- "A" means "Applicable"
- "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 |