Skip to the text
In this act Article 15 of 28

Article 15 — Inventory and mitigation of conflicts of interest

Financial servicesLevel 2RTSEMIRIn forceOfficial source

15(1)

1.An application for registration as a trade repository shall contain an up-to-date inventory, at the time of the application, of existing material conflicts of interest in relation to any ancillary or other related services provided by the applicant and a description of how these are being managed.

Copy link
15(2)

2.Where an applicant is part of a group, the inventory shall include any material conflicts of interest arising from other undertakings within the group and how these conflicts are being managed.

Copy link

SECTION 7 — Resources and procedures