ANNEX II
INFORMATION TO BE PROVIDED IN THE APPLICATION FOR REGISTRATION
1. |
Full name of the credit rating agency, address of the registered office within the Union |
2. |
Name and contact details of a contact person and of the compliance officer |
3. |
Legal status |
4. |
Class of credit ratings for which the credit rating agency is applying to be registered |
5. |
Ownership structure |
6. |
Organisational structure and corporate governance |
7. |
Financial resources to perform credit rating activities |
8. |
Staffing of credit rating agency and its expertise |
9. |
Information regarding subsidiaries of credit rating agency |
10. |
Description of the procedures and methodologies used to issue and review credit ratings |
11. |
Policies and procedures to identify, manage and disclose any conflicts of interests |
12. |
Information regarding rating analysts |
13. |
Compensation and performance evaluation arrangements |
14. |
Services other than credit rating activities, which the credit rating agency intends to provide |
15. |
Programme of operations, including indications of where the main business activities are expected to be carried out, branches to be established, and setting out the type of business envisaged |
16. |
Documents and detailed information related to the expected use of endorsement |
17. |
Documents and detailed information related to the expected outsourcing arrangements including information on entities assuming outsourcing functions. |