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Version status: Entered into force | Document consolidation status: Updated to reflect all known changes
Version date: 15 March 2013 - onwards
Version 2 of 2

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;