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# Article 15 — Business records

**Commission Delegated Regulation (EU) No 153/2013 · binding · OJ L 52, 23.2.2013 · dated 19 Dec 2012 [in force]**

*In force · Consolidated version of 7 March 2024 · Verified 9 Nov 2026 · [Official source](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02013R0153-20240307)*

1. <a id="art-15-p-1"></a>A CCP shall maintain adequate and orderly records of activities related to its business and internal organisation.

2. <a id="art-15-p-2"></a>The records referred to in paragraph 1 shall be made each time a material change in the relevant documents occurs and shall include at least:

    <a id="art-15-p-2-a"></a>**(a)** the organisational charts for the board and relevant committees, clearing unit, risk management unit, and all other relevant units or divisions;

    <a id="art-15-p-2-b"></a>**(b)** the identities of the shareholders or members, whether direct or indirect, natural or legal persons, that have qualifying holdings and the amounts of those holdings;

    <a id="art-15-p-2-c"></a>**(c)** the documents attesting the policies, procedures and processes required under Chapter III and Article 29;

    <a id="art-15-p-2-d"></a>**(d)** the minutes of board meetings and, if applicable, of meetings of sub-committees of the board and of senior management committees;

    <a id="art-15-p-2-e"></a>**(e)** the minutes of meetings of the risk committee;

    <a id="art-15-p-2-f"></a>**(f)** the minutes of consultation groups with clearing members and clients, if any;

    <a id="art-15-p-2-g"></a>**(g)** internal and external audit reports, risk management reports, compliance reports, and reports by consultant companies, including management responses;

    <a id="art-15-p-2-h"></a>**(h)** the business continuity policy and disaster recovery plan, required under Article 17;

    <a id="art-15-p-2-i"></a>**(i)** the liquidity plan and the daily liquidity reports, required under Article 32;

    <a id="art-15-p-2-j"></a>**(j)** records reflecting all assets and liabilities and capital accounts as required under [Article 16](../../articles/16.md) of Regulation (EU) No 648/2012;

    <a id="art-15-p-2-k"></a>**(k)** complaints received, with information on the complainant’s name, address, and account number; the date the complaint was received; the name of all persons identified in the complaint; a description of the nature of the complaint; the disposition of the complaint, and the date the complaint was resolved;

    <a id="art-15-p-2-l"></a>**(l)** records of any interruption of services or dysfunction, including a detailed report on the timing, effects and remedial actions;

    <a id="art-15-p-2-m"></a>**(m)** records of the results of the back and stress tests performed;

    <a id="art-15-p-2-n"></a>**(n)** written communications with competent authorities, ESMA and the relevant members of the ESCB;

    <a id="art-15-p-2-o"></a>**(o)** legal opinions received in accordance with Chapter III;

    <a id="art-15-p-2-p"></a>**(p)** where applicable, documentation regarding interoperability arrangements with other CCPs;

    <a id="art-15-p-2-q"></a>**(q)** the information under Article 10(1)(b)(vii) and (1)(d);

    <a id="art-15-p-2-r"></a>**(r)** the relevant documents describing the development of new business initiatives.