMA cannot consider an information as valid when reported late. It must not be confused with the status reason effectivity start date which informs ESMA when the status reason becomes applicable at national level.

Up to 30 alphamumerical characters - This attribute is used to identify with the submitting country code unambiguously the administrator in

Up to 30 alphamumerical characters - This attribute is used in order to keep historical track and to identify with the previous entity national identifier country unambiguously the administrator in ESMA, whenever the national code is changing within the same country of reference or the administratormis changing its country of reference.

List - This authority is a third country authority of the Administrator in the case of Art 33/32, an EU/EEA authority for an administrator under Art.34 or an endorsing supervised entity. In case the Competent Authority is not referenced in Reference data sheet : Authority code, please contact ESMA. In case of Article 32, this field may be non applicable, in this case use the code NOAP.

Up to 2000 alphamumerical characters

List

List

Up to 2000 alphamumerical characters

Up to 2000 alphamumerical characters

List

List

List

List

Reporting Administrators

N

Firm needs to complete

Y/N

N

N

N

Y

Y

Y

Y

Y

Y

Y

N

N

Y

N

N

Y

Y

Y

Y

If Applicable

Y

If Applicable

If Applicable

If Applicable

Please complete only those columns with headers in black font

Reporting Administrator

Reporting country codeNew/Update

Reporting date

Record validity start date

1/3/20186/3/2018

3/15/20186/15/2018

2/6/20183/15/20183/15/2018

9/4/20199/4/2019

Please complete only those columns with headers in black font

Administrator

LEI Full name

National ID (FRN)

Previous national ID

Previous country

codeLocation country

Administrator

National supervising authority full nameContact info (Link to website)

National supervising

authority code

N5
Niki Foti: Please hid this column and create a one to one mapping equivalent to table 29 - reporting instructions

Administrator

Status reason Status reason date

Relevant EU/EEA authority

Benchmark ScheduleBENCHMARK IDENTIFICATION EXEMPTIONS (ARTICLES)

Counter

10111213141516171819202122232425262728293031323334353637383940414243

Family of Benchmarks or

Benchmark Name

Benchmark Type

(Commodity, Interest rate, Regulated-

data)

(drop-down list)

Benchmark Category

Critical, Significant,

Non-Significant)

(drop-down list)

Estimated Value (€)

ISIN (International

Securities Identification Number) If applicable

Do Exemptions

Apply?

(If yes please indicate in

the following columns

which exemptions

(Articles) apply

U5
>€500bn = Critical >€50bn - <€500bn = Signifigant <€50bn = Non-signifigant NB if a commodity of <€500bn value or an interest rate benchmark, Articles 24, 25 and 26 shall not apply to the provision of, and contribution to commodity and/or interest rate benchmarks.

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Benchmark ScheduleEXEMPTIONS (ARTICLES)

4(2)

(Y/N)(drop down list)

Significant & Non-

Significant

4(7)(c)

(Y/N)(drop down list)

Significant & Non-

Significant

4(7)(d)

(Y/N)(drop down list)

Significant & Non-

Significant

(7)(e)

(Y/N)(drop down list)

Significant & Non-

Significant

4(8)

(Y/N)(drop down list)

Non-Significant

Only

5(2)

(Y/N)(drop down list)

Non-Significant

Only

5(3)

(Y/N)(drop down list)

