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27.3.2019 EN Official Journal of the European Union L 85/31
COMMISSION DECISION (EU) 2019/512
of 26 March 2019
updating Annex A to the Monetary Agreement between the European Union and the Principality
of Monaco
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to the Monetary Agreement of 29 November 2011 between the European Union and the Principality of
Monaco (1), and in particular Article 11(3) thereof,
Whereas:
(1) Article 11(2) of the Monetary Agreement between the European Union and the Principality of Monaco
(hereinafter ‘the Monetary Agreement’) requires the Principality of Monaco to apply the same rules as those
established in the French Republic for the purposes of transposing European legal acts concerning the activities
and prudential regulation of credit institutions and the prevention of systemic risks to payment and securities
settlement systems contained in Annex A.
(2) The update of the Annex A is made according to Article 11(3) of the Monetary Agreement which foresees that
Annex A needs to be updated by the Commission upon amendment of any relevant texts and also each time
a new text is adopted by the European Union,
(3) New texts have been adopted by the European Union and amendments have been made to the texts already
existing in Annex A.
(4) Annex A to the Monetary Agreement should therefore be amended accordingly,
HAS ADOPTED THIS DECISION:
Article 1
Annex A to the Monetary Agreement between the European Union and the Principality of Monaco is replaced by the
Annex to this Decision.
Article 2
This Decision shall enter into force on the day following that of its publication in the Official Journal of the European
Union.
Done at Brussels, 26 March 2019.
For the Commission
The President
Jean-Claude JUNCKER
(1) OJ C 23, 28.1.2012, p. 13.L 85/32 EN Official Journal of the European Union 27.3.2019
ANNEX
‘ANNEX A
Applicable banking and financial legislation
1 With regard to the provisions applicable to credit institutions:
Council Directive 86/635/EEC of 8 December 1986 on the annual accounts and consolidated accounts of banks
and other financial institutions (OJ L 372, 31.12.1986, p. 1).
amended by:
2 Directive 2001/65/EC of the European Parliament and of the Council of 27 September 2001 amending Direc
tives 78/660/EEC, 83/349/EEC and 86/635/EEC as regards the valuation rules for the annual and consolidated
accounts of certain types of companies as well as of banks and other financial institutions (OJ L 283,
27.10.2001, p. 28).
3 Directive 2003/51/EC of the European Parliament and of the Council of 18 June 2003 amending Directives
78/660/EEC, 83/349/EEC, 86/635/EEC and 91/674/EEC on the annual and consolidated accounts of certain
types of companies, banks and other financial institutions and insurance undertakings (OJ L 178, 17.7.2003,
p. 16).
4 Directive 2006/46/EC of the European Parliament and of the Council of 14 June 2006 amending Council Direc
tives 78/660/EEC on the annual accounts of certain types of companies, 83/349/EEC on consolidated accounts,
86/635/EEC on the annual accounts and consolidated accounts of banks and other financial institutions and
91/674/EEC on the annual accounts and consolidated accounts of insurance undertakings (OJ L 224, 16.8.2006,
p. 1).
5 Council Directive 89/117/EEC of 13 February 1989 on the obligations of branches established in a Member State
of credit institutions and financial institutions having their head offices outside that Member State regarding the
publication of annual accounting documents (OJ L 44, 16.2.1989, p. 40).
6 Directive 98/26/EC of the European Parliament and of the Council of 19 May 1998 on settlement finality in pay
ment and securities settlement systems (OJ L 166, 11.6.1998, p. 45).
amended by:
7 Directive 2009/44/EC of the European Parliament and of the Council of 6 May 2009 amending Directive
98/26/EC on settlement finality in payment and securities settlement systems and Directive 2002/47/EC on
financial collateral arrangements as regards linked systems and credit claims (OJ L 146, 10.6.2009, p. 37).
8 Directive 2010/78/EU of the European Parliament and of the Council of 24 November 2010 amending Direc
tives 98/26/EC, 2002/87/EC, 2003/6/EC, 2003/41/EC, 2003/71/EC, 2004/39/EC, 2004/109/EC, 2005/60/EC,
2006/48/EC, 2006/49/EC and 2009/65/EC in respect of the powers of the European Supervisory Authority
(European Banking Authority), the European Supervisory Authority (European Insurance and Occupational Pen
sions Authority) and the European Supervisory Authority (European Securities and Markets Authority) (OJ L 331,
15.12.2010, p. 120).
9 Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC deriva
tives, central counterparties and trade repositories (OJ L 201, 27.7.2012, p. 1).
