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:
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(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; |
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(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. |