Non-Significant

Only

Y5
Text of article - The provision of a benchmark shall be operationally separated from any part of an administrator’s business that may create an actual or potential conflict of interest
Z5
Text of article - Administrators shall ensure that their employees and any other natural persons whose services are placed at their disposal or under their control and who are directly involved in the provision of a benchmark (Art 4(7)) Do not have any interests or business connections that compromise the activities of the administrator concerned
AA5
Text of article - Are prohibited from contributing to a benchmark determination by way of engaging in bids, offers and trades on a personal basis or on behalf of market participants, except where such way of contribution is explicitly required as part of the benchmark methodology and is subject to specific rules therein
AB5
Text of article - Are subject to effective procedures to control the exchange of information with other employees involved in activities that may create a risk of conflicts of interest or with third parties, where that information may affect the benchmark.
AC5
Text of article - An administrator shall establish specific internal control procedures to ensure the integrity and reliability of the employee or person determining the benchmark, including at least internal sign-off by management before the dissemination of the benchmark
AD5
Text of article - Administrators shall develop and maintain robust procedures regarding their oversight function, which shall be made available to the relevant competent authorities
AE5
Text of article - The oversight function shall operate with integrity and shall have the following responsibilities, which shall be adjusted by the administrator based on the complexity, use and vulnerability of the benchmark: (a) reviewing the benchmark's definition and methodology at least annually; (b) overseeing any changes to the benchmark methodology and being able to request the administrator to consult on such changes; (c) overseeing the administrator's control framework, the management and operation of the benchmark, and, where the benchmark is based on input data from contributors, the code of conduct referred to in Article 15; (d) reviewing and approving procedures for cessation of the benchmark, including any consultation about a cessation; (e) overseeing any third party involved in the provision of the benchmark, including calculation or dissemination agents; (f) assessing internal and external audits or reviews, and monitoring the implementation of identified remedial actions; (g) where the benchmark is based on input data from contributors, monitoring the input data and contributors and the actions of the administrator in challenging or validating contributions of input data; (h) where the benchmark is based on input data from contributors, taking effective measures in respect of any breaches of the code of conduct referred to in Article 15; and (i) reporting to the relevant competent authorities any misconduct by contributors, where the benchmark is based on input data from contributors, or administrators, of which the oversight function becomes aware, and any anomalous or suspicious input data.

Benchmark ScheduleEXEMPTIONS (ARTICLES)

5(4)

(Y/N)(drop down list)

Non-Significant

Only

6(1)

(Y/N)(drop down list)

Non-Significant

Only

6(3)

(Y/N)(drop down list)

Non-Significant

Only

6(5)

(Y/N)(drop down list)

Non-Significant

Only

7(2)

(Y/N)(drop down list)

Non-Significant

Only

11(1)(b)

(Y/N)(drop down list)

Non-Significant

Only

11(2)(b)

(Y/N)(drop down list)

Non-Significant

Only

AF5
Text of article - The oversight function shall be carried out by a separate committee or by means of another appropriate governance arrangement
AG5
Text of article - Administrators shall have in place a control framework that ensures that their benchmarks are provided and published or made available in accordance with this Regulation
AH5
Text of article - The control framework shall include: (a) management of operational risk; (b) adequate and effective business continuity and disaster recovery plans; (c) contingency procedures that are in place in the event of a disruption to the process of the provision of the benchmark
AI5
Text of article - The control framework shall be documented, reviewed and updated as appropriate and made available to the relevant competent authority and, upon request, to users
AJ5
Text of article - An administrator shall designate an internal function with the necessary capability to review and report on the administrators compliance with the benchmark methodology and this Regulation.
AK5
Text of article - The provision of a benchmark shall be governed by the following requirements in respect of its input data: (a) the input data shall be sufficient to represent accurately and reliably the market or economic reality that the benchmark is intended to measure. The input data shall be transaction data, if available and appropriate. If transaction data is not sufficient or is not appropriate to represent accurately and reliably the market or economic reality that the benchmark is intended to measure, input data which is not transaction data may be used, including estimated prices, quotes and committed quotes, or other values; (b) the input data referred to in point (a) shall be verifiable;
AL5
Text of article - Administrators shall ensure that their controls in respect of input data include: A process for evaluating a contributors input data and for stopping the contributor from providing further input data, or applying other penalties for non-compliance against the contributor, where appropriate.

