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DORA – Publication by the CSSF of a guide providing detailed information related to the error and warning messages raised by the ESAs as a result of t

Published on 16 May 2025 Email this Share this on LinkedIn Share this on Facebook Communiqué DORA – Publication by the CSSF of a guide providing detailed information related to the error and warning messages raised by the ESAs as a result of the validation checks they perform on the received registers of information The CSSF is issuing the present guide following the request from the market to receive more detailed information related to the error and warning messages raised by the ESAs as a result of the validation checks they perform on the received registers of information. This document is based on the current list of validation checks (last updated on 28 April 2025) performed by the ESAs. It provides, for the most frequently failed validation checks, i.e. for the most frequent ESA error/warning messages received by financial entities, a description of the issues and instructions on how to solve them. 16 May 2025 Guidance for interpretation and resolution of ESA error messages related to the DORA register Guidance allowing financial entities to interpret and resolve error messages raised by the ESA during the analysis of the submitted register of information. CSSF guidance PDF (763.19Kb) Main topic: ICT and cyber risk – for DORA entities Relevant for Central Securities Depositories (CSDs) Credit institutions Crowdfunding service providers Crypto-Assets Service Providers (CASPs) Data Reporting Service Providers (DRSPs) Investment firms Investment fund managers Issuers of Tokens Payment institutions/electronic money institutions/AISPs Pension fund Guidance for interpretation and resolution of ESA error messages related to the DORA register Version 1.0 – 15/05/2025 TABLE OF CONTENTS

  1. Introduction ............................................................................................................... 3
  2. Description of the error/warning messages issued by the ESAs......................................... 4 Rule code 103 ............................................................................................................ 4 Rule code 305 ............................................................................................................ 5 Rule code 306 ............................................................................................................ 5 Rule code 330 ............................................................................................................ 6 Rule code 331 ............................................................................................................ 6 Rule code 503 ............................................................................................................ 7 Rule code 702 ............................................................................................................ 8 Rule code 703 ............................................................................................................ 9 Rule code 704 .......................................................................................................... 10 Rule code 714 .......................................................................................................... 11 Rule code 720 .......................................................................................................... 12 Rule code 723 .......................................................................................................... 13 Rule code 801 .......................................................................................................... 13 Rule code 805 .......................................................................................................... 16 Rule code 806 .......................................................................................................... 17 Rule code 807 .......................................................................................................... 19 Rule code 808 .......................................................................................................... 21 Rule code 809 .......................................................................................................... 22 Rule code v88xx_m / v8888x_m ................................................................................ 23 Rule code VR_2 / VR_12 / VR_23 / VR_71 / VR_77 ..................................................... 28 Rule code VR_72 / VR_78.......................................................................................... 28 2/29 Guidance for interpretation and resolution of ESA error messages related to the DORA register Version 1.0 – 15/05/2025
  3. Introduction The CSSF is issuing the present guide following the request from the market to receive more detailed information related to the error and warning messages raised by the ESAs as a result of the validation checks they perform on the submitted registers of information. As a reminder, the list of validation checks performed by the ESAs (last updated on 28 April 2025) is available under this Link: • Error messages are described in the tab ‘Technical checks’ and result in the rejection of the submitted register; • Warning messages are described in the tabs ‘DPM Business Validation Rules’ and ‘LEI-EUID checks’. Although they do not lead to the rejection of the submitted register, financial entities are expected to fix the raised issues and re-submit their register. To note that the list of validation checks performed by the ESAs may vary over time. The CSSF invites financial entities to always consult the latest version published by the ESAs. The present guide provides, for the most frequently failed validation checks, i.e. for the most frequent ESA error/warning messages received by financial entities, a description of the issues and instructions on how to solve them. This guide is not intended to be exhaustive and shall be read in conjunction with: - the ‘CSSF guide concerning the submission of DORA Register of information’ issued on 23 April (Link) and; - any other related document published by the ESAs under Link. 3/29