10 Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving se
curities settlement in the European Union and on central securities depositories and amending Directive
98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (OJ L 257, 28.8.2014, p. 1).
11 Directive 2001/24/EC of the European Parliament and of the Council of 4 April 2001 on the reorganisation and
winding up of credit institutions (OJ L 125, 5.5.2001, p. 15).27.3.2019 EN Official Journal of the European Union L 85/33
Applicable banking and financial legislation
amended by:
12 Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework
for the recovery and resolution of credit institutions and investment firms and amending Council Directive
82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU,
2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European
Parliament and of the Council (OJ L 173, 12.6.2014, p. 190).
13 Directive 2002/47/EC of the European Parliament and of the Council of 6 June 2002 on financial collateral ar
rangements (OJ L 168, 27.6.2002, p. 43).
amended by:
14 Directive 2009/44/EC of the European Parliament and of the Council of 6 May 2009 amending Directive
98/26/EC on settlement finality in payment and securities settlement systems and Directive 2002/47/EC on
financial collateral arrangements as regards linked systems and credit claims (OJ L 146, 10.6.2009, p. 37).
15 Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework
for the recovery and resolution of credit institutions and investment firms and amending Council Directive
82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU,
2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European
Parliament and of the Council (OJ L 173, 12.6.2014, p. 190).
16 Directive 2002/87/EC of the European Parliament and of the Council of 16 December 2002 on the supplemen
tary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate
and amending Council Directives 73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC and 93/22/EEC,
and Directives 98/78/EC and 2000/12/EC of the European Parliament and of the Council (OJ L 35, 11.2.2003,
p. 1).
amended by:
17 Directive 2005/1/EC of the European Parliament and of the Council of 9 March 2005 amending Council Direc
tives 73/239/EEC, 85/611/EEC, 91/675/EEC, 92/49/EEC and 93/6/EEC and Directives 94/19/EC, 98/78/EC,
2000/12/EC, 2001/34/EC, 2002/83/EC and 2002/87/EC in order to establish a new organisational structure for
financial services committees (OJ L 79, 24.3.2005, p. 9).
18 Directive 2008/25/EC of the European Parliament and of the Council of 11 March 2008 amending Directive
2002/87/EC on the supplementary supervision of credit institutions, insurance undertakings and investment
firms in a financial conglomerate, as regards the implementing powers conferred on the Commission (OJ L 81,
20.3.2008, p. 40).
19 Directive 2010/78/EU of the European Parliament and of the Council of 24 November 2010 amending Direc
tives 98/26/EC, 2002/87/EC, 2003/6/EC, 2003/41/EC, 2003/71/EC, 2004/39/EC, 2004/109/EC, 2005/60/EC,
2006/48/EC, 2006/49/EC and 2009/65/EC in respect of the powers of the European Supervisory Authority
(European Banking Authority), the European Supervisory Authority (European Insurance and Occupational Pen
sions Authority) and the European Supervisory Authority (European Securities and Markets Authority) (OJ L 331,
15.12.2010, p. 120).
20 Directive 2011/89/EU of the European Parliament and of the Council of 16 November 2011 amending Direc
tives 98/78/EC, 2002/87/EC, 2006/48/EC and 2009/138/EC as regards the supplementary supervision of finan
cial entities in a financial conglomerate (OJ L 326, 8.12.2011, p. 113).
21 With the exception of Title V:
Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity
of credit institutions and the prudential supervision of credit institutions and investment firms, amending Direc
tive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338)L 85/34 EN Official Journal of the European Union 27.3.2019
Applicable banking and financial legislation
supplemented and implemented by:
22 Commission Delegated Regulation (EU) 2015/2303 of 28 July 2015 supplementing Directive 2002/87/EC of the
European Parliament and of the Council with regard to regulatory technical standards specifying the definitions
and coordinating the supplementary supervision of risk concentration and intra-group transactions (OJ L 326,
11.12.2015, p. 34).
23 Commission Delegated Regulation (EU) No 342/2014 of 21 January 2014 supplementing Directive 2002/87/EC
of the European Parliament and of the Council and Regulation (EU) No 575/2013 of the European Parliament
and of the Council with regard to regulatory technical standards for the application of the calculation methods
of capital adequacy requirements for financial conglomerates (OJ L 100, 3.4.2014, p. 1).
24 Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up,
pursuit and prudential supervision of the business of electronic money institutions amending Directives
2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC (OJ L 267, 10.10.2009, p. 7).
amended by:
25 With the exception of Title V:
Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity
of credit institutions and the prudential supervision of credit institutions and investment firms, amending Direc
tive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).
