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In this act Article 13 of 28
Text as of 27 Oct 2022 · Consolidated version of 29 April 2024 · Same wording as today’s text.Today’s text

Article 13 — Management of conflicts of interest

Financial servicesLevel 2RTSEMIRIn forceOfficial source

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:

13(a)
(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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13(b)
(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.
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