Info
🔗 Back to Summary. 🇫🇷 French Version: 2013R0153_FR.15. Back to Summary of LVL1. Open the PDF. Direct link to EUR-LEX.
Article 14 – Position records ⬅️ | ➡️ Article 16 – Records of data reported to a trade repository
Références LVL1 <=> LVL2
Level 1 reference(s): 2012R0648_EN.29
Article 15 - Business records
1.
A CCP shall maintain adequate and orderly records of activities related to its business and internal organisation.
2.
The records referred to in paragraph 1 shall be made each time a material change in the relevant documents occurs and shall include at least:
(a)
the organisational charts for the board and relevant committees, clearing unit, risk management unit, and all other relevant units or divisions;
(b)
the identities of the shareholders or members, whether direct or indirect, natural or legal persons, that have qualifying holdings and the amounts of those holdings;
(c)
the documents attesting the policies, procedures and processes required under Chapter III and Article 29;
(d)
the minutes of board meetings and, if applicable, of meetings of sub-committees of the board and of senior management committees;
(e)
the minutes of meetings of the risk committee;
(f)
the minutes of consultation groups with clearing members and clients, if any;
(g)
internal and external audit reports, risk management reports, compliance reports, and reports by consultant companies, including management responses;
(h)
the business continuity policy and disaster recovery plan, required under Article 17;
(i)
the liquidity plan and the daily liquidity reports, required under Article 32;
(j)
records reflecting all assets and liabilities and capital accounts as required under 2012;
(k)
complaints received, with information on the complainant’s name, address, and account number; the date the complaint was received; the name of all persons identified in the complaint; a description of the nature of the complaint; the disposition of the complaint, and the date the complaint was resolved;
(l)
records of any interruption of services or dysfunction, including a detailed report on the timing, effects and remedial actions;
(m)
records of the results of the back and stress tests performed;
(n)
written communications with competent authorities, ESMA and the relevant members of the ESCB;
(o)
legal opinions received in accordance with Chapter III;
(p)
where applicable, documentation regarding interoperability arrangements with other CCPs;
(q)
the information under Article 10(1)(b)(vii) and (1)(d);
(r)
the relevant documents describing the development of new business initiatives.