26 With the exception of Titles III and IV:
Directive (EU) 2015/2366 of the European Parliament and of the Council of 25 November 2015 on payment
services in the internal market, amending Directives 2002/65/EC, 2009/110/EC and 2013/36/EU and Regulation
(EU) No 1093/2010, and repealing Directive 2007/64/EC (OJ L 337, 23.12.2015, p. 35).
27 Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establish
ing 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).
amended by:
28 Regulation (EU) No 1022/2013 of the European Parliament and of the Council of 22 October 2013 amending
Regulation (EU) No 1093/2010 establishing a European Supervisory Authority (European Banking Authority) as
regards the conferral of specific tasks on the European Central Bank pursuant to Council Regulation (EU)
No 1024/2013 (OJ L 287, 29.10.2013, p. 5).
29 Directive 2014/17/EU of the European Parliament and of the Council of 4 February 2014 on credit agreements
for consumers relating to residential immovable property and amending Directives 2008/48/EC and 2013/36/EU
and Regulation (EU) No 1093/2010 (OJ L 60, 28.2.2014, p. 34).
30 Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework
for the recovery and resolution of credit institutions and investment firms and amending Council Directive
82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU,
2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European
Parliament and of the Council (OJ L 173, 12.6.2014, p. 190).
31 Regulation (EU) No 806/2014 of the European Parliament and of the Council of 15 July 2014 establishing uni
form rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the
framework of a Single Resolution Mechanism and a Single Resolution Fund and amending Regulation (EU)
No 1093/2010 (OJ L 225, 30.7.2014, p. 1).
32 With the exception of Titles III and IV:
Directive (EU) 2015/2366 of the European Parliament and of the Council of 25 November 2015 on payment
services in the internal market, amending Directives 2002/65/EC, 2009/110/EC and 2013/36/EU and Regulation
(EU) No 1093/2010, and repealing Directive 2007/64/EC (OJ L 337, 23.12.2015, p. 35).27.3.2019 EN Official Journal of the European Union L 85/35
Applicable banking and financial legislation
33 Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC deriva
tives, central counterparties and trade repositories (OJ L 201, 27.7.2012, p. 1) and the related level 2 measures,
where applicable.
amended by:
34 Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential re
quirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (OJ L 176,
27.6.2013, p. 1).
35 Commission Delegated Regulation (EU) No 1002/2013 of 12 July 2013 amending Regulation (EU)
No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and
trade repositories with regard to the list of exempted entities (OJ L 279, 19.10.2013, p. 2).
36 Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework
for the recovery and resolution of credit institutions and investment firms and amending Council Directive
82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU,
2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European
Parliament and of the Council (OJ L 173, 12.6.2014, p. 190).
37 Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in
financial instruments and amending Regulation (EU) No 648/2012 (OJ L 173, 12.6.2014, p. 84) and the related
level 2 measures, where applicable.
amended by:
38 Regulation (EU) 2016/1033 of the European Parliament and of the Council of 23 June 2016 amending Regu
lation (EU) No 600/2014 on markets in financial instruments, Regulation (EU) No 596/2014 on market abuse
and Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central se
curities depositories (OJ L 175, 30.6.2016, p. 1–7)
39 Directive (EU) 2015/849 of the European Parliament and of the Council of 20 May 2015 on the prevention of
the use of the financial system for the purposes of money laundering or terrorist financing, amending Regulation
(EU) No 648/2012 of the European Parliament and of the Council, and repealing Directive 2005/60/EC of the
European Parliament and of the Council and Commission Directive 2006/70/EC (OJ L 141, 5.6.2015, p. 73).
40 Commission Delegated Regulation (EU) 2015/1515 of 5 June 2015 amending Regulation (EU) No 648/2012 of
the European Parliament and of the Council as regards the extension of the transitional periods related to pen
sion scheme arrangements (OJ L 239, 15.9.2015, p. 63).
41 Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transpar
ency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 (OJ L 337,
23.12.2015, p. 1), in relation to credit institutions
supplemented and implemented by:
42 Commission Implementing Regulation (EU) No 1247/2012 of 19 December 2012 laying down implementing
technical standards with regard to the format and frequency of trade reports to trade repositories according to
Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central coun
terparties and trade repositories (OJ L 352, 21.12.2012, p. 20).