Benchmark ScheduleEXEMPTIONS (ARTICLES)

11(2)(c)

(Y/N)(drop down list)

Non-Significant

Only

11(3)

(Y/N)(drop down list)

Significant & Non-

Significant

13(2)

(Y/N)(drop down list)

Non-Significant

Only

14(2)

(Y/N)(drop down list)

Non-Significant

Only

15(2)

(Y/N)(drop down list)

Significant & Non-

Significant

16(2)

(Y/N)(drop down list)

Non-Significant

Only

16(3)

(Y/N)(drop down list)

Non-Significant

Only

AM5
Text of article - A process for validating input data, including against other indicators or data, to ensure its integrity and accuracy
AN5
Text of article - Where the input data of a benchmark is contributed from a front office function, meaning any department, division, group or personnel of contributors or any of its affiliates that performs any pricing, trading, sales, marketing, advertising, solicitation, structuring, or brokerage activities, the administrator shall: (a) obtain data from other sources that corroborate that input data; and (b) ensure that contributors have in place adequate internal oversight and verification procedures. PLEASE NOTE IF YOU ARE A SIGNIFICANT BENCHMARK ADMINISTRATOR YOU CAN ONLY CHOOSE NOT TO APPLY POINT B OF ARTICLE 11(3).
AO5
Text of article - 1. An administrator shall develop, operate and administer the benchmark and methodology transparently. To that end, the administrator shall publish or make available the following information: (a) the key elements of the methodology that the administrator uses for each benchmark provided and published or, when applicable, for each family of benchmarks provided and published; (b) details of the internal review and the approval of a given methodology, as well as the frequency of such review; (c) the procedures for consulting on any proposed material change in the administrator's methodology and the rationale for such changes, including a definition of what constitutes a material change and the circumstances in which the administrator is to notify users of any such changes. 2. The procedures required under point (c) of paragraph 1 shall provide for: (a) advance notice, with a clear time frame, that gives the opportunity to analyse and comment upon the impact of such proposed material changes; and (b) the comments referred to in point (a) of this paragraph, and the administrator's response to those comments, to be made accessible after any consultation, except where confidentiality has been requested by the originator of the comments.
AP5
Text of article - An administrator shall monitor input data and contributors in order to be able to notify the competent authority and provide all relevant information where the administrator suspects that, in relation to a benchmark, any conduct has taken place that may involve manipulation or attempted manipulation of the benchmark, under Regulation (EU) No 596/2014, including collusion to do so
AQ5
Text of article - The code of conduct shall include at least the following elements: (a) a clear description of the input data to be provided and the requirements necessary to ensure that input data is provided in accordance with Articles 11 and 14; (b) identification of the persons that may contribute input data to the administrator and procedures to verify the identity of a contributor and any submitters, as well as authorisation of any submitters that contribute input data on behalf of a contributor; (c) policies to ensure that a contributor provides all relevant input data; (d) the systems and controls that a contributor is required to establish, including: (i) procedures for contributing input data, including requirements for the contributor to specify whether input data is transaction data and whether input data conforms to the administrator's requirements; (ii) policies on the use of discretion in contributing input data; (iii) any requirement for the validation of input data before it is provided to the administrator; (iv) record-keeping policies; (v) reporting requirements concerning suspicious input data; (vi) requirements concerning the management of conflicts of interest.
AR5
Text of article - A supervised contributor shall have in place effective systems and controls to ensure the integrity and reliability of all contributions of input data to the administrator, including: A supervised contributor shall have in place effective systems and controls to ensure the integrity and reliability of all contributions of input data to the administrator, including: (a) controls regarding who may submit input data to an administrator including, where proportionate, a process for sign-off by a natural person holding a position senior to that of the submitter; (b) appropriate training for submitters, covering at least this Regulation and Regulation (EU) No 596/2014; (c) measures for the management of conflicts of interest, including organisational separation of employees where appropriate and consideration of how to remove incentives, created by remuneration polices, to manipulate a benchmark; (d) record-keeping, for an appropriate period of time, of communications in relation to provision of input data, of all information used to enable the contributor to make each submission, and of all existing or potential conflicts of interest including, but not limited to, the contributor's exposure to financial instruments which use a benchmark as a reference; (e) record-keeping of internal and external audits.
AS5
Text of article - Where input data relies on expert judgement, supervised contributors shall establish, in addition to the systems and controls referred to in paragraph 2, policies guiding any use of judgement or exercise of discretion and shall retain records of the rationale for any such judgement or discretion. Where proportionate, supervised contributors shall take into account the nature of the benchmark and its input data.