  4. Description of the error/warning messages issued by the ESAs Rule Code: 103 Rule Invalid ZIP file description: Displayed Failed reception check 103: Invalid ZIP file, instance filename [filename] not Error: matching zip filename [name of zip file] or Failed reception check 103: Invalid ZIP file root folder [name of root folder] is not found in ZIP file [name of zip file] or Failed reception check 103: Invalid ZIP file, instance file extension is missing in zip file [name of zip file] Type of Error message leading to the rejection of the submitted register. Message Error Description: Instructions: Different issues may lead to the different error messages: - The root folder does not have the same name than the zip file - The root folder or sub-folders are missing - The file extension of the zip is missing - The required structure of the zip file is not respected Financial entities shall ensure that : • The root folder exists inside the zip file • The root folder has the same name as the zip file but without the .zip extension • The name of the folder is in uppercase • The main folder contains two sub-folders ‘reports’ and ‘META-INF’ • The name of those two sub-folders are case-sensitive. The presence of a sub-folder ‘Reports’ for instance will lead to the rejection of the submitted register. 4/29 Special N/A case(s): Example(s): - Rule Code: 305 Rule Numeric fact must not be reported with a string value description: Displayed [table],[row],[column],305, Numeric fact must not be reported with a string Error: value, Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Error A numeric value shall be provided in data field [table],[row],[column]. The Description: financial entity has either provided a non-numeric value or has left the data field empty. Instructions: Financial entities shall provide the mandatory value in data field [table],[row],[column]. Special N/A case(s): Example: Data field b_05.01.0100 shall contain a numeric value in case the ICT thirdparty service provider in b_05.01.0010 is a direct ICT third-party service provider (direct TPP). In case the financial entity has signed a contract with a direct TPP and has left data field b_05.01.0100 empty, a warning message of type 305 will be raised. Rule Code: 306 Rule XBRL instance documents must use UTF-8 encoding description: Displayed [table filename],,,306, XBRL instance documents must use UTF-8 encoding Error: Type of Error message leading to the rejection of the submitted register. Message Error Description: File [table file name] has not been encoded in the requested ‘UTF-8’ format. To note that .csv table files not encoded in UTF-8 will not be read correctly and thus may generate during the analysis of the submitted register a high number of other error messages (like for instance the error message of type 807). Instructions: Financial entities shall ensure that all files contained in the .zip file are encoded in ‘UTF-8’ format. 5/29 Special N/A case(s): Example(s): The table file b_01.01.csv has been encoded in ANSI format and will not be accepted. Rule Code: 330 Rule Date type metric must be reported with format 'yyyy-mm-dd' description: Displayed [table],[row],[column],330, Date type metric must be reported with format Error: 'yyyy-mm-dd' Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Error The data field [table],[row],[column] shall contain a date and the value shall Description: respect the format 'yyyy-mm-dd'. Instructions: Financial entities shall ensure that dates are encoded in the requested format. Special N/A case(s): Example(s): The following values do not respect the date format thus warning messages will be raised. Data field Justification 31-12-2025 Date format yyyy-mm-dd not respected 2025-31-12 Rejected as date is provided in yyyy-dd-mm format 2025/12/31 Separator ‘/’ not allowed 2025-01-31 00:00:00 Time must not be added to the date Rule Code: 331 Rule Integer type metric must be reported with an integer description: Displayed [table],[row],[column],331, Integer type metric must be reported with an integer Error: 6/29 Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Error An integer value shall be provided in data field [table],[row],[column]. The Description: financial entity has either not provided such an integer value or has left the data field empty. To note that for example the value ‘100.5’ is in floating point format and not an integer value as the latter shall not contain a decimal place. Instructions: Financial entities shall ensure that an integer value is provided for data field [table],[row],[column]. Special N/A case(s): Example(s): Data field b.02.02.0100 in line 12 of the b.02.02 table file contains the string ‘Not applicable’ instead of an integer value. Rule Code: 503 Rule Extensible main property and explicit key dimension must only be reported with description: one of the restricted value of a hierarchy Displayed [table],[row],[column],503, Extensible main property and explicit key dimension Error: must only be reported with one of the restricted value of a hierarchy Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Error The value contained in data field [table],[row],[column] shall be a value from Description: the associated drop-down list (link) Instructions: The data field [table],[row],[column] can only contain values from an associated drop-down list or shall be left empty. Under no circumstances financial entities may modify the value from a drop-down list. Figure below shows the possible values for data field B.01.02.0040 in template B_01.02: 7/29 In the above example, only the values ‘eba_CT:XXX’ from the list are accepted for data field B.01.02.
