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In this act Article 4 of 32

Article 4 — Information on corporate governance (Article 27d(1) of Regulation (EU) No 600/2014)

Financial servicesLevel 2RTSMiFIRIn forceOfficial source

4(1)

1.An applicant seeking authorisation to operate an APA or an ARM pursuant to Article 27d of Regulation (EU) No 600/2014 shall include in its application for authorisation information on the internal corporate governance policies and the procedures which govern its management body, senior management, and, where established, committees.

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4(2)

2.The information set out in paragraph 1 shall include:

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4(2)(a)
(a)a description of the processes for selection, appointment, performance evaluation and removal of senior management and members of the management body;
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4(2)(b)
(b)a description of the reporting lines and the frequency of reporting to the senior management and the management body;
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4(2)(c)
(c)a description of the policies and procedures on access to documents by members of the management body.
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