Compliance Statement

completed and attached to

application?

(Y/N)(drop down list)

Reason for Exemption - Please give a brief explanation of why the applicant believes it is appropriate to apply the exemption(s), (please continue on a

seperate piece of paper if necessary).

Benchmark -Status Administrator - StatusActive ActiveInactive Inactive

StartDate 1/1/2017EndDate 5/7/2031

NewUpdate

Entity type code Entity type description

CDTI

INUN

INVF

REIN

UCIT

AIFD

ORPI

CDTO

NCDT

RMKT

CCPS

TRDR

Authority code Authority nameADIN Institut Nacional Andorra de FinancesAESC Securities and Commodities AuthorityALAF Albanian Financial Supervisory AuthorityAMCB Central Bank of ArmeniaAOCM Comissão do Mercado de CapitaisARCN Comisión Nacional de ValoresATFM Austrian Financial Market Authority (FMA)AUAS Australian Securities and Investments Commission (ASIC)BASC Securities Commission of the Federation of Bosnia and HerzegovinaBBFS Financial Services Commission

Credit institution as defined in point (1) of Article 4(1) of Regulation (EU) No 575/2013 of the European Parliament and of the Council (1);Insurance undertaking as defined in point (1) of Article 13 of Directive 2009/138/EC of the European Parliament and of the CouncilInvestment firm as defined in point (1) of Article 4(1) of Directive 2014/65/EU;Reinsurance undertaking as defined in point (4) of Article 13 of Directive 2009/138/EC;UCITS as defined in Article 1(2) of Directive 2009/65/EC or, where applicable, a UCITS management company as defined in point (b) of Article 2(1) of that Directive;Alternative investment fund manager (AIFM) as defined in point (b) of Article 4(1) of Directive 2011/61/EU of the European Parliament and of the Council (3);Institution for occupational retirement provision as defined in point (a) of Article 6 of Directive 2003/41/EC of the European Parliament and of the Council (4);Creditor as defined in point (b) of Article 3 of Directive 2008/48/EC for the purposes of credit agreements as defined in point (c) of Article 3 of that Directive;

Non-credit institution as defined in point (10) of Article 4 of Directive 2014/17/EU for the purposes of credit agreements as defined in point (3) of Article 4 of that Directive;

Market operator as defined in point (18) of Article 4(1) of Directive 2014/65/EU;CCP as defined in point (1) of Article 2 of Regulation (EU) No 648/2012 of the European Parliament and of the Council (5);Trade repository as defined in point (2) of Article 2 of Regulation (EU) No 648/2012;