  5. A warning message will automatically be raised in case a financial entity uses a value which is no contained in the drop-down list or uses a value from a different drop-down list. Financial entities shall enter the complete value (for instance ‘eba_CT:x318’ and not only the value ‘x318’). Special case(s): Country key fields The data fields b_02.02.0130, b_02.02.0150 and b_02.02.0160 are key fields and thus cannot be left empty. The ESAs have defined for those 3 data fields a drop-down list from which financial entities shall choose a value. Example 1: In case the country of provision of the services would be Ireland, financial entity shall not enter ‘Ireland’ but the code ‘eba_GA:IE’ in data field b_02.02.
  6. Example 2: In case the mandatory key value is not known by the financial entity for one of those three above mentioned data fields, it shall specify the code ‘eba_GA:qx2007’ representing the value ‘Not applicable’. Example(s): The values ‘UK_CRN’ or ‘LU_VAT’ for data field b.02.02.0040 are not accepted as the value for that data field shall be of type ‘eba_qCO:qx200x (with x a value between 0 and 5)’. Rule Code: 702 Rule Invalid declarations in FilingIndicators.csv - wrong number of columns reported description: Displayed [filename],,,702,Column names do not match the expected format Error: Type of Error message leading to the rejection of the submitted register Message 8/29 Error The column names of file [filename] do not respect the requirements of the Data Description: Point Model (“DPM”) Instructions: The header of the file FilingIndicators.csv shall be : templateID,reported Special N/A case(s): Example(s): Example of a filingindicators.csv file containing spaces between the header names which does not respect the requirements of the ESAs leading to the rejection of the submitted register. Rule Code: 703 Rule Each template can be declared only once in FilingIndicators.csv description: Displayed FilingIndicators.csv,,,703, Each templateID must be unique Error: Type of Error message leading to the rejection of the submitted register. Message Error The different names of the table files in the FilingIndicators.csv must be unique. Description: Instructions: Financial entities shall ensure that lines with .csv filenames are not duplicated. Special - case(s): Example(s): Example of rejected file with duplicated lines. 9/29 Rule Code: 704 Rule Only boolean values (true, false, 1, 0) are allowed for any template code in description: FilingIndicators.csv Displayed FilingIndicators.csv,,,704,"Each reported value must be true, false, 1, or 0" Error: Type of Error message leading to the rejection of the submitted register. Message Error Description: The FilingIndicators.csv file does not match the requirements defined in the DPM. To note that: - the error message 704 may be triggered in case the FilingIndicators.csv file - the error message ‘808 All filing indicators have to be sent as true’ may also is not encoded in ‘UTF-8’. be raised. Instructions: • Content of a correct ‘FilingIndicators.csv’ file: • The content of the above ‘FilingIndicators.csv’ file shall not be modified. 10/29 • The name of the .csv file is case sensitive. The value “true” and “false” must be in lowercase, “True” and “False” will be rejected. • All lines except the header contain the Boolean value ‘true’ even if the financial entity will not report a given template (for instance in case the financial entity has no branches, file b_01.03.csv is not required). • The Boolean value ‘true’ must be expressed in English. Values in other languages are rejected. Examples leading to the rejection of the submitted register: B_01.01,wahr B_01.01,vrai Special N/A case(s): Example(s): Example of a rejected FilingIndicators.csv file Reasons for this rejection: • Some lines contain the value ‘false’ • The value ‘true’ is not in lower case. • The name of the .csv table B_05.01 does not start with a capital letter. Rule Code: 714 Rule The 'entityID' parameter must exist and its value must match filename description: Displayed parameters.csv,,,714, The 'entityID' parameter must exist and its value must Error: match filename Type of Error message leading to the rejection of the submitted register. Message 11/29 Error The parameters.csv file does not respect the requirements defined by the ESAs. Description: • Content of the ‘parameters.csv’ file: • The order of the header of the parameters.csv file is important – it needs to be “name” first followed by “value” • The second row shall start with ‘entityID,rs:’ followed by the LEI of the entity submitting the register and ‘.CON’ or ‘.IND’. In other words, the string shall be followed by the 24 first characters of the zip file name. • The reference period specified in line 3 shall be the same as the one specified in the filename of the .zip file. For the 2025 submission, the reference date is set to ‘2025-03-31’ • The header line shall not end with ‘,’ Instructions: Financial entities shall review the content of the parameters.csv file. Special N/A case(s): Example(s): - Rule Code: 720 Rule Valid table names must be used as .csv filenames description: Displayed [LEI].