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Section 1 General information on applicant CSDs (arts. 4-7) |
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Article 4 Identification and legal status of applicant CSDs |
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Article 5 General information concerning policies and procedures |
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Article 6 Information concerning services and activities of the CSD |
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Article 7 Information concerning groups |
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Section 2 Financial resources for the provision of services by the applicant CSD (art. 8) |
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Article 8 Financial reports, business plan, and recovery plan |
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Section 3 Organisational requirements (arts. 9-17) |
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Article 9 Organisational chart |
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Article 10 Staffing policies and procedures |
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Article 11 Risk monitoring tools and governance arrangements |
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Article 12 Compliance, internal control and internal audit functions |
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Article 13 Senior management, management body and shareholders |
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Article 14 Management of conflicts of interest |
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Article 15 Confidentiality |
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Article 16 User committee |
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Article 17 Record-keeping |
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Section 4 Conduct of business rules (arts. 18-22) |
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Article 18 Goals and objectives |
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Article 19 Handling of complaints |
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Article 20 Requirements for participation |
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Article 21 Transparency |
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Article 22 Communication procedures with participants and other market infrastructures |
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Section 5 Requirements for services provided by CSDs (arts. 23-30) |
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Article 23 Book-entry form |
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Article 24 Intended settlement dates and measures for preventing and addressing settlement fails |
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Article 25 Integrity of the issue |
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Article 26 Protection of participants' and their clients' securities |
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Article 27 Settlement finality |
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Article 28 Cash settlement |
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Article 29 Participant default rules and procedures |
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Article 30 Transfer of participants and clients' assets in case of a withdrawal of authorisation |
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Section 6 Prudential requirements (arts. 31-35) |
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Article 31 Legal risks |
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Article 32 General business risks |
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Article 33 Operational risks |
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Article 34 Investment policy |
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Article 35 Capital requirements |
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Section 7 (art. 36) |
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Article 36 CSD links |
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Section 8 Access to CSDs (art. 37) |
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Article 37 Access rules |
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Section 9 Additional information (art. 38) |
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Article 38 Request for additional information |
