Retained EU Law SI 2019/359 United Kingdom

Commission Delegated Regulation (EU) 2019/359 of 13 December 2018 supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of the application for registration and extension of registration as a trade repository (Text with EEA relevance)

Read it on legislation.gov.uk (opens in a new tab)
Status
In Force
Penalty ceiling
Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Applicant1

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Applicant — also bound by 307 other Acts

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

s.art002 Policies and procedures Regulated
  • Include required policies and procedures documentation in trade repository applicationApplicant
27 other provisions — procedural and definitional
s.art001 Identification, legal status and types of securities financing transactions
s.art003 Ownership of the trade repository
s.art004 Ownership chart
s.art005 Organisational chart
s.art006 Corporate governance
s.art007 Internal control
s.art008 Regulatory compliance
s.art009 Senior management and members of the Board
s.art010 Staffing policies and procedures
s.art011 Fitness and properness
s.art012 Financial reports and business plans
s.art013 Management of conflicts of interest
s.art014 Confidentiality
s.art015 Inventory and mitigation of conflicts of interest
s.art016 Information Technology resources and outsourcing
s.art017 Ancillary services
s.art018 Transparency of access rules
s.art019 Verification of completeness and correctness of data
s.art020 Pricing policy transparency
s.art021 Operational risk
s.art022 Recordkeeping policy
s.art023 Data availability mechanisms
s.art024 Direct and immediate access to data by authorities
s.art025 Payment of fees
s.art026 Information to be provided in the case of extension of registration
s.art027 Verification of the accuracy and completeness of the application
s.art028 Entry into force

Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.