[IND/CON],,,720, Extra files found in the submission: [filename] Error: Type of Error message leading to the rejection of the submitted register. Message Error Financial entity has added additional files in the sub-folder ‘reports’ or the name Description: of a .csv table file has been misspelled. Instructions: Financial entity shall ensure that only the requested files are included in the .zip file. 12/29 Special N/A case(s): Example(s): The financial entity has added an .xls or xlsx file in the sub-folder ‘reports’ The financial entity has not provided .csv table files but only .xls or .xlsx files in the sub-folder ‘reports’. Rule Code: 723 Rule The header row in parameters.csv must consist only of the values name and description: value, in the first and second columns, respectively Displayed parameters.csv,,,723, The header row in parameters.csv must consist only of Error: the values name and value, in the first and second columns, respectively Type of Error message leading to the rejection of the submitted register. Message Error Description: Instructions: The first line in the parameters.csv shall be ‘name,value’ Example: Financial entities shall ensure that the first line of the file is ‘name,value’. Financial entities shall not replace ‘value’ by the name of their financial entity. Special N/A case(s): Example(s): - Rule Code: 801 13/29 Rule All the header column codes must be defined in the taxonomy json files (as description: described in the Data Point Model (“DPM”) Displayed [table filename],,,801, All header column codes must be defined in the schema Error: Type of Error message leading to the rejection of the submitted register. Message Error The financial entity has specified a header in table file [table filename] which is Description: not compliant with the DPM. Instructions: • The header of a .csv file contains a list of the different columns c0010, c0020, … • All columns in the header are separated via the comma character ‘,’ • All column names in the header are in lower cases and start with the letter • No additional columns shall be added • The header of a .csv file shall not contain an empty value • The columns contained in a header are incremented by 10 (c0010, c0020, “c” followed by 4 digits c0030, …) • The header line shall not end with ‘,’ The Data Model for DORA RoI (Link) enumerates all the data fields defined in the ITS on register of information. Example: Template B.01.01 is composed of 6 different data fields: The header of the file b_01.01.csv shall be: c0010,c0020,c0030,c0040,c0050,c0060 Order of the columns Financial entities have to ensure that the number of columns contained in a .csv header corresponds to the ESA’s specification. The order of the columns however may vary e.g. they can come in any order. In this case, the financial entities have to ensure that the corresponding values follow the same order than the columns in the header. Example of two different b.01.01.csv files that will be accepted: Example1: 14/29 Example2: In both examples, column c0010 for instance contains the LEI of the financial entity and column c0020 its name. Example of a b.01.01.csv file that will be rejected: In this example column c0010 contains the LEI of the financial entity but column c0020 contains the incorrect value ‘2025-03-31’ instead of the financial entity’s name. Special case(s): Table B_03.03 The file b_03.03.csv is the only template which contains a column ‘c0031’. The column name ‘c0031’ in table b_03.03 is not an error and should not be corrected. A ‘b_03.01.csv’ file containing header c0010,c0020,c0030 will be rejected. Tables B_02.03 and B_03.01 The Data Point Model for DORA RoI specifies that templates B.02.02 and B.03.01 have only two columns. However, in the annotated table for DORA published by the ESAs a third column was added to both templates so that the table files b_02.03.csv and b_03.01.csv shall both have the following header: c0010,c0020,c0030 Table B_06.01 The ESAs noted in FAQ#46(U) that there is a numbering error in the numbering of the column codes in Template B_06.01 in the ITS published in the EU Official Journal. In particular, data field B_06.01.0050 is missing in the column codes, resulting in the data fields being assigned erroneous column codes. The ESAs further noted that for reporting purposes, the data points included in the reporting technical package v4.0 for the ITS on the Registers of information should be considered. The data point model contains consecutive numbers of the data fields. Following the renumbering of the columns, the header of the table file b_06.01.csv shall be: c0010,c0020,c0030,c0040,c0050,c0060,c0070,c0080,c0090,c0100 15/29 Example(s): Examples of headers that will be rejected for file b_01.01.csv: Header Justification C0010,C0020,C0030,C0040,C0050,C0060 Columns shall start with the lowercase letter ‘c’ c0010,c0020,c0030,c0050,c0060 Missing column c0040 