BDBS Bangladesh Securities and Exchange CommissionBEFS Financial Services and Markets Authority (FSMA)BENB National Bank of BelgiumBGFS Financial Supervision Commission (FSC)BHCB Central Bank of BahrainBMBM Bermuda Monetary AuthorityBNAM Autoriti Monetari Brunei DarussalamBOAS Autoridad de Supervisión del Sistema FinancieroBRCV Comissão de Valores MobiliáriosBSSC Securities Commission of The BahamasCAAM Autorité des marchés financiersCAAS Alberta Securities CommissionCACS Canadian Securities Transition Office (CSTO)CFCS Commission de Surveillance du Marché Financier de l'Afrique Centrale (Securities and Exchange Commission of Central Africa)CHFI Swiss Financial Market Supervisory AuthorityCLSV Superintendencia de Valores y SegurosCNCS China Securities Regulatory CommissionCNFS Financial Supervisory CommissionCOSF Superintendencia Financiera de ColombiaCRSG Superintendencia General de ValoresCYAS Authority for the Supervision and Development of Cooperative SocietiesCYCB Central Bank of Cyprus (CBC)CYCS Cyprus Securities and Exchange CommissionCYCY Cyprus Securities and Exchange Commission (CySEC)CZCN Czech National Bank (CNB)DEBA Federal Financial Supervisory Authority (BaFin)DKFI Finanstilsynet DOSV Superintendencia de Valores de la República DominicanaDZCO Commission d'Organisation et de Surveillance des Opérations de BourseECSC Superintendencia de Compañías, Valores y SegurosEEEF Estonian Financial Supervision Authority (EFSA)EGEF Egyptian Financial Supervisory Authority*ESBD Bank of Spain (BDE)ESCN Comisión Nacional del Mercado de Valores (CNMV)FIFS Finanssivalvonta (FSA)FRAC Autorité de Contrôle Prudentiel et de Résolution (ACPR)FRAM Autorité des Marchés Financiers (AMF)GBBC British Columbia Securities CommissionGBBV British Virgin Islands Financial Services CommissionGBFA Financial Services Authority (FSA)GBFC Financial Conduct Authority (FCA)GBPR Prudential Regulation Authority (PRA)GGGF Guernsey Financial Services CommissionGHSE Securities and Exchange CommissionGIFS Gibraltar FSC (FSC)GRBO Bank of Greece (BOG)GRHC Hellenic Capital Market Commission (HCMC)HKSF Securities and Futures CommissionHRHA Croatian Financial Services Supervisory Agency (HANFA)HUMN Magyar Nemzeti Bank (The Central Bank of Hungary)HUPS Hungarian Financial Supervisory Authority (PSZAF)IDIF Indonesia Financial Services AuthorityIECB Central Bank of Ireland (CBI)ILIS Israel Securities AuthorityIMIM Isle of Man Financial Services AuthorityINSE Securities and Exchange Board of IndiaISFM Iceland Financial Supervisory Authority (FME)

ITBD BANCA D'ITALIA (BDI)ITCO Commissione Nazionale per le Societa e la Borsa (CONSOB)JEJF Jersey Financial Services CommissionJMFS Financial Services CommissionJOJS Jordan Securities CommissionJPFS Financial Services AgencyJPMA Ministry of Agriculture, Forestry and FisheriesJPME Ministry of Economy, Trade and IndustryKECM Capital Markets AuthorityKGSS State Service for Financial Market Regulation and Supervision under the Government of the Kyrgyz RepublicKRFS Financial Services Commission/Financial Supervisory ServiceKWCM Capital Markets AuthorityKYCI Cayman Islands Monetary AuthorityKZNB National Bank of KazakhstanLIFM Financial Market Authority (FMA)LKSE Securities and Exchange Commission of Sri LankaLTLS Bank of Lithuania (LSC)LUCS Commission de Surveillance du Secteur Financier (CSSF)LVFK Financial & Capital Market Commission (FKTK)MAAM Autorité Marocaine du Marché des CapitauxMESE Securities and Exchange Commission of MontenegroMKSE Securities and Exchange Commission of the Republic of MacedoniaMNFR Financial Regulatory CommissionMRFS Financial Services CommissionMTMF Malta Financial Services Authority (MFSA)MVSM Capital Market Development AuthorityMWRB Reserve Bank of MalawiMXCN Comisión Nacional Bancaria y de ValoresMYSC Securities CommissionNGSE Securities and Exchange CommissionNLAF Netherlands Authority for the Financial Markets (AFM)NLDN Nederlandse Bank (DNB)NOAP Non ApplicableNOFI Norwegian Financial Supervisory Authority (Finanstilsynet)NZFM Financial Markets AuthorityOMCM Capital Market AuthorityPASM Superintendencia del Mercado de ValoresPESM Superintendencia del Mercado de ValoresPGSC Securities CommissionPHSE Securities and Exchange CommissionPKSE Securities and Exchange CommissionPLKN Polish Financial Supervisory Commission (KNF)PLPF Polish Financial Supervision AuthorityPSPC Palestine Capital Market AuthorityPTBP Banco de Portugal (BP)PTCM Comissão do Mercado de Valores Mobiliários (CMVM)QAQF Qatar Financial Markets AuthorityROAS Romanian Financial Supervisory Authority (ASF)RSSC Securities CommissionRUBR The Bank of RussiaSACM Capital Market AuthoritySEFI Finansinspektionen (FI)SGMA Monetary Authority of SingaporeSIAT Securities Market Agency (ATVP)SKNB National Bank of Slovakia (NBS)SVSS Superintendencia del Sistema FinancieroSYSC Syrian Commission on Financial Markets and Securities