43 Commission Implementing Regulation (EU) No 1248/2012 of 19 December 2012 laying down implementing
technical standards with regard to the format of the records to be maintained by central counterparties according
to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central
counterparties and trade repositories (OJ L 352, 21.12.2012, p. 30).L 85/36 EN Official Journal of the European Union 27.3.2019
Applicable banking and financial legislation
44 Commission Implementing Regulation (EU) No 1249/2012 of 19 December 2012 laying down implementing
technical standards with regard to the format of the records to be maintained by central counterparties according
to Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central
counterparties and trade repositories (OJ L 352, 21.12.2012, p. 32).
45 Commission Delegated Regulation (EU) No 876/2013 of 28 May 2013 supplementing Regulation (EU)
No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on
colleges for central counterparties (OJ L 244, 13.9.2013, p. 19).
46 Commission Delegated Regulation (EU) No 148/2013 of 19 December 2012 supplementing Regulation (EU)
No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and
trade repositories with regard to regulatory technical standards on the minimum details of the data to be re
ported to trade repositories (OJ L 52, 23.2.2013, p. 1).
47 Commission Delegated Regulation (EU) No 149/2013 of 19 December 2012 supplementing Regulation (EU)
No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on
indirect clearing arrangements, the clearing obligation, the public register, access to a trading venue, non-finan
cial counterparties, and risk mitigation techniques for OTC derivatives contracts not cleared by a CCP (OJ L 52,
23.2.2013, p. 11).
48 Commission Delegated Regulation (EU) No 150/2013 of 19 December 2012 supplementing Regulation (EU)
No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and
trade repositories with regard to regulatory technical standards specifying the details of the application for regis
tration as a trade repository (OJ L 52, 23.2.2013, p. 25).
49 Commission Delegated Regulation (EU) No 151/2013 of 19 December 2012 supplementing Regulation (EU)
No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and
trade repositories, with regard to regulatory technical standards specifying the data to be published and made
available by trade repositories and operational standards for aggregating, comparing and accessing the data
(OJ L 52, 23.2.2013, p. 33).
50 Commission Delegated Regulation (EU) No 152/2013 of 19 December 2012 supplementing Regulation (EU)
No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on
capital requirements for central counterparties (OJ L 52, 23.2.2013, p. 37).
51 Commission Delegated Regulation (EU) No 153/2013 of 19 December 2012 supplementing Regulation (EU)
No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on
requirements for central counterparties (OJ L 52, 23.2.2013, p. 41).
52 Commission Delegated Regulation (EU) No 285/2014 of 13 February 2014 supplementing Regulation (EU)
No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on di
rect, substantial and foreseeable effect of contracts within the Union and to prevent the evasion of rules and obli
gations (OJ L 85, 21.3.2014, p. 1).
53 Commission Implementing Regulation (EU) No 484/2014 of 12 May 2014 laying down implementing technical
standards with regard to the hypothetical capital of a central counterparty according to Regulation (EU)
No 648/2012 of the European Parliament and of the Council (OJ L 138, 13.5.2014, p. 57).
54 Commission Delegated Regulation (EU) 2015/2205 of 6 August 2015 supplementing Regulation (EU)
No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on
the clearing obligation (OJ L 314, 1.12.2015, p. 13-21).
55 Commission Delegated Regulation (EU) 2016/592 of 1 March 2016 supplementing Regulation (EU)
No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on
the clearing obligation (OJ L 103, 19.4.2016, p. 5-11).27.3.2019 EN Official Journal of the European Union L 85/37
Applicable banking and financial legislation
56 Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential re
quirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (OJ L 176,
27.6.2013, p. 1), and the level 2 measures, where applicable.
amended by:
57 Commission Delegated Regulation (EU) 2015/62 of 10 October 2014 amending Regulation (EU) No 575/2013
of the European Parliament and of the Council with regard to the leverage ratio (OJ L 11, 17.1.2015, p. 37).
58 Regulation (EU) 2017/2395 of the European Parliament and of the Council of 12 December 2017 amending
Regulation (EU) No 575/2013 as regards transitional arrangements for mitigating the impact of the introduction
of IFRS 9 on own funds and for the large exposures treatment of certain public sector exposures denominated in
the domestic currency of any Member State (OJ L 345, 27.12.2017, p. 27).
59 Regulation (EU) 2017/2401 of the European Parliament and of the Council of 12 December 2017 amending
Regulation (EU) No 575/2013 on prudential requirements for credit institutions and investment firms (OJ L 347,
28.12.2017, p. 1).
supplemented and implemented by:
60 Commission Implementing Regulation (EU) No 1423/2013 of 20 December 2013 laying down implementing
technical standards with regard to disclosure of own funds requirements for institutions according to Regulation
(EU) No 575/2013 of the European Parliament and of the Council (OJ L 355, 31.12.2013, p. 60).