c0010,c0020,c0030,c0040,c0050,c0060,c0070 Column c0070 is impermissible, it does not exist in the data point model (DPM) c0010;c0020;c0030;c0040;c0050;c0060 Wrong separator, only a comma is accepted as separator b_01.01.c0010, b_01.01.c0020, b_01.01.c0030, Naming convention b_01.01.c0040, b_01.01.c0050, b_01.01.c0060 columns not respected c0010,c0020,c0030,c0040,c0050,c0060, The header ends with ‘,’ Rule Code: 805 Rule For open tables, the key columns values cannot be empty of the description: Displayed [table],[row],[column],805, For open tables, the key columns values cannot be Error: empty, None Type of Error message leading to the rejection of the submitted register. Message Error A data field defined as a key field is empty e.g. contains no value. Description: Instructions: The document ‘Data Model for DORA RoI’ specifies in column ‘PrimaryKey’ or ‘ForeignKey’ whether a given data field is a key field or not. In case a data field is a key, it cannot be empty e.g. shall contain a value. Example: 16/29 In the above example, data fields b.01.01.0010, b.01.02.0010 and b.01.02.0060 are defined as keys and cannot be empty. Special case(s): FAQ#40 : Unknown or missing LEI In case a key data field contains a LEI of an ICT third-party provider (or its ultimate parent undertakings) registered in third countries, financial entities should populate the data filed with any relevant value to avoid the file being rejected as failing the referential integrity check. In practice this could mean that the financial entity could use other identifiers available. The use of such identifiers will be highlighted as a data quality issue (e.g. a warning message will be displayed), but the submitted register will not be rejected. The data fields b_02.02.0130, b_02.02.0150 and b_02.02.0160 are key fields. In order to populate those fields, financial entities have to choose a value from a drop-down list (Link). All those values start with the prefix ‘eba_’. Example 1: In case the Country of provision of the services is Ireland, financial entities shall not enter ‘Ireland’ but use the code ‘eba_GA:IE’ for data field B_02.02.
  7. Example 2: In case the mandatory key value is not known by the financial entities for one of the above data fields, they shall specify the code ‘eba_GA:qx2007’ representing the value ‘Not applicable’. Example(s) - Rule Code: 806 Rule For open tables, you cannot have multiple rows with identical key values. description: 17/29 Displayed [table],[line],[column],806, For open tables, you cannot have multiple rows with Error: identical key values,[value] and [table],[line],[column],806, For open tables, you cannot have multiple rows with identical key values,[value] Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Error Each table in the DORA data model has a primary key composed of a single Description: column or a combination of several columns. All columns of a table which are part of the table’s key are represented in bold in the Data Model for DORA RoI. Examples: The primary key for table B.05.01 is a single column: c0010 The primary key for table B.01.03 is a combination of the two columns: [c0010, c0020] For a given table, the value of a key cannot be duplicated. Instructions: Financial entities shall ensure that a given .csv table file has no duplicated keys. Special N/A case(s): Example(s): The below message indicates that for the table file b.05.01, the financial entity has specified in lines 2 and 37 the same LEI. As field b.05.01.0010 is the only primary key of that table, the value cannot be duplicated. 18/29 Rule Code: 807 Rule The reported data must follow the key-foreign key constraints defined in the DPM. description: Displayed [table],[row],[column],807,The reported data must follow the key-foreign key Error: constraints defined in the DPM,[value] Type of Error message leading to the rejection of the submitted register. Message Error The Data Model for DORA RoI specifies in column ‘ForeignKey’ whether a given Description: data field is a foreign key field or not. Example: In the above example, data fields B_02.02.0010, B_02.02.0020, B_02.02.0030 and B_02.02.0050 are Foreign Keys. This means that the value contained in those 3 data fields shall be defined in the same or in another table. Is this not the case, an error message of type 807 will be issued leading to the rejection of the submitted register. The ESAs distinguish between two types of Foreign Key violation : a. Foreign Key Violation - across tables A Foreign Key Violation refers to a situation where a given data field contains a value which has not been defined in a primary key data field of another table. Example: - Table B_02.01 contains all the contractual arrangements signed with an Intra-Group entity or with an external TPPs. Each of those contractual arrangements are identified by a Contractual arrangement reference number as a primary key. - Table B.02.03 contains all Intra-Group entity contractual arrangements. Each contract in table B.02.02 shall be defined in table B_02.
