+information+in+summary+or+collective+form_FR.pdf/5ae6a7 c8-dca6-4d4d-89b5-9e2e1c2d47ce https://www.eba.europa.eu/documents/10180/1523874/EBA-GL-201603+GL+on+the+provision+
+information+in+summary+or+collective+form_EN.pdf/d9b35 825-28e8-4b77-9207-5d4add90df26 Veuillez recevoir, Mesdames, Messieurs, l’assurance de nos sentiments très distingués. COMMISSION de SURVEILLANCE du SECTEUR FINANCIER Jean-Pierre FABER Françoise KAUTHEN Simone DELCOURT Directeur Directeur Directeur Claude MARX Directeur général Annexe : Orientations de l’ABE sur les modalités de fourniture d'informations sous une forme résumée ou agrégée aux fins de l'application de l'article 84, paragraphe 3, de la directive 2014/59/UE. Circulaire CSSF 17/649 page 2/2 EBA/GL/2016/03 19/07/2016 Guidelines on the provision
information in summary or collective form for the purposes
Directive 2014/59/EU 1 GUIDELINES ON HOW INFORMATION SHOULD BE PROVIDED IN SUMMARY OR COLLECTIVE FORM 1. Compliance and reporting obligations Status
these guidelines 1. This document contains guidelines issued pursuant to Article 16
Regulation (EU) No 1093/2010 1. In accordance with Article 16
Regulation (EU) No 1093/2010, competent authorities and financial institutions must make every effort to comply with the guidelines. 2. Guidelines set the EBA view
appropriate supervisory practices within the European System
Financial Supervision or
how Union law should be applied in a particular area. Competent authorities as defined in Article 4
Regulation (EU) No 1093/2010 to whom guidelines apply should comply by incorporating them into their practices as appropriate (e.g. by amending their legal framework or their supervisory processes), including where guidelines are directed primarily at institutions. Reporting requirements 3. According to Article 16
Regulation (EU) No 1093/2010, competent authorities must notify the EBA as to whether they comply or intend to comply with these guidelines, or otherwise with reasons for non-compliance, by 19.09.2016. In the absence
any notification by this deadline, competent authorities will be considered by the EBA to be non-compliant. Notifications should be sent by submitting the form available on the EBA website to compliance@eba.europa.eu with the reference ‘EBA/GL/2016/03’. Notifications should be submitted by persons with appropriate authority to report compliance on behalf
their competent authorities. Any change in the status
compliance must also be reported to the EBA. 4. Notifications will be published on the EBA website, in line with Article 16
the European Parliament and
the Council
24 November 2010 establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC, (OJ L 331, 15.12.2010, p.12). 2 GUIDELINES ON HOW INFORMATION SHOULD BE PROVIDED IN SUMMARY OR COLLECTIVE FORM 2. Subject matter, scope and definitions Subject matter 5. These guidelines specify how information should be provided in summary or collective form for the purposes
Directive 2014/59/EU 2 , pursuant to the mandate conferred on the EBA in Article 84
that Directive. Scope
application 6. These guidelines apply in relation to the disclosure
confidential information in summary or collective form for the purposes
Directive 2014/59/EU by the persons referred to in Article 84
that Directive. Addressees 7. These guidelines are addressed to competent authorities as defined in point (i) and resolution authorities as defined in point (iv)
Regulation (EU) No 1093/2010 and to financial institutions as defined in Article 4
that Regulation. Definitions
application 9. Competent authorities should implement these guidelines by [6 months from the date
publication
the translation
the guidelines in all EU
ficial languages on the EBA’s website] 2 Directive 2014/59/EU
the European Parliament and
the Council
15 May 2014 establishing a framework for the recovery and resolution
credit institutions and investment firms (OJ L 173
12 June 2014, p. 190). 3 GUIDELINES ON HOW INFORMATION SHOULD BE PROVIDED IN SUMMARY OR COLLECTIVE FORM 4. Provision
information in summary or collective form 10. For the purposes
disclosing information in summary or collective form according to Article 84
Directive 2014/59/EU, such that individual institutions or entities referred to in point (b), (c) or (d)
that Directive cannot be identified, the information should be provided either by means
a brief statement or on an aggregate basis, in anonymised form. 11. For the purposes
paragraph 10
these guidelines all the following factors should be considered in order to ensure that the information in summary or collective form is disclosed in anonymised form: 11.1. Number
institutions: if the confidential information relates to fewer than three institutions or entities referred to in point (b), (c) or (d)
Directive 2014/59/EU, disclosure should be avoided, unless the specific patterns, as specified in point 11.2
this paragraph, and the context
disclosure, as specified in point 11.3
this paragraph, do not create a risk
those individual institutions or entities being identified. 11.2. Specific patterns: when disclosing confidential information any reference to specific characteristics, distinctive features, names or to numerical, qualitative or other distinctive data allowing identification
the individual institutions or entities referred to in point (b), (c) or (d)
Directive 2014/59/EU should be avoided. 11.3. Context
disclosure: disclosure
confidential information should be avoided when a set
circumstances such as the means
the disclosure, the number and the characteristics
the addressees, the timing
the disclosure and any other distinctive circumstance creates a risk
the individual institutions or entities referred to in point (b), (c) or (d)
Directive 2014/59/EU being identified. 4
Explication IA à partir du texte officiel de la loi. Indicatif, ne remplace pas un conseil juridique.