TCTC Turks & Caicos Islands Financial Services CommissionTHSE Securities and Exchange CommissionTNCM Conseil du marché financierTRCM Capital Markets BoardTTTT Trinidad and Tobago Securities and Exchange CommissionTZCM Capital Markets and Securities AuthorityUANS National Securities and Stock Market CommissionUGCM Capital Markets AuthorityUSCF US Commodity Futures Trading Commission (CFTC)USOS Ontario Securities CommissionUSSE Securities and Exchange CommissionUYBC Banco Central del UruguayUZCC Center for Coordination and Development of Securities MarketVESN Superintendencia Nacional de ValoresVNSS State Securities CommissionWACR Conseil régional de l'épargne publique et des marchés financiersZAFS Financial Services BoardZMSE Securities and Exchange Commission

Status reason code Status reasonAEQA Equivalence under Art. 30 ActiveARCG Recognition under Art. 32 ActiveAAUT Authorisation under Art. 34 ActiveAREG Registration under Art. 34 ActiveADRS Endorsement under Art. 33 ActiveCDRS Cessation of endorsement under Art. 33 Inactive

WEQAInactive

WRCG Withdrawal of Recognition under Art. 32 InactiveSRCG Suspension of Recognition under Art. 32 InactiveWAUT Withdrawal of Authorisation under Art. 35 InactiveSAUT Suspension of Authorisation under Art. 35 InactiveWREG Withdrawal of Registration under Art. 35 InactiveSREG Suspension of Registration under Art. 35 Inactive

Index Code Index name EONA EONIAEONS EONIA SWAPEURI EURIBOREUUS EURODOLLAREUCH EUROSWISSGCFR GCF REPOICESR ICE SWAP RATELIBI LIBIDLIBO LIBORMAAA MUNI AAAPFAN PFANDBRIEFETIBO TIBORSTBO STIBORBBSW BBSWJIBA JIBARBUBO BUBORCDOR CDOR

Withdrawal by third country competent authority of Registration of the third country administrator under Art. 30

CIBO CIBORMOSP MOSPRIMNIBO NIBORPRBO PRIBORTLBO TELBORWIBO WIBORTREA TREASURYSWAP SWAPFUSW FUTURE SWAP

Country Country codeAfghanistan AFAland Islands AXAlbania ALAlgeria DZAmerican Samoa ASAndorra ADAngola AOAnguilla AIAntarctica AQAntigua and Barbuda AGArgentina ARArmenia AMAruba AWAustralia AUAustria ATAzerbaijan AZBahamas BSBahrain BHBangladesh BDBarbados BBBelarus BYBelgium BEBelize BZBenin BJBermuda BMBhutan BTBolivia (Plurinational StateBOBonaire, Sint Eustatius a BQBosnia and Herzegovina BABotswana BWBouvet Island BVBrazil BRBritish Indian Ocean TerriIOBrunei Darussalam BNBulgaria BGBurkina Faso BFBurundi BICabo Verde CVCambodia KHCameroon CMCanada CACayman Islands KYCentral African Republic CFChad TDChile CLChina CN