61 Commission Delegated Regulation (EU) No 183/2014 of 20 December 2013 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council on prudential requirements for credit institutions
and investment firms, with regard to regulatory technical standards for specifying the calculation of specific and
general credit risk adjustments (OJ L 57, 27.2.2014, p. 3).
62 Commission Delegated Regulation (EU) No 241/2014 of 7 January 2014 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
own funds requirements for institutions (OJ L 74, 14.3.2014, p. 8).
amended by:
63 Commission Delegated Regulation (EU) 2015/488 of 4 September 2014 amending Delegated Regulation (EU)
No 241/2014 as regards own funds requirements for firms based on fixed overheads (OJ L 78, 24.3.2015, p. 1).
64 Commission Delegated Regulation (EU) 2015/850 of 30 January 2015 amending Delegated Regulation (EU)
No 241/2014 supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with
regard to regulatory technical standards for own funds requirements for institutions (OJ L 135, 2.6.2015, p. 1).
65 Commission Delegated Regulation (EU) 2015/923 of 11 March 2015 amending Delegated Regulation (EU)
No 241/2014 supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with
regard to regulatory technical standards for own funds requirements for institutions (OJ L 150, 17.6.2015, p. 1)
66 Commission Delegated Regulation (EU) No 342/2014 of 21 January 2014 supplementing Directive 2002/87/EC
of the European Parliament and of the Council and Regulation (EU) No 575/2013 of the European Parliament
and of the Council with regard to regulatory technical standards for the application of the calculation methods
of capital adequacy requirements for financial conglomerates (OJ L 100, 3.4.2014, p. 1).
67 Commission Delegated Regulation (EU) No 523/2014 of 12 March 2014 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
determining what constitutes the close correspondence between the value of an institution's covered bonds and
the value of the institution's assets (OJ L 148, 20.5.2014, p. 4).L 85/38 EN Official Journal of the European Union 27.3.2019
Applicable banking and financial legislation
68 Commission Delegated Regulation (EU) No 525/2014 of 12 March 2014 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
the definition of market (OJ L 148, 20.5.2014, p. 15).
69 Commission Delegated Regulation (EU) No 526/2014 of 12 March 2014 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
determining proxy spread and limited smaller portfolios for credit valuation adjustment risk (OJ L 148,
20.5.2014, p. 17).
70 Commission Delegated Regulation (EU) No 528/2014 of 12 March 2014 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
non-delta risk of options in the standardised market risk approach (OJ L 148, 20.5.2014, p. 29).
71 Commission Delegated Regulation (EU) 2016/861 of 18 February 2016 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
non-delta risk of options in the standardised market risk approach (OJ L 144, 1.6.2016, p. 21).
72 Commission Delegated Regulation (EU) No 529/2014 of 12 March 2014 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
assessing the materiality of extensions and changes of the Internal Ratings Based Approach and the Advanced
Measurement Approach (OJ L 148, 20.5.2014, p. 36).
amended by:
73 Commission Delegated Regulation (EU) 2015/942 of 4 March 2015 amending Delegated Regulation (EU)
No 529/2014 supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council as
regards regulatory technical standards for assessing the materiality of extensions and changes of internal ap
proaches when calculating own funds requirements for market risk (OJ L 154, 19.6.2015, p. 1).
74 Commission Delegated Regulation (EU) No 625/2014 of 13 March 2014 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council by way of regulatory technical standards specifying
the requirements for investor, sponsor, original lenders and originator institutions relating to exposures to trans
ferred credit risk (OJ L 174, 13.6.2014, p. 16).
75 Commission Implementing Regulation (EU) No 680/2014 of 16 April 2014 laying down implementing technical
standards with regard to supervisory reporting of institutions according to Regulation (EU) No 575/2013 of the
European Parliament and of the Council (OJ L 191, 28.6.2014, p. 1).
76 Commission Implementing Regulation (EU) 2015/227 of 9 January 2015 amending Implementing Regulation
(EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of insti
tutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council (OJ L 48,
20.2.2015, p. 1).
77 Commission Implementing Regulation (EU) No 602/2014 of 4 June 2014 laying down implementing technical
standards for facilitating the convergence of supervisory practices with regard to the implementation of addit
ional risk weights according to Regulation (EU) No 575/2013 of the European Parliament and of the Council
(OJ L 166, 5.6.2014, p. 22).
78 Commission Implementing Regulation (EU) No 945/2014 of 4 September 2014 laying down implementing tech
nical standards with regard to relevant appropriately diversified indices according to Regulation (EU)
No 575/2013 of the European Parliament and of the Council (OJ L 265, 5.9.2014, p. 3).
