Updated 03/11/2025
In force

Initial Legal Act
Amendments
Search within this legal act
CRAR ToolDelegated Regulation 449/2012
ANNEX V

ANNEX V - Delegated Regulation 449/2012

ANNEX V

INFORMATION TO BE PRESENTED WITH REGARD TO CORPORATE GOVERNANCE

(Article 12)

1.

 Identification of the members of the administrative or supervisory board and other committees as established in Article 12(3):

Identification of the member

Body (administrative board, supervisory board, audit committee, remunerations committee, etc.) and position (Chair, vice-chair, member)

Body of other undertakings where the person is a member and position

…

…

 

…

…

 

…

…

 

2.

 Identification of the independent members of the administrative or supervisory board as established in Article 12(3) and justification of their independence if they are independent members and of their in-depth knowledge and experience at a senior level of the market in structured finance instruments, where the credit agency applies to issue credit ratings of structured finance products, according to Section A(2) of Annex I to Regulation (EC) No 1060/2009:

Identification of the member

Body (administrative or supervisory board)

Independent member (YES/NO) and if YES, provide justification

Experience in structured finance instruments (YES/NO) and if YES, provide justification

…

…

 

 

…

…

 

 

…

…

 

 

3.

 A credit rating agency shall provide to ESMA a copy of the following documents as established in Article 12(4):

(a)

the last three sets of minutes of the meetings of the administrative and supervisory board;

(b)

the most recent minutes of the meetings of any other committees, such as the remuneration or strategy committees; and

(c)

the last three opinions or reports presented to the administrative or supervisory board by the independent members.