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S Reasoned explanations Implementing measures (link) Other comments Response Y= Yes, comply IC=Yes, intend to comply N=No, do not comply# 1) Name of the Competent Authority 2) Member State General information: NoteQ Please, fill in the Table with the information required indicating the following:
Responses: INSTRUCTIONS Compliance Table' Or contact EIOPA in the email provided. Member State: Competent Authority: - Where the content of a GL concerns financial institutions or financial instruments which do not exist in the jurisdiction of its Member State as a result of those institutions or instruments being prohibited in national law, provided that this prohibition complies with Union law.
Implementing MeasureskA r t i c l e 1 6 ( 3 ) o f t h e E I O P A R e g u l a t i o n r e q u i r e s c o m p e t e n t a u t h o r i t i e s t o i n f o r m E I O P A w h e t h e r t h e y c o m p l y o r i n t e n d t o c o m p l y w i t h e a c h g u i d e l i n e o r r e c o m m e n d a t i o n . I f a c o m p e t e n t a u t h o r i t y d o e s n o t c o m p l y o r d o e s n o t i n t e n d t o c o m p l y i t m u s t i n f o r m o f t h e r e a s o n s . T h e r e a s o n s c a n b e p u b l i s h e d o n a c a s e b y c a s e b a s i s s u b j e c t t o a d e c i s i o n b y E I O P A s C h a i r p e r s o n . T h e o v e r a l l r e s u l t s o f t h e c o m p l y - o r - e x p l a i n w i l l b e m a d e a v a i l a b l e o n E I O P A s w e b s i t e a f t e r t h e 2 m o n t h p e r i o d , b u t t h e r e a s o n s o f n o n - c o m p l i a n c e a r e c o n f i d e n t i a l a n d w i l l r e m a i n s o u n t i l t h e r e i s a d e c i s i o n f r o m t h e E I O P A C h a i r p e r s o n t o p u b l i s h t h o s e r e a s o n s . Although EIOPA tries to ensure the accuracy of this document, EIOPA relies on information provided by the competent authorities and therefore cannot accept responsibility for its contents or any reliance placed on it. For more information on the use of this table and on the comply-or-explain process, you can find more details here: https://eiopa.europa.eu/regulation-supervision/guidelines N/A= Not applicable3 EIOPA Guidelines on reporting and public disclosure- Guidelines on reporting and public disclosure Guideline 1 - Business. G u i d e l i n e 2 P e r f o r m a n c e o f o t h e r a c t i v i t i e s " Guideline 3 - Governance Structure= Guideline 4 - Risk management system for internal model users Guideline 5 - Underwriting risk : G u i d e l i n e 6 A s s e t s I n f o r m a t i o n o n a g g r e g a t i o n b y c l a s s 3 G u i d e l i n e 7 C o n t e n t b y m a t e r i a l c l a s s e s o f a s s e t s / G u i d e l i n e 8 V a l u a t i o n o f t e c h n i c a l p r o v i s i o n s _ G u i d e l i n e 9 L i a b i l i t i e s o t h e r t h a n t e c h n i c a l p r o v i s i o n s i n f o r m a t i o n o n a g g r e g a t i o n b y c l a s s Y G u i d e l i n e 1 0 C o n t e n t b y m a t e r i a l c l a s s e s o f l i a b i l i t i e s o t h e r t h a n t e c h n i c a l p r o v i s i o n s 5 G u i d e l i n e 1 1 - O w n f u n d s A d d i t i o n a l s o l v e n c y r a t i o s e G u i d e l i n e 1 2 - O w n f u n d s I n f o r m a t i o n o n t h e s t r u c t u r e , a m o u n t , q u a l i t y a n d e l i g i b i l i t y o f o w n f u n d s Q Guideline 13 - Differences between the standard formula and internal models used 0 Guideline 15 - Information on own funds - groups Guideline 16 - Business' Guideline 17 - Underwriting performance# Guideline 18 - Governance structure& Guideline 19 - Risk management system # G u i d e l i n e 2 0 O t h e r m a