  8. Is this not the case, an error message of type ‘Foreign Key Violation - across tables‘ is displayed. 19/29 The dependency between the tables B_02.01 and B_02.03 or precisely between the data fields B.02.01.0010 and B_02.02.0010 are represented in the Data Model for DORA RoI document as follows: b. Foreign Key Violation - self reference A Foreign Key Violation refers to a situation where a given data field contains a value which has not been defined in the same table. Example: Table B.02.01 contains all the contractual arrangements of the financial entity. - Column c0020 of table B_02.01 specifies the type of the contract : standalone arrangement, overarching / master contractual arrangement or subsequent or associated arrangement. - In case column c0020 contains the value ‘subsequent or associated arrangement’, then column c0030 (foreign key) shall contain the contractual reference number (primary key) of the overarching / master contractual arrangement. In case column 0030 contains the value of a contractual reference number of the overarching / master contractual arrangement contract then the latter has to be specified in table B.02.
  9. Is this not the case, a message of type 807 will be raised and the submitted register will be rejected. Instructions: The error message indicates the source data field [table], [row], [column] and its value for which the foreign-key violation has been identified. Based on the Data Model for DORA RoI, financial entities shall identify the table and data field which is linked to the source data field [table], [row], [column] in order to ensure that its value is contained in that table or in the data field. To note that a high number of 807 messages may be triggered in case the .csv table files are not encoded in UTF-8 format. 20/29 Special - case(s): Example(s): The table below specifies the source tables / columns which most frequently trigger the error message 807: Source Table b.03.01 b.02.02 b.02.03 b.05.02 b.04.01 b.05.01 Source Column c0020 c0020 c0010 c0030 c0020 c0110 Destination Table b.01.02 b.06.01 b.02.01 b.05.01 b.01.02 b.05.01 Destination Column c0010 c0040 c0010 c0010 c0010 c0010 How to read the above table: For each value contained in b.03.01.20 (source table / column) the corresponding value shall exist in b.01.02.10 (destination table / column). Is this not the case, then an error message is raised by the ESAs. Graphically, the link between both tables respectively between both columns are represented by an arrow in the Data Model for DORA RoI (Link). Rule Code: 808 Rule All filing indicators have to be set as true - and the templates reported empty if description: no data is present. Displayed FilingIndicators.csv,,,808, All filing indicators have to be sent as true Error: Type of Error message leading to the rejection of the submitted register. Message Error Description: The FilingIndicators.csv file does not match the requirements defined in the DPM. To note that: - the error message 808 may be triggered in case the FilingIndicators.csv is not encoded in ‘UTF-8’. - the error message ‘704 Each reported value must be true, false, 1, or 0’ may also be raised. Instructions: • Content of the ‘FilingIndicators.csv’ file: 21/29 • The content of the ‘FilingIndicators.csv’ file shall not be modified. • All lines except the header contain the Boolean ‘true’ even if the financial entity will not report a given template (for instance in case the financial entity has no branches, file b_01.03.csv is not required). Special N/A case(s): Example(s): - Rule Code: 809 Rule CSV formatting problem detected description: Displayed [filename],,,809, CSV formatting problem detected.,'utf-8' codec can't decode Error: byte [value] in position [value] invalid start byte or Unexpected number of columns in row [value] Type of Error message leading to the rejection of the submitted register. Message Error An issue has been detected inside a .csv table file: Description: • The file [filename] is not encoded in ‘UTF-8’. To note that the error ‘306 XBRL instance documents must use UTF-8 encoding’ may also be raised in this case. • The header does not match the columns in row [value] Instructions: Financial entities shall review the encoding of the file [filename]. Special N/A case(s): Example(s): • Table b.05.01 has not been encoded in UTF-8 format. • The number of columns in the header does not match the columns in the lines 22/29 • Rule Code: v88xx_m / v8888x_m Rule Value should not be missing description: Displayed v88xx_m [row] Value should not be missing [table] [column] None Error Type of Warning message not leading to the rejection of the submitted register Message Error A given data field is empty but shall contain a value Description: Instructions: The ESAs have defined for all tables (except for B_02.03,B_02.03,B_03.02) Data