(Article 11)

Record keeping

1. Information regarding the policies and procedures regarding the record keeping obligations set out in Article 8(4) and point 7 of Section A and points 7, 8 and 9 of Section B of Annex I to Regulation (EC) No 1060/2009:

(a) an indication on which records are kept and for how long; and

(b) an identification of the recipients of confidential information for each rating issued.

Continuity and regularity of the activities

2. Information regarding the continuity and regularity in the performance of the credit rating activities as set out in point 8 of Section A of Annex I to Regulation (EC) No 1060/2009, including:

(a) description of the procedures to ensure continuity and regularity in the performance of the credit rating activities, including information on their applicability to service providers to which activities have been outsourced;

(b) the types of business continuity planning tests expected to be conducted; and

(c) the frequency of testing.

Information processing systems

3. Information regarding the information processing systems as set out in point 8 of Section A of Annex I to Regulation (EC) No 1060/2009, including: