Article 3Note: This article is based on the final draft from the ESAs and is not yet adopted. Content of information provided by critical ICT third-party service providers

Critical ICT third-party service providersmeans an ICT third-party service provider designated as critical in accordance with Article 31; shall provide to the Lead Overseermeans the European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation;, upon its request, any information deemed necessary by the Lead Overseermeans the European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation; to carry out its oversight duties in accordance with the requirements of Regulation (EU) 2022/2554. Critical ICT third-party service providersmeans an ICT third-party service provider designated as critical in accordance with Article 31; shall transmit this information according to the structure and format described in Article 5 of this Regulation, within the time limits and with the frequency set by the Lead Overseermeans the European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation;.
Without prejudice to paragraph 1, upon Lead Overseermeans the European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation; request, the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; shall submit all of the following information:
1. information about the arrangements, and copies of contractual documents, between:
  
  the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; and the financial entitiesas defined in Article 2, points (a) to (t) referred to in Article 2(1) of Regulation (EU) 2022/2554;
  
  the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; and its subcontractors with a view to capture the technological value chain that effectively underpins the ICT servicesmeans digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; provided to the financial entitiesas defined in Article 2, points (a) to (t) in the Union
2. information about the organisational and groupmeans a group as defined in Article 2, point (11), of Directive 2013/34/EU; structure of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31;, including identification of all entities belonging to the same groupmeans a group as defined in Article 2, point (11), of Directive 2013/34/EU; that directly or indirectly provide ICT servicesmeans digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; to financial entitiesas defined in Article 2, points (a) to (t) in the Union;
3. information about the major shareholders, including their structure and geographical spread, of the entities that:
  
  without prejudice to Article 3(2), point (b), of this Regulation, hold, solely or jointly with their linked entities, 25% or more of the capital or voting rights of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31;;
  
  hold the right to appoint or remove a majority of the members of the administrative, management, or supervisory body of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31;; or
  
  control, pursuant to an agreement, a majority of shareholders’ or members’ voting rights in the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31;;
4. information about the critical ICT third-party service provider’s own estimation of its market share, per type of services, in the relevant markets where it operates;
5. information about the internal governance arrangements of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31;, including the structure with lines of governance responsibility and accountability rules;
6. the meeting minutes of the critical ICT third-party service provider’s management bodymeans a management body as defined in Article 4(1), point (36), of Directive 2014/65/EU, Article 3(1), point (7), of Directive 2013/36/EU, Article 2(1), point (s), of Directive 2009/65/EC of the European Parliament and of the Council (³¹), Article 2(1), point (45), of Regulation (EU) No 909/2014, Article 3(1), point (20), of Regulation (EU) 2016/1011, and in the relevant provision of the Regulation on markets in crypto-assets, or the equivalent persons who effectively run the entity or have key functions in accordance with relevant Union or national law; and any other internal relevant committees, which relate in any way to activities and risks concerning ICT third-party services supporting functions of financial entitiesas defined in Article 2, points (a) to (t) within the Union;
7. information about the ICT security and data protection frameworks, including personal and non-personal data, of the critical ICT third party service provider, including relevant strategies, objectives, policies, procedures, protocols, processes, control measures to protect sensitive data, access controls, encryption practices, incident response plans, and compliance with all relevant regulations and national and international standards where applicable;
8. information about the mechanisms the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; offers to the Union financial entitiesas defined in Article 2, points (a) to (t) for data portability, application portability and interoperability;
9. information about the exact location of the data centres and ICT production centres used in any way for the purposes of providing services to the financial entitiesas defined in Article 2, points (a) to (t), including a list of all relevant premises and facilities of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31;, including outside the Union;
10. information about provision of services by the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; from third countries, including information on relevant legal provisions applicable to personal and non-personal data processed by the ICT third-party provider in different jurisdictions;
11. information about measures taken to address risks arising from the provision of ICT servicesmeans digital and data services provided through ICT systems to one or more internal or external users on an ongoing basis, including hardware as a service and hardware services which includes the provision of technical support via software or firmware updates by the hardware provider, excluding traditional analogue telephone services; by the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; and their subcontractors from third-countries;
12. information about the risk management framework and the incident management framework, including policies, procedures, tools, mechanisms, and governance arrangements of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; and of its subcontractors. Information shall also include list and description of major incidents with direct or indirect impact on financial entitiesas defined in Article 2, points (a) to (t) within the Union, including relevant details to determine the significance of the incident on financial entitiesas defined in Article 2, points (a) to (t) and assess possible cross-border impacts. Information about the change management framework, including policies, procedures, and controls of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; and its subcontractors;
13. information about the overall response and recovery framework of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31;, including business continuity plans and related arrangements and procedures, software development lifecycle policy, response and recovery plans and related arrangements and procedures, backup policies arrangements and procedures;
14. information about performance monitoring, security monitoring, and incident tracking as well as information about reporting mechanisms related to service performance, incidents, and compliance with agreed-upon service level agreements (SLAs) and service level objectives (SLOs) or similar arrangements between critical ICT third-party service providersmeans an ICT third-party service provider designated as critical in accordance with Article 31; and financial entitiesas defined in Article 2, points (a) to (t) in the Union;
15. information about the ICT third-party management framework of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31;, including strategies, policies, procedures, processes, and controls including details on the due diligence and risk assessment performed by the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; on its subcontractors before entering into an agreement with them and to monitor the relationship covering all relevant ICT and counterparty risks;
16. extractions from the monitoring and scanning systems of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; and of its subcontractors, covering but not limited to network monitoring, server monitoring, application monitoring, security monitoring, vulnerabilitymeans a weakness, susceptibility or flaw of an asset, system, process or control that can be exploited; scanning, log management, performance monitoring, incident management and measurements against reliability goals, such as Service Level Objectives;
17. extractions from any production, pre-production and test system or application used by the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; and its subcontractors, to provide directly or indirectly services to financial entitiesas defined in Article 2, points (a) to (t) in the Union;
18. compliance and audit reports as well as any relevant audit findings, including audits performed by national authorities in the Union and outside the Union where cooperation agreements with the relevant authorities provide for such information exchange, or certifications achieved by the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; or its subcontractors, including reports from internal and external auditors, certifications, or compliance assessments with industry-specific standards. This includes information about any type of independent testing of the resilience of the ICT systems of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31;, including any type of threat led penetration testing carried out by the ICT third-party service providermeans an undertaking providing ICT services;;
19. information about any assessments carried out by the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; upon its request or on its behalf evaluating the suitability and integrity of individuals holding key positions within the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31;;
20. information about the remediation plan to address recommendations according to Article 4 of this Regulation, and relevant related information to confirm remedies have been implemented;
21. information about employee training schemes and security awareness programs, which shall include information about the investments, resources and methods of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; in training its staff to handle sensitive financial data and maintain high levels of security;
22. information about the activities of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; and financial statements, including information on the budget and resources related to ICT and security.

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