Emir1 Articles 31 and 32 Purpose of this form



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2.1 Please list the name(s) of the target CCP(s) and all the proposed controllers involved in this transaction.


You may complete a notification for more than one target CCP with the same new controller(s) or for more than one proposed controller for a single target CCP. The relevant sections for each controller should be completed (make copies if necessary) and each controller (and target CCP if this is a joint notification) must sign the declaration page in section 11.

Please list the names of all proposed controllers or existing controllers applying to increase their control of the named target CCP(s). Give the current (before the change) and proposed (after the change) percentages of control for each controller for each relevant target CCP in the table below.

In the column headed ‘Description of control’ please provide information on how the control is to be held (e.g. through shares, capital contribution, voting power, acting in concert, direct or via a parent, etc).

You should consider persons acting in concert and significant influence when completing the table

below.


Target CCP

Proposed controller name(s)

Proposed controller FCA/PRA number/ Registered number

Proposed controller current control %

Proposed control % after the change

Description of how control is held (e.g. direct or via another entity; shares / voting power etc.)

     

     

     

     

     

     


     

     

     

     

     

     


     

     

     

     

     

     


     

     

     

     

     

     


     

     

     

     

     

     




3

Corporate controller’s details

3.1 Name of corporate controller:

     

3.2 Legal status of corporate controller:

     

3.3 Please give registration number of corporate controller. If registered outside the UK, give equivalent reference number:

     

3.4 Country of incorporation or formation of the corporate controller:

     

3.5 Registered office address of the corporate controller:

Address

     


County

     

Country

     

Postcode

     

     




3.6 Is the head office address the same as your registered office address?

 No Give details below

 Yes  Continue to question 3.7

Address

     


County

     

Country

     

Postcode

     

     





3.7 Is the corporate controller:-


  1. Situated or regulated outside the European Union?

 No

 Yes 


  1. Supervised in accordance with any of the following:-

  1. Regulation 648/2012/EU (EMIR);

  2. Directive 73/239/EEC (First Non-Life Insurance Directive);

  3. 92/49/EEC (Third Non-Life Assurance Directive)

  4. 2002/83/EC (Life Assurance Directive);

  5. 2003/41/EC (Occupational Pension Funds Directive);

  6. 2004/39/EC (Markets in Financial Instruments Directive);

  7. 2005/68/EC (Reinsurance Directive);

  8. [2006/48/EC (Banking Consolidation Directive)]3;

  9. 2009/65/EC (Units in Collective Investment Schemes Directive (recast)); or

  10. 2011/61/EU (Alternative Investment Fund Managers Directive).

 No Continue to question 3.8

 Yes Give details below.



     


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