79 Commission Implementing Regulation (EU) No 1030/2014 of 29 September 2014 laying down implementing
technical standards with regard to the uniform formats and date for the disclosure of the values used to identify
global systemically important institutions according to Regulation (EU) No 575/2013 of the European Parliament
and of the Council (OJ L 284, 30.9.2014, p. 14).27.3.2019 EN Official Journal of the European Union L 85/39
Applicable banking and financial legislation
80 Commission Delegated Regulation (EU) No 1187/2014 of 2 October 2014 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council as regards regulatory technical standards for deter
mining the overall exposure to a client or a group of connected clients in respect of transactions with underlying
assets (OJ L 324, 7.11.2014, p. 1).
82 Commission Delegated Regulation (EU) 2015/61 of 10 October 2014 to supplement Regulation (EU)
No 575/2013 of the European Parliament and the Council with regard to liquidity coverage requirement for
Credit Institutions (OJ L 11, 17.1.2015, p. 1).
83 Commission Implementing Regulation (EU) 2015/79 of 18 December 2014 amending Implementing Regulation
(EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of insti
tutions according to Regulation (EU) No 575/2013 of the European Parliament and of the Council as regards as
set encumbrance, single data point model and validation rules (OJ L 14, 21.1.2015, p. 1).
84 Commission Delegated Regulation (EU) 2015/585 of 18 December 2014 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
the specification of margin periods of risk (OJ L 98, 15.4.2015, p. 1).
85 Commission Implementing Regulation (EU) 2015/233 of 13 February 2015 laying down implementing technical
standards with regard to currencies in which there is an extremely narrow definition of central bank eligibility
pursuant to Regulation (EU) No 575/2013 of the European Parliament and of the Council (OJ L 39, 14.2.2015,
p. 11).
86 Commission Delegated Regulation (EU) 2015/1555 of 28 May 2015 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
the disclosure of information in relation to the compliance of institutions with the requirement for a countercycli
cal capital buffer in accordance with Article 440 (OJ L 244, 19.9.2015, p. 1).
87 Commission Delegated Regulation (EU) 2015/1556 of 11 June 2015 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
the transitional treatment of equity exposures under the IRB approach (OJ L 244, 19.9.2015, p. 9).
88 Commission Delegated Regulation (EU) 2015/1798 of 2 July 2015 correcting Delegated Regulation (EU)
No 625/2014 supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council by
way of regulatory technical standards specifying the requirements for investor, sponsor, original lenders and ori
ginator institutions relating to exposures to transferred credit risk (OJ L 263, 8.10.2015, p. 12).
89 Commission Implementing Regulation (EU) 2015/1278 of 9 July 2015 amending Implementing Regulation (EU)
No 680/2014 laying down implementing technical standards with regard to supervisory reporting of institutions
as regards instructions, templates and definitions (OJ L 205, 31.7.2015, p. 1).
90 Commission Implementing Regulation (EU) 2016/100 of 16 October 2015 laying down implementing technical
standards specifying the joint decision process with regard to the application for certain prudential permissions
pursuant to Regulation (EU) No 575/2013 of the European Parliament and of the Council (OJ L 21, 28.1.2016,
p. 45).
91 Commission Delegated Regulation (EU) 2016/101 of 26 October 2015 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for
prudent valuation under Article 105(14) (OJ L 21, 28.1.2016, p. 54).
92 Commission Implementing Regulation (EU) 2015/2197 of 27 November 2015 laying down implementing tech
nical standards with regard to closely correlated currencies in accordance with Regulation (EU) No 575/2013 of
the European Parliament and of the Council (OJ L 313, 28.11.2015, p. 30).
93 Commission Implementing Regulation (EU) 2015/2344 of 15 December 2015 laying down implementing tech
nical standards with regard to currencies with constraints on the availability of liquid assets in accordance with
Regulation (EU) No 575/2013 of the European Parliament and of the Council (OJ L 330, 16.12.2015, p. 26).L 85/40 EN Official Journal of the European Union 27.3.2019
Applicable banking and financial legislation
94 Commission Delegated Regulation (EU) 2016/709 of 26 January 2016 supplementing Regulation (EU)
No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards speci
fying the conditions for the application of the derogations concerning currencies with constraints on the avail
ability of liquid assets (OJ L 125, 13.5.2016, p. 1).
95 Commission Implementing Regulation (EU) 2016/322 of 10 February 2016 amending Implementing Regulation
(EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of insti
tutions of the liquidity coverage requirement (OJ L 64, 10.3.2016, p. 1).
