How to file an appeal

The full appeal process may be found in the Appeal Panel’s Rules of Procedure. 

Legal articles quoted in the text below are from the Single Resolution Mechanism Regulation (EU) No 806/2014 (SRM Regulation) or the Appeal Panel’s Rules of Procedure.

Prospective appellants should carefully and thoroughly review Article 85(3) SRMR and the Appeal Panel’s Rules of Procedure (in particular Articles 5 and 7) to make sure that (i) the decision of the Board is of a type that is appealable before the Appeal Panel and that the appeal is filed in time; and (ii) to be aware of required content and specifications of the initial notice of appeal.

Article 85(3)(1st subparagraph) of the SRMR states that any natural or legal person, including resolution authorities, may appeal against a decision of the Board:

• addressing or removing substantive impediments to resolution according to Article 10(10) SRMR;
• applying simplified obligations in relation to the drafting of resolution plans referred or may waive the obligation of drafting those plans according to Article 11 SRMR;
• determining the minimum requirement for own funds and eligible liabilities (MREL) according to Article 12(1) SRMR;
• imposing a fine according to Articles 38 to 41 SRMR;
• raising contributions to the administrative expenditures of the Board according to Article 65(3) SRMR;
• raising extraordinary ex-post contributions according to Article 71 SRMR; and
• granting or denying access to documents under the public access to documents-framework according to Article 90(3) SRMR.

 Article 85(3)(2nd subparagraph) of the SRMR:

The appeal, together with a statement of grounds, shall be filed in writing at the Appeal Panel within six weeks of the date of notification of the decision to the person concerned, or, in the absence of a notification, of the day on which the decision came to the knowledge of the person concerned.

Notice of Appeal. Article 5 of the Appeal Panel’s Rules of Procedure:

1. A party wishing to bring an appeal against a decision of the Board under Article 85(3) of Regulation 806/2014 shall do so by way of a notice of appeal identifying the decision that is the subject of the appeal.

2. The decision that is the subject of the appeal shall be annexed to the notice of appeal, which shall:

• state why it is admissible under Article 85(3) of Regulation 806/2014;
• state the grounds on which it is based;
• if an application is made that the appeal should have suspensive effect under Article 85(6) of Regulation 806/2014 pending the outcome of the appeal, state the grounds of such application;
• attach copies of any documents on which the appellant intends to rely.

3. Unless there are special circumstances, the notice of appeal should not exceed 30 pages. In case of special circumstances justifying exceptions, related to particularly complex legal or factual issues at stake, and duly justified, the Chair on behalf of the Appeal Panel may allow a different extension, and, after pondering the circumstances, will determine the maximum extension of the notice of appeal.

4. A pleading which exceeds the maximum number of pages (see above), shall require regularisation, unless otherwise directed by the Chair. Where a party is requested to put his pleading in order on account of its excessive length, service of the pleading which requires regularisation on account of its length shall be delayed.

5. If the notice of appeal exceeds 10 pages, it must include a summary of the content referred to in paragraph 4 points (a) and (b). Regardless of the mandatory nature of that summary, it is recommended for all cases the inclusion of a summary of the pleas in law relied upon, which must not exceed two pages.

6. The notice of appeal shall clearly indicate full contact details, including, inter alia, name of the appellant and email address to which the Secretariat may send communications with the appellant.

7. The notice of appeal shall give the name(s) of the appellant’s representatives and present their power of attorney. If a natural person notifies the appeal on his/her own behalf, a copy of a valid identification document (ID card, passport or other valid document) must be presented. To further verify the admissibility of the appeal, the Appeal Panel may request at any point additional information from the appellant.

8. The appellant may at any time discontinue an appeal by giving notice of discontinuance to the Secretariat. The Secretariat shall also inform the Board of the appellant’s decision to discontinue the appeal.

9. If there is more than one appellant, the above shall apply to each.

Article 5-A of the Appeal Panel’s Rules of Procedure

1. Unless otherwise required under Council Regulation Nº. 1 of 1958, the language of the Notice of Appeal and of the appeal proceeding, including the Appeal Panel’s decision, shall be the language of the contested decision. However, for reasons of procedural economy, efficiency and reasonable limitation of costs the Appeal Panel will, as a matter of principle, invite the parties to agree on the use of the English language as the language of the proceedings. If the contested decision was issued in more than one language of the Union (it being understood that the language of courtesy translations does not constitute the language of the contested decision) and the English language is among such languages, the language of the appeal shall be English, save if the parties instead agree on a different language.

1. As the internal working language of the Appeal Panel and the Board is English, the deadlines and timelines related to the appeal proceedings, including those concerning the exchange of written submissions or documents and the notification of the decision in the language of the appeal, may be extended due to translation periods, where the language of the appeal is not English. Electronic submissions are considered as documents in the sense of this Article.

Article 7 of the Appeal Panel’s Rules of Procedure

1. The notice of appeal and the response must be filed and served in writing at the address specified on the Board’s website.
2. A document that is to be filed with the Secretariat or served on any party shall be communicated by email, subject to the applicable security standards. Subject to an objection by any of the parties, the Chair may decide that the document has to be filed either by registered post or by personal delivery against a receipt or in accordance with any direction given in respect of a particular appeal as to filing and/or service.
3. Filing shall be deemed to have taken place at the time of receipt of the registered mail or the email copy, whichever is earlier.

The Notice of Appeal should be filed with the Appeal Panel in writing by registered mail to the attention of the Single Resolution Board Appeal Panel’s Secretariat. At the same time, a copy of the Notice of Appeal shall be sent by email to the Appeal Panel’s email address. Please indicate “confidential” on all correspondence. Filing or service shall be deemed to have taken place at the time of receipt of the registered mail or the email copy, whichever is earlier. If the supporting documents required according to Article 5(3) of the Rules of Procedure exceed the total size of more than 2 GB or 20 documents, please make sure to spread the files across a number of emails so that this limit is not exceeded, or provide them on a USB stick to be delivered in 9 copies to the Secretariat. Any communication after the filing of the Notice of Appeal should be made via electronic means by applying adequate security standards, as arranged with the Secretariat of the SRB Appeal Panel.

Address:   Appeal Panel of the Single Resolution Board

Att. Appeal Panel’s Secretariat

Treurenberg 22

B-1049 Brussels

Belgium

Email:        SRB-Appeal-Panel [a] srb.europa.eu (SRB-Appeal-Panel[at]srb[dot]europa[dot]eu)