Trade Repository Reporting and Risk Mitigation Requirements for Over-the-Counter (OTC) Derivatives Contracts

Governance 21. The policies and procedures governing trading relationship documentation, trade confirmation, valuation, portfolio reconciliation, portfolio compression, and dispute resolution should be approved by the board of directors or its delegated authority, and be subject to periodic independent review. Appendix A 1) Counterparty data Table Item Section Field Details to be reported Format 1 1 Parties to the contract Reporting Counterparty ID Unique code identifying the reporting counterparty of the contract. ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code. 1 2 Parties to the contract Other Counterparty ID Unique code identifying the other counterparty of the contract. This field shall be filled from the perspective of the reporting counterparty. In case of a private individual a client code shall be used in a consistent manner. ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code. CLC = Client code (up to 100 alphanumerical digits, spaces allowed): • For local natural persons (including foreigners residents in KSA): CLC-National Identification Number (NIN). Example: CLC-4046403927 • For foreign natural persons: CLC-ISO 3166 - 2 character country code + Applicable national ID number. Example: CLC-ES53085141M • For Corporate Customer in KSA without LEI: “CLC-”+ country code as per ISO 3166 + Commercial registration number+ “CR”. Example: CLC-US123456789CR 1 3 Parties to the contract Country of the other Counterparty The code of country where the registered office of the other counterparty is located or country of residence in case that the other counterparty is a natural person. ISO 3166 - 2 character country code. 1 4 Parties to the contract Corporate sector of the reporting counterparty Nature of the reporting counterparty's company activities. If the Reporting Counterparty is a Financial Counterparty, this field shall contain all necessary codes included in the Taxonomy for Financial Counterparties and applying to that Counterparty. Where more than one activity can be reported, only one code shall be populated using the one of the activity that weights most in relation to the company´s global turnover. Taxonomy for Financial Counterparties: B = Banks K = Authorized person L = Legal Persons engaged in the business of extending credit (mortgage lending companies and Auto Lease companies) I = Insurance companies F = Finance companies A = Affiliate of any of the above 1 5 Parties to the contract Nature of the reporting counterparty Indicate if the reporting counterparty is a financial or a non-financial counterparty. F = Financial Counterparty N = Non financial counterparty (this value is not valid until the reporting obligation is extended to non-financial counterparties) 1 6 Parties to the contract Reporting counterparty broker ID In the case a broker (as defined in article 32 of Royal Decree (M/30) Capital Market Law of the Kingdom of Saudi Arabia) acts as intermediary for the reporting counterparty without becoming a counterparty himself, the reporting counterparty shall identify this broker by a unique code. ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code 1 7 Parties to the contract Other counterparty broker ID In the case a broker (as defined in article 32 of Royal Decree (M/30) Capital Market Law of the Kingdom of Saudi Arabia) acts as intermediary for the other counterparty without becoming a counterparty himself, the reporting counterparty shall identify this broker by a unique code. ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code 1 8 Parties to the contract Clearing member ID of the reporting counterparty In the case where the derivative contract is cleared and the reporting counterparty is not a clearing member itself, the clearing member through which the derivative contract is cleared shall be identified in this field by a unique code. ISO 17442 Legal Entity Identifier (LEI) 20 alphanumerical character code 1 9 Parti