Christmas Island CXCocos (Keeling) Islands CCColombia COComoros KMCongo CGCongo (Democratic RepublCDCook Islands CKCosta Rica CRCote d'Ivoire CICroatia HRCuba CUCuraçao CWCyprus CYCzechia CZDenmark DKDjibouti DJDominica DMDominican Republic DOEcuador ECEgypt EGEl Salvador SVEquatorial Guinea GQEritrea EREstonia EEEthiopia ETFalkland Islands (MalvinaFKFaroe Islands FOFiji FJFinland FIFrance FRFrench Guiana GFFrench Polynesia PFFrench Southern Territori TFGabon GAGambia GMGeorgia GEGermany DEGhana GHGibraltar GIGreece GRGreenland GLGrenada GDGuadeloupe GPGuam GUGuatemala GTGuernsey GGGuinea GNGuinea-Bissau GWGuyana GYHaiti HTHeard Island and McDonalHMHoly See VAHonduras HNHong Kong HKHungary HUIceland ISIndia IN

Indonesia IDIran (Islamic Republic of) IRIraq IQIreland IEIsle of Man IMIsrael ILItaly ITJamaica JMJapan JPJersey JEJordan JOKazakhstan KZKenya KEKiribati KIKorea (Democratic People'KPKorea (Republic of) KRKuwait KWKyrgyzstan KGLao People's Democratic LALatvia LVLebanon LBLesotho LSLiberia LRLibya LYLiechtenstein LILithuania LTLuxembourg LUMacao MOMacedonia (the former YuMKMadagascar MGMalawi MWMalaysia MYMaldives MVMali MLMalta MTMarshall Islands MHMartinique MQMauritania MRMauritius MUMayotte YTMexico MXMicronesia (Federated StaFMMoldova (Republic of) MDMonaco MCMongolia MNMontenegro MEMontserrat MSMorocco MAMozambique MZMyanmar MMNamibia NANauru NRNepal NPNetherlands NLNew Caledonia NCNew Zealand NZNicaragua NI

Niger NENigeria NGNiue NUNorfolk Island NFNorthern Mariana IslandsMPNorway NOOman OMPakistan PKPalau PWPalestine, State of PSPanama PAPapua New Guinea PGParaguay PYPeru PEPhilippines PHPitcairn PNPoland PLPortugal PTPuerto Rico PRQatar QARéunion RERomania RORussian Federation RURwanda RWSaint Barthélemy BLSaint Helena, Ascension SHSaint Kitts and Nevis KNSaint Lucia LCSaint Martin (French part)MFSaint Pierre and MiquelonPMSaint Vincent and the Gr VCSamoa WSSan Marino SMSao Tome and Principe STSaudi Arabia SASenegal SNSerbia RSSeychelles SCSierra Leone SLSingapore SGSint Maarten (Dutch part)SXSlovakia SKSlovenia SISolomon Islands SBSomalia SOSouth Africa ZASouth Georgia and the SoGSSouth Sudan SSSpain ESSri Lanka LKSudan SDSuriname SRSvalbard and Jan Mayen SJSwaziland SZSweden SESwitzerland CHSyrian Arab Republic SY

Taiwan, Province of Chin TWTajikistan TJTanzania, United RepublicTZThailand THTimor-Leste TLTogo TGTokelau TKTonga TOTrinidad and Tobago TTTunisia TNTurkey TRTurkmenistan TMTurks and Caicos IslandsTCTuvalu TVUganda UGUkraine UAUnited Arab Emirates AEUnited Kingdom of Great BGBUnited States of America USUnited States Minor OutlyUMUruguay UYUzbekistan UZVanuatu VUVenezuela (Bolivarian RepVEViet Nam VNVirgin Islands (British) VGVirgin Islands (U.S.) VIWallis and Futuna WFWestern Sahara EHYemen YEZambia ZMZimbabwe ZW

Commission de Surveillance du Marché Financier de l'Afrique Centrale (Securities and Exchange Commission of Central Africa)

State Service for Financial Market Regulation and Supervision under the Government of the Kyrgyz Republic