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Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

You are viewing the version of the document as on 2021-01-01.

Status: In this content, we have included all amendments made by EU exit-related instruments up to end September 2020. There will be more amendments to be made later this year, further to the September QCP.

ANNEX II Information to be provided in an application for registration under Article 34 of Regulation (EU) 2016/1011

  1. "A" means "Applicable"

  2. "N/A" means "Not applicable"

Item in Annex I

Supervised entities providing only non-critical benchmarks

Entities providing only non-significant benchmarks

(1) General information

1(a)

Full name

A

A

1(b)

Address

A

A

1(c)

Legal status

A

A

1(d)

Website

A

A

1(e)

Contact person

A

A

1(f)

Current authorisation status

A

A to supervised entities

N/A to non-supervised entities

1(g)

Operations conducted

A

A

1(h)

Constitutional documents

A

A

1(i)

Group structure

A

A

1(j)

Self-declaration of good repute

A

A

1(k)

Number of benchmarks

A

A

(2) Organisational structure and governance

2(a)

Internal organisational structure

A

A

2(b)

Employees

A

A

2(c)

Human resources

A

N/A

(3) Conflicts of interest

3(a)

Policies and procedures

A

A in the form of a summary

3(b)

Material conflicts of interest

A

N/A

3(c)

Remuneration structure

A

A

(4) Internal control structure, oversight and accountability framework

4(a)

Policies and procedures for monitoring the activities of the provision of a benchmark

A

A in the form of a summary

4(b)

Internal arrangements for determining and publishing a benchmark

A

A in the form of a summary

4(c)

Internal reporting of infringements

A

A in the form of a summary

(5) Description of benchmarks provided

5(a)

Description

A

A in the form of a summary

5(b)

Underlying market

A

A in the form of a summary

5(c)

Contributors

A

A in the form of a summary

5(d)

Corrections

A

A in the form of a summary

5(e)

Changes to and cessation

A

A in the form of a summary

(6) Input data and methodology

6(a)(i)

Description of input data used

A

A in the form of a summary

6(a)(ii)

Input data — sufficient, appropriate and verifiable

A

A in the form of a summary

6(a)(iii)

Contributors

A

A in the form of a summary

6(a)(iv)

Evaluation of contributor's input data and validation of input data

A

N/A

6(b)(i)

Description of the methodology

A

A in the form of a summary

6(b)(ii)(1)

Validation/Review

A

A in the form of a summary

6(b)(ii)(2)

Material change

A

N/A

(7) Outsourcing

7(a)

Contracts

A

N/A

7(b)

Outsourced functions

A

A in the form of a summary

7(c)

Control

A

A in the form of a summary

(8) Others

8(a)

Additional information

A

A

8(b)

Form

A

A