Article 64 › 3

The branch of the third‐country firm that is authorised in accordance with paragraph 1 shall report to the competent authority referred to in paragraph 2 the following information on an annual basis: (a) the scale and scope of the services and activities carried out by the branch in that Member State; (b) for third‐country firms performing the activity listed in point (3) of Section A of Annex I, their monthly minimum, average and maximum exposure to EU counterparties; (c) for third‐country firms providing one or both of the services listed in point (6) of Section A of Annex I, the total value of financial instruments originating from EU counterparties underwritten or placed on a firm commitment basis over the previous 12 months; (d) the turnover and the aggregated value of the assets corresponding to the services and activities referred to in point (a); (e) a detailed description of the investor protection arrangements available to the clients of the branch, including the rights of those clients resulting from the investor‐compensation scheme referred to in point (f) of Article 39(2); (f) their risk management policy and arrangements applied by the branch for the services and activities referred to in point (a); (g) the governance arrangements, including key function holders for the activities of the branch; (h) any other information considered by the competent authority to be necessary to enable comprehensive monitoring of the activities of the branch.

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Source: EUR-Lex CELLAR · retrieved 2026-09-05