Article 15
Fitness and appropriateness
1. A credit rating agency shall provide ESMA with the curriculum vitae, including employment history with relevant dates, identification of positions held and a description of the functions occupied, for each of the following:
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(a) |
members of senior management; |
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(b) |
persons appointed to direct the business of the branches; |
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(c) |
officers responsible for internal audit, internal control, compliance function, risk assessment and review function. |
2. A credit rating agency shall provide ESMA with the following information in respect of each member of its senior management:
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(a) |
a recent criminal-record file from the country of origin of the relevant person, unless the relevant national authorities do not issue such a file; |
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(b) |
a self-declaration of their good repute including at least the statements set out in Annex VI and signed by the individual. |