European Commission 19 December 2012, Commission Delegated Regulation (EU) No 150/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards specifying the details of the application for registration as a trade repository Text with EEA relevance

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European Union · · · Cited by 89 · 19-12-2012

CHAPTER 1. REGISTRATION
SECTION 1. General
Article 1. Identification, legal status and class of derivatives
Article 2. Policies and procedures
SECTION 2. Ownership
Article 3. Ownership of the trade repository
Article 4. Ownership chart
SECTION 3. Organisational structure, governance and compliance
Article 5. Organisational chart
Article 6. Corporate governance
Article 7. Internal controls
Article 8. Regulatory compliance
Article 9. Senior management and members of the board
SECTION 4. Staffing and remuneration
Article 10. Staffing policies and procedures
Article 11. Fitness and properness
SECTION 5. Financial resources for the performance of the trade repository
Article 12. Financial reports and business plans
SECTION 6. Conflicts of interest
Article 13. Management of conflicts of interest
Article 14. Confidentiality
Article 15. Inventory and mitigation of conflicts of interest
SECTION 7. Resources and procedures
Article 16. Information Technology resources and outsourcing
Article 17. Ancillary services
SECTION 8. Access rules
Article 18. Transparency about access rules
Article 19. Transparency about compliance arrangements and accuracy of data
Article 20. Pricing policy transparency
SECTION 9. Operational reliability
Article 21. Operational risk
SECTION 10. Recordkeeping
Article 22. Recordkeeping policy
SECTION 11. Data availability
Article 23. Data availability mechanisms
Article 24. Verification of the accuracy and completeness of the application
Article 25. Entry into force

23.2.2013

Official Journal of the European Union

L 52/25

COMMISSION DELEGATED REGULATION (EU) No 150/2013

of 19 December 2012

supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards specifying the details of the application for

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