Article 15 — Business records · Delegated Regulation (EU) No 153/2013 | EMIR

1.A CCP shall maintain adequate and orderly records of activities related to its business and internal organisation.

2.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:

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15(2)(a)

(a)the organisational charts for the board and relevant committees, clearing unit, risk management unit, and all other relevant units or divisions;

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15(2)(b)

(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;

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15(2)(c)

(c)the documents attesting the policies, procedures and processes required under Chapter III and Article 29;

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15(2)(d)

(d)the minutes of board meetings and, if applicable, of meetings of sub-committees of the board and of senior management committees;

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15(2)(e)

(e)the minutes of meetings of the risk committee;

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15(2)(f)

(f)the minutes of consultation groups with clearing members and clients, if any;

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15(2)(g)

(g)internal and external audit reports, risk management reports, compliance reports, and reports by consultant companies, including management responses;

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15(2)(h)

(h)the business continuity policy and disaster recovery plan, required under Article 17;

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15(2)(i)

(i)the liquidity plan and the daily liquidity reports, required under Article 32;

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15(2)(j)

(j)records reflecting all assets and liabilities and capital accounts as required under Article 16 of Regulation (EU) No 648/2012;

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15(2)(k)

(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;

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15(2)(l)

(l)records of any interruption of services or dysfunction, including a detailed report on the timing, effects and remedial actions;

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15(2)(m)

(m)records of the results of the back and stress tests performed;

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15(2)(n)

(n)written communications with competent authorities, ESMA and the relevant members of the ESCB;

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15(2)(o)

(o)legal opinions received in accordance with Chapter III;