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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 13 Management of conflicts of interest

An application for registration as a trade repository shall contain the following information on the policies and procedures to manage conflicts of interest put in place by the applicant:

(a) policies and procedures with respect to the identification, management and disclosure of conflicts of interest and a description of the process used to ensure that the relevant persons are aware of the policies and procedures;

(b) any other measures and controls put in place to ensure the requirements referred to in point (a) on conflicts of interest management are met.