Article 5 | Delegated Regulation 150/2013

Article 5 - Organisational chart

Article 5

Organisational chart

An application for registration as a trade repository shall contain the organisational chart detailing the organisational structure of the applicant, including that of any ancillary services.

That chart shall include information about the identity of the person responsible for each significant role, including senior management and persons who direct the activities of any branches.

CHAPTER 1 - REGISTRATION (Article 1-23a)

SECTION 1 - General (Article 1-2)

SECTION 2 - Ownership (Article 3-4)

SECTION 3 - Organisational structure, governance and compliance (Article 5-9)Article 5 - Organisational chart Article 6 - Corporate governance Article 7 - Internal control Article 8 - Regulatory compliance Article 9 - Senior management and members of the Board

SECTION 4 - Staffing and remuneration (Article 10-11)

SECTION 5 - Financial resources for the performance of the trade repository (Article 12)

SECTION 6 - Conflicts of interest (Article 13-15)

SECTION 7 - Resources and procedures (Article 16-17)

SECTION 8 - Access rules (Article 18-20)

SECTION 9 - Operational reliability (Article 21)

SECTION 10 - Recordkeeping (Article 22)

SECTION 11 - Data availability (Article 23-23a)

CHAPTER 2 - EXTENSION OF REGISTRATION (Article 23b)

CHAPTER 3 - FEES AND VERIFICATION (Article 23c-25)

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Article 5 - Organisational chart

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