Point Model (DPM) Business Validation Rules. DPM Business Validation rules v88xx_m / v8888x_m check that a given data field is not empty under a predefined condition. The structure of each of those validation rules is [in case a certain condition is met] then [a given data field cannot be empty e.g. must contain a value]. Special N/A case(s): Example(s): DPM rules for Table B_01.01 Code v8872_m Descrip�on In case column c0030 or c0040 or c0050 or c0060 contains a value then column c0020 shall not be empty. v8873_m In case column c0020 or c0040 or c0050 or c0060 contains a value then column c0030 shall not be empty. v8874_m In case column c0020 or c0030 or c0050 or c0060 contains a value then column c0040 shall not be empty. v8875_m In case column c0020 or c0030 or c0040 or c0050 contains a value then column c0050 shall not be empty. v8876_m In case column c0020 or c0030 or c0040 or c0050 contains a value then column c0060 shall not be empty. v8890_m The LEI provided in column c0010 shall have a length of
  10. DPM rules for Table B_01.02 Code Descrip�on 23/29 v8803_m In case column c0110 is not empty, then column c0100 shall not be empty v8804_m In case the value of column c0040 is not ‘eba_CT:x318’ or ‘eba_CT:x317’ then column c0110 shall not be empty. v8826_m The LEI provided in column c0060 shall have a length of
  11. v8858_m If the value of one of the columns c0030 or c0040 or c0050 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0020 shall not be empty. v8859_m If the value of one of the columns c0020 or c0040 or c0050 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0030 shall not be empty. v8860_m If the value of one of the columns c0020 or c0030 or c0050 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0040 shall not be empty. v8861_m If the value of one of the columns c0020 or c0030 or c0040 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0050 shall not be empty. v8862_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0060 shall not be empty. v8863_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0060 or c0080 or c0090 or c0100 or c0110 contains a value then column c0070 shall not be empty. v8864_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0060 or c0070 or c0090 or c0100 or c0110 contains a value then column c0080 shall not be empty. v8865_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0060 or c0070 or c0080 or c0100 or c0110 contains a value then column c0090 shall not be empty. v8891_m The LEI provided in column c0010 shall have a length of
  12. DPM rules for Table B_01.03 Code v8856_m Descrip�on If columns c0030 is not empty then column c0040 shall not be empty. v8857_m If columns c0040 is not empty then column c0030 shall not be empty. 24/29 v8892_m The LEI provided in column c0020 shall have a length of
  13. DPM rules for Table B_02.01 Code v8805_m Descrip�on In case column c0020 contains ‘eba_CO:x3’ then column c0030 shall not be empty. v8866_m If one of the columns c0020, c0030 or c0040 is not empty then column c0050 shall not be empty. v8867_m If one of the columns c0020, c0030 or c0050 is not empty then column c0040 shall not be empty. v8868_m If one of the columns c0030, c0040 or c0050 is not empty then column c0020 shall not be empty. DPM rules for Table B_02.02 Code v8816_m Descrip�on Value of column c0080 shall be > then the value of column c0070 v8869_m In case of the columns c0070, c0080, c0090, c0100, c0110, c0120, c0140, c0170 or c0180 contains a value then column c0040 shall not be empty. v8870_m In case of the columns c0040, c0080, c0090, c0100, c0110, c0120, c0140, c0170 or c0180 contains a value then column c0070 shall not be empty. v8871_m In case of the columns c0040, c0070, c0090, c0100, c0110, c0120, c0140, c0170 or c0180 contains a value then column c0080 shall not be empty. v8893_m The LEI provided in column c0020 shall have a length of
  14. DPM rules for Table B_03.01 Code v8894_m Descrip�on The LEI provided in column c0020 shall have a length of
  15. DPM rules for Table B_03.03 Code v8895_m Descrip�on The LEI provided in column c0020 shall have a length of
  16. 25/29 DPM rules for Table B_04.01 Code v8896_m Descrip�on The LEI provided in column c0020 shall have a length of
