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Version status: Entered into force | Document consolidation status: No known changes
Version date: 11 April 2019 - onwards
Version 2 of 2

Article 9 Senior management and members of the Board

An application for registration as a trade repository shall contain the following information in respect of each member of the senior management and each member of the Board:

(a) a copy of the curriculum vitae;

(b) detailed information on the knowledge and experience in IT management, operations and development;

(c) details regarding any criminal convictions in connection with the provision of financial or data services or in relation to acts of fraud or embezzlement, in particular in the form of an official certificate if available within the relevant Member State;

(d) a self-declaration of good repute in relation to the provision of a financial or data service, where each member of the senior management and the Board states whether they:

(i) have been convicted of any criminal offence in connection with the provision of financial or data services or in relation to acts of fraud or embezzlement;

(ii) have been subject to an adverse decision in any proceedings of a disciplinary nature brought by a regulatory authority or government bodies or agencies or are the subject of any such proceedings which are not concluded;

(iii) have been subject to an adverse judicial finding in civil proceedings before a court in connection with the provision of financial or data services, or for impropriety or fraud in the management of a business;

(iv) have been part of the board or senior management of an undertaking whose registration or authorisation was withdrawn by a regulatory body;