96 Commission Implementing Regulation (EU) 2016/200 of 15 February 2016 laying down implementing technical
standards with regard to disclosure of the leverage ratio for institutions, according to Regulation (EU)
No 575/2013 of the European Parliament and of the Council (OJ L 39, 16.2.2016, p. 5).
97 Commission Implementing Regulation (EU) 2016/313 of 1 March 2016 amending Implementing Regulation
(EU) No 680/2014 with regard to additional monitoring metrics for liquidity reporting (OJ L 60, 5.3.2016, p. 5).
98 Commission Implementing Regulation (EU) 2016/428 of 23 March 2016 amending Implementing Regulation
(EU) No 680/2014 laying down implementing technical standards with regard to supervisory reporting of insti
tutions as regards the reporting of the Leverage Ratio (OJ L 83, 31.3.2016, p. 1).
99 With the exception of Title V:
Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity
of credit institutions and the prudential supervision of credit institutions and investment firms, amending Direc
tive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338)
amended by:
100 Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework
for the recovery and resolution of credit institutions and investment firms and amending Council Directive
82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU,
2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European
Parliament and of the Council (OJ L 173, 12.6.2014, p. 190).
supplemented and implemented by:
101 Commission Delegated Regulation (EU) No 604/2014 of 4 March 2014 supplementing Directive 2013/36/EU of
the European Parliament and of the Council with regard to regulatory technical standards with respect to quali
tative and appropriate quantitative criteria to identify categories of staff whose professional activities have a mate
rial impact on an institution's risk profile (OJ L 167, 6.6.2014, p. 30).
102 Commission Delegated Regulation (EU) No 527/2014 of 12 March 2014 supplementing Directive (EU)
No 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards
specifying the classes of instruments that adequately reflect the credit quality of an institution as a going concern
and are appropriate to be used for the purposes of variable remuneration (OJ L 148, 20.5.2014, p. 21).
103 Commission Delegated Regulation (EU) No 530/2014 of 12 March 2014 supplementing Directive 2013/36/EU
of the European Parliament and of the Council with regard to regulatory technical standards further defining ma
terial exposures and thresholds for internal approaches to specific risk in the trading book (OJ L 148,
20.5.2014, p. 50).
104 Commission Delegated Regulation (EU) No 1152/2014 of 4 June 2014 supplementing Directive 2013/36/EU of
the European Parliament and of the Council with regard to regulatory technical standards on the identification of
the geographical location of the relevant credit exposures for calculating institution-specific countercyclical capi
tal buffer rates (OJ L 309, 30.10.2014, p. 5).27.3.2019 EN Official Journal of the European Union L 85/41
Applicable banking and financial legislation
105 Commission Implementing Regulation (EU) No 650/2014 of 4 June 2014 laying down implementing technical
standards with regard to the format, structure, contents list and annual publication date of the information to be
disclosed by competent authorities in accordance with Directive 2013/36/EU of the European Parliament and of
the Council (OJ L 185, 25.6.2014, p. 1).
106 Commission Implementing Regulation (EU) No 710/2014 of 23 June 2014 laying down implementing technical
standards with regard to conditions of application of the joint decision process for institution-specific prudential
requirements according to Directive 2013/36/EU of the European Parliament and of the Council (OJ L 188,
27.6.2014, p. 19).
107 Commission Delegated Regulation (EU) No 1222/2014 of 8 October 2014 supplementing Directive 2013/36/EU
of the European Parliament and of the Council with regard to regulatory technical standards for the specification
of the methodology for the identification of global systemically important institutions and for the definition of
subcategories of global systemically important institutions (OJ L 330, 15.11.2014, p. 27).
108 Commission Delegated Regulation (EU) 2016/98 of 16 October 2015 supplementing Directive 2013/36/EU of
the European Parliament and of the Council with regard to regulatory technical standards for specifying the gen
eral conditions for the functioning of colleges of supervisors (OJ L 21, 28.1.2016, p. 2).
109 Commission Implementing Regulation (EU) 2016/99 of 16 October 2015 laying down implementing technical
standards with regard to determining the operational functioning of the colleges of supervisors according to Di
rective 2013/36/EU of the European Parliament and of the Council (OJ L 21, 28.1.2016, p. 21).
110 Directive 2014/49/EU of the European Parliament and of the Council of 16 April 2014 on deposit-guarantee
schemes (recast) (OJ L 173, 12.6.2014, p. 149).