  17. DPM rules for Table B_05.01 Code v8817_m Descrip�on In case column c0070 contains ‘eba_CT:x212’ then column c0020 shall contain ‘eba_qCO:qx2000’ or ‘eba_qCO:qx2002’ v8818_m In case column c0070 contains ‘eba_CT:x212’ then column c0040 shall contain ‘eba_qCO:qx2000’ or ‘eba_qCO:qx2002’ v8821_m If column c0020 contains ‘eba_qCO:qx2000’ then column c0010 shall contain a valid LEI v8823_m If column c0030 contains a value then column c0040 shall not be empty. v8824_m If column c0100 contains a value then column c0090 shall not be empty. v8850_m In case of the columns c0030, c0040, c0050, c0060, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0020 shall not be empty. v8851_m In case of the columns c0020, c0030, c0040, c0060, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0050 shall not be empty. v8852_m In case of the columns c0020, c0030, c0040, c0050, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0060 shall not be empty. v8853_m In case of the columns c0020, c0030, c0040, c0050, c0060, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0070 shall not be empty. v8854_m In case of the columns c0020, c0030, c0040, c0050, c0060, c0070, c0090, c0100, c0110 or c0120 contains a value then column c0080 shall not be empty. v8855_m In case of the columns c0020, c0030, c0040, c0050, c0060, c0070, c0080, c0090, c0100 or c0120 contains a value then column c0110 shall not be empty. DPM rules for Table B_06.01 26/29 Code v8877_m Descrip�on In case of the columns c0030, c0050, c0060, c0070, c0080, c0090 or c0100 contains a value then column c0020 shall not be empty. v8878_m In case of the columns c0020, c0050, c0060, c0070, c0080, c0090 or c0100 contains a value then column c0030 shall not be empty. v8879_m In case of the columns c0020, c0030, c0060, c0070, c0080, c0090 or c0100 contains a value then column c0050 shall not be empty. v8880_m In case of the columns c0020, c0030, c0050, c0060, c0080, c0090 or c0100 contains a value then column c0070 shall not be empty. v8881_m In case of the columns c0020, c0030, c0050, c0060, c0070, c0090 or c0100 contains a value then column c0080 shall not be empty. v8882_m In case of the columns c0020, c0030, c0050, c0060, c0070, c0080 or c0100 contains a value then column c0090 shall not be empty. v8883_m In case of the columns c0020, c0030, c0050, c0060, c0070, c0080 or c0100 contains a value then column shall not be empty. v8897_m The LEI provided in column c0040 shall have a length of
  18. DPM rules for Table B_07.01 Code v8825_m Descrip�on In case column c0050 contains the ‘eba_ZZ:x959’ or ‘eba_ZZ:x960’ then column c0060 shall not be empty. v8884_m If one of the columns c0030, c0060, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0050 shall not be empty. v8885_m If one of the columns c0030, c0050, c0060, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0070 shall not be empty. v8886_m If one of the columns c0030, c0050, c0060, c0070, c0090, c0100, c0110 or c0120 contains a value then column c0080 shall not be empty. v8887_m If one of the columns c0030, c0050, c0060, c0070, c0080, c0100, c0110 or c0120 contains a value then column c0090 shall not be empty. 27/29 v88889_m If one of the columns c0030, c0050, c0060, c0070, c0080, c0090, c0100 or c0120 contains a value then column c0110 shall not be empty. v8888_m If one of the columns c0030, c0050, c0060, c0070, c0080, c0090, c0110 or c0120 contains a value then column c0100 shall not be empty. Rule Code: VR_2 / VR_12 / VR_23 / VR_71 / VR_77 Rule LEI code needs to be a valid one according to the GLEIF database description: Displayed • Error: • • • • [table],[row],[column],VR_2,LEI code needs to be a valid one according to the GLEIF database,[value] [table],[row],[column],VR_12,LEI code needs to be a valid one according to the GLEIF database,[value] [table],[row],[column],VR_23,LEI code needs to be a valid one according to the GLEIF database,[value] [table],[row],[column],VR_71,LEI code needs to be a valid one according to the GLEIF database,[value] [table],[row],[column],VR_77,LEI code needs to be a valid one according to the GLEIF database,[value] Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Instructions: Financial entities shall provide a valid LEI code in data field [table],[row],[column] e.g. which exists in the GLEIF database. The GLEIF search engine (Link) can be used to search for a given LEI in the GLEIF database. Special FAQ#40 notes that “in case the LEI is not available for the ICT third-party provider case(s): (or its ultimate parent undertakings) registered in third countries, the financial entity should populate the data filed with any relevant value to avoid the file being rejected as failing the referential integrity check. In practice this could mean that the financial entity could use other identifiers available. The use of such identifiers will be highlighted as a data quality issue, but the files will not be rejected”. Example(s): - Rule Code: VR_72 / VR_78 Rule EUID code needs to be a valid one according to the BRIS description: Displayed Error: 28/29 Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Instructions: Financial entities shall check the composition of the EUID code: and ensure that the EUID code is recorded in the BRIS database Special N/A case(s): Example(s): - 29/29

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AI explanation based on the official legal text. Indicative, not a substitute for legal advice.