|
|
Section 1 General (arts. 1-2) |
|
|
Article 1 Identification, legal status and class of derivatives |
|
|
Article 2 Policies and procedures |
|
|
Section 2 Ownership (arts. 3-4) |
|
|
Article 3 Ownership of the trade repository |
|
|
Article 4 Ownership chart |
|
|
Section 3 Organisational structure, governance and compliance (arts. 5-9) |
|
|
Article 5 Organisational chart |
|
|
Article 6 Corporate governance |
|
|
Article 7 Internal control |
|
|
Article 8 Regulatory compliance |
|
|
Article 9 Senior management and members of the Board |
|
|
Section 4 Staffing and remuneration (arts. 10-11) |
|
|
Article 10 Staffing policies and procedures |
|
|
Article 11 Fitness and properness |
|
|
Section 5 Financial resources for the performance of the trade repository (art. 12) |
|
|
Article 12 Financial reports and business plans |
|
|
Section 6 Conflicts of interest (arts. 13-15) |
|
|
Article 13 Management of conflicts of interest |
|
|
Article 14 Confidentiality |
|
|
Article 15 Inventory and mitigation of conflicts of interest |
|
|
Section 7 Resources and procedures (arts. 16-17) |
|
|
Article 16 Information Technology resources and outsourcing |
|
|
Article 17 Ancillary services |
|
|
Section 8 Access rules (arts. 18-20) |
|
|
Article 18 Transparency of access rules |
|
|
Article 19 Verification of completeness and correctness of data |
|
|
Article 20 Pricing policy transparency |
|
|
Section 9 Operational reliability (art. 21) |
|
|
Article 21 Operational risk |
|
|
Section 10 Recordkeeping (art. 22) |
|
|
Article 22 Recordkeeping policy |
|
|
Section 11 Data availability (arts. 23-23a) |
|
|
Article 23 Data availability mechanisms |
|
|
Article 23a Direct and immediate access to data by authorities |
