Policies and procedures
- Include required policies and procedures documentation in trade repository application
Retained EU Law
2019
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)
At a glance
What's here
1 compliance obligation
What this Act requires
Sections that create concrete duties on businesses or carry penalties. Procedural and definitional sections are folded into the “Browse other sections” expander at the bottom of each group. Click any section title to read the source text on legislation.gov.uk.
Browse 27 other sections — procedural / definitional / commencement
Identification, legal status and types of securities financing transactions
Ownership of the trade repository
Ownership chart
Organisational chart
Corporate governance
Internal control
Regulatory compliance
Senior management and members of the Board
Staffing policies and procedures
Fitness and properness
Financial reports and business plans
Management of conflicts of interest
Confidentiality
Inventory and mitigation of conflicts of interest
Information Technology resources and outsourcing
Ancillary services
Transparency of access rules
Verification of completeness and correctness of data
Pricing policy transparency
Operational risk
Recordkeeping policy
Data availability mechanisms
Direct and immediate access to data by authorities
Payment of fees
Information to be provided in the case of extension of registration
Verification of the accuracy and completeness of the application
Entry into force
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