t e r i a l r i s k s ( G u i d e l i n e 2 1 V a l u a t i o n o f o t h e r a s s e t s $ Guideline 22 - Technical provisions & G u i d e l i n e 2 3 O f f - b a l a n c e s h e e t i t e m s - G u i d e l i n e 2 4 D i s t r i b u t i o n s t o s h a r e h o l d e r s > G u i d e l i n e 2 5 S i m p l i f i e d c a l c u l a t i o n i n t h e s t a n d a r d f o r m u l a / G u i d e l i n e 2 6 P r e p a r a t i o n o f c o n s o l i d a t e d d a t a : Guideline 27 - Any other material information on business Guideline 28 - Risk profile # Guideline 29 - Technical provisionsM Guideline 30 - Identification and trigger for reporting of pre-defined events( Guideline 31 - Public disclosure policy 3 Guideline 32 - SFCR - Non-disclosure of information9 G u i d e l i n e 3 3 F o r m a t o f q u a n t i t a t i v e r e p o r t i n g t e m p l a t e s G u i d e l i n e 3 4 V a l i d a t i o n s 2 G u i d e l i n e 3 5 - R S R R e f e r e n c e s t o o t h e r d o c u m e n t s + G u i d e l i n e 3 6 S u p e r v i s o r y r e p o r t i n g p o l i c y O G u i d e l i n e 3 7 A p p r o v a l o f i n f o r m a t i o n s u b m i t t e d t o t h e s u p e r v i s o r y a u t h o r i t i e s & G u i d e l i n e 3 8 F i r s t s u b m i s s i o n o f R S R ' G u i d e l i n e 3 9 T r a n s i t i o n a l i n f o r m a t i o n 4 Guideline 14 - Information on the scope of the group Competent Authorities are required to attach an electronic link or provide a summary of any implementing measures published in the relevant jurisdiction to comply.2 IC replies apply only in the following situations:
- a) Where a GL relates to financial institutions or financial instruments which do not currently exist in the jurisdiction of a competent authority, the intend to comply reply will be kept until the the actual existence of a relevant financial institution or financial instrument in that jurisdiction. b) Where legislative, regulatory or internal proceedings have been inititated to bring into force any measures considered necessary to comply with the GL, the intend to comply reply will be kept until those legislative, regulatory or internal proceedings have been completed. W h e r e a C o m p e t e n t A u t h o r i t y i n t e n d s t o c o m p l y w i t h a G L , i t s h o u l d a l w a y s i n d i c a t e t h e d a t e b y a d d i n g t h e a p p l i c a t i o n d a t e o f t h e g u i d e l i n e e x c e p t i n t h e t w o c a s e s e x p l a i n e d a b o v e . W [
I n t h e i n t e r e s t o f t r a n s p a r e n c y , i f a C o m p e t e n t A u t h o r i t y c o n t i n u e s t o i n t e n d t o c o m p l y a f t e r t h e a p p l i c a t i o n d a t e , i t w i l l b e c o n s i d e r e d n o n - c o m p l i a n t u n l e s s ( A ) t h e G u i d e l i n e r e l a t e s t o f i n a n c i a l i n s t i t u t i o n s o r f i n a n c i a l i n s t r u m e n t s w h i c h d o n o t c u r r e n t l y e x i s t i n t h e j u r i s d i c t i o n c o n c e r n e d ; o r ( B ) l e g i s l a t i v e , r e g u l a t o r y o r i n t e r n a l p r o c e e d i n g s h a v e b e e n i n i t i a t e d t o b r i n g a n y i m p l e m e n t i n g m e a s u r e s n e c e s s a r y t o c o m p l y w i t h t h e G u i d e l i n e i n f o r c e i n t h e j u r i s d i c t i o n c o n c e r n e d . Reasoned explanations: when a Competent Authority does not comply or does not intend to comply with a Guideline, it should explain the reasons of non-compliance.
N/A = Not applicable) N/A replies apply for the following case:p Other comments: please, add any comments you consider relevant for y< our response in the column "Other comments".
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