111 Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework
for the recovery and resolution of credit institutions and investment firms and amending Council Directive
82/891/EEC, and Directives 2001/24/EC, 2002/47/EC, 2004/25/EC, 2005/56/EC, 2007/36/EC, 2011/35/EU,
2012/30/EU and 2013/36/EU, and Regulations (EU) No 1093/2010 and (EU) No 648/2012, of the European
Parliament and of the Council (OJ L 173, 12.6.2014, p. 190) and the related level 2 measures, where applicable
amended by:
112 Directive (EU) 2017/2399 of the European Parliament and of the Council of 12 December 2017 amending Di
rective 2014/59/EU as regards the ranking of unsecured debt instruments in insolvency hierarchy (OJ L 345,
27.12.2017, p. 96).
supplemented and implemented by:
113 Commission Delegated Regulation (EU) 2015/63 of 21 October 2014 supplementing Directive 2014/59/EU of
the European Parliament and of the Council with regard to ex ante contributions to resolution financing arrange
ments (OJ L 11, 17.1.2015, p. 44).
114 Commission Delegated Regulation (EU) 2016/1075 of 23 March 2016 supplementing Directive 2014/59/EU of
the European Parliament and of the Council with regard to regulatory technical standards specifying the content
of recovery plans, resolution plans and group resolution plans, the minimum criteria that the competent author
ity is to assess as regards recovery plans and group recovery plans, the conditions for group financial support,
the requirements for independent valuers, the contractual recognition of write-down and conversion powers, the
procedures and contents of notification requirements and of notice of suspension and the operational function
ing of the resolution colleges (OJ L 184, 8.7.2016, p. 1).
115 Commission Delegated Regulation (EU) 2016/860 of 4 February 2016 specifying further the circumstances
where exclusion from the application of write-down or conversion powers is necessary under Article 44(3) of
Directive 2014/59/EU of the European Parliament and of the Council establishing a framework for the recovery
and resolution of credit institutions and investment firms (OJ L 144, 1.6.2016, p. 11).L 85/42 EN Official Journal of the European Union 27.3.2019
Applicable banking and financial legislation
116 Commission Delegated Regulation (EU) 2016/778 of 2 February 2016 supplementing Directive 2014/59/EU of
the European Parliament and of the Council with regard to the circumstances and conditions under which the
payment of extraordinary ex post contributions may be partially or entirely deferred, and on the criteria for the
determination of the activities, services and operations with regard to critical functions, and for the determina
tion of the business lines and associated services with regard to core business lines (OJ L 131, 20.5.2016, p. 41).
117 With regard to the provisions applicable to credit institutions and with the exception of Articles 34 to 36 and Ti
tle III:
Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial
instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (recast) (OJ L 173, 12.6.2014,
p. 349) and the related level 2 measures, where applicable
amended by:
118 Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving se
curities settlement in the European Union and on central securities depositories and amending Directives
98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (OJ L 257, 28.8.2014, p. 1).
119 Directive 2016/1034/EC of the European Parliament and of the Council of 23 June 2016 amending Directive
2014/65/EU on markets in financial instruments (OJ L 175, 30.6.2016, p. 8).
120 Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving se
curities settlement in the European Union and on central securities depositories and amending Directives
98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (OJ L 257, 28.8.2014, p. 1).
amended by:
121 Regulation (EU) 2016/1033 of the European Parliament and of the Council of 23 June 2016 amending Regu
lation (EU) No 600/2014 on markets in financial instruments, Regulation (EU) No 596/2014 on market abuse
and Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central se
curities depositories (OJ L 175, 30.6.2016, p. 1).
122 With regard to the provisions applicable to credit institutions:
Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in
financial instruments and amending Regulation (EU) No 648/2012 (OJ L 173, 12.6.2014, p. 84).
amended by:
123 Regulation (EU) 2016/1033 of the European Parliament and of the Council of 23 June 2016 amending Regu
lation (EU) No 600/2014 on markets in financial instruments, Regulation (EU) No 596/2014 on market abuse
and Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central se
curities depositories (OJ L 175, 30.6.2016, p. 1).
124 Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transpar
ency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 (OJ L 337,
23.12.2015, p. 1), in relation to credit institutions.
125 With the exception of Titles III and IV:
Directive (EU) 2015/2366 of the European Parliament and of the Council of 25 November 2015 on payment
services in the internal market, amending Directives 2002/65/EC, 2009/110/EC and 2013/36/EU and Regulation
(EU) No 1093/2010, and repealing Directive 2007/64/EC (OJ L 337, 23.12.2015, p. 35) and, the related level 2
measures, where applicable.’