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Delegated Regulation (EU) 2025/1143 · binding · OJ L, 2025/1143, 3.11.2025 · dated 12 Jun 2025 [in force]","attribution":{"prepared_by":"European Commission","published_by":"Publications Office of the EU","published_in":"Official Journal of the European Union","document_type":"delegated_regulation","legal_nature":"binding_adopted","addressees":"not stated in the document","dates":{"document_date":"2025-06-12","published_on":"2025-11-03","entry_into_force":"2025-11-23","locators":{"document_date":"CELLAR 32025R1143 work_date_document","published_on":"CELLAR 32025R1143 official-journal-act_date_publication","entry_into_force":"CELLAR 32025R1143 resource_legal_date_entry-into-force (earliest)"}},"adoption":null},"context":{"act":{"work_id":"spaces/mifir/level-2/rts/2025-1143-commission-delegated-regulation-eu-2025-1143-of-12-june","path":"/mifir/level-2/rts/2025-1143-commission-delegated-regulation-eu-2025-1143-of-12-june","name":"Commission Delegated Regulation (EU) 2025/1143","number":"2025/1143","celex":"32025R1143","title_official":"COMMISSION DELEGATED REGULATION (EU) 2025/1143 of 12 June 2025 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on the authorisation and organisational requirements for approved publication arrangements and approved reporting mechanisms, and on the authorisation requirements for consolidated tape providers, and repealing Commission Delegated Regulation (EU) 2017/571 (Text with EEA relevance)","document_date":"2025-06-12"},"position":{"kind":"article","key":"6","index":6,"articles":32,"annexes":0},"prev":{"path":"/mifir/level-2/rts/2025-1143-commission-delegated-regulation-eu-2025-1143-of-12-june/articles/5","key":"5","title":"Article 5 — Information on the members of the management body (Article 27f(2) of Regulation (EU) No 600/2014)"},"next":{"path":"/mifir/level-2/rts/2025-1143-commission-delegated-regulation-eu-2025-1143-of-12-june/articles/7","key":"7","title":"Article 7 — Information on digital operational resilience (Article 27d(1) of Regulation (EU) No 600/2014)"},"act_anchor":"#art-6"}},"provenance":{"official_url":"https://eur-lex.europa.eu/eli/reg_del/2025/1143/oj/eng","check":{"result":"matched","checked_at":"2026-10-26","against":"EUR-Lex"},"repo_path":"spaces/mifir/level-2/rts/2025-1143-commission-delegated-regulation-eu-2025-1143-of-12-june.md","unit_text_sha256":"8104b0deaa5a0e64e456135c09186e0ac56a727cf2bd098c572a287a5fff4601","note":"the unit is a byte-exact part of the act page, whose check record covers it"},"unit":{"locator":"spaces/mifir/level-2/rts/2025-1143-commission-delegated-regulation-eu-2025-1143-of-12-june/art-6","kind":"article","key":"6","heading":"Article 6 — Information on internal controls (Article 27d(1) of Regulation (EU) No 600/2014)","text":"## <a id=\"art-6\"></a>Article 6 — Information on internal controls (Article 27d(1) of Regulation (EU) No 600/2014)\n\n1. <a id=\"art-6-p-1\"></a>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 detailed information regarding its internal controls’ environment. This shall include information regarding its internal control function, compliance function, risk management and its internal audit function.\n1. <a id=\"art-6-p-2\"></a>The detailed information referred to in paragraph 1 shall contain:\n\n    <a id=\"art-6-p-2-a\"></a>**(a)** an outline of the organisation of the applicant’s internal control, risk management, compliance and internal audit functions, including where the applicant relies on outsourced functions;\n\n    <a id=\"art-6-p-2-b\"></a>**(b)** an assessment of the key risks that may arise in the operation of the APA or ARM;\n\n    <a id=\"art-6-p-2-c\"></a>**(c)** the applicant’s internal control policies and procedures to ensure the consistent and effective implementation of those policies;\n\n    <a id=\"art-6-p-2-d\"></a>**(d)** any policies, procedures and manuals for monitoring and evaluating the adequacy and effectiveness of the applicant’s systems;\n\n    <a id=\"art-6-p-2-e\"></a>**(e)** any policies, procedures and manuals for controlling and safeguarding the applicant’s information processing systems;\n\n    <a id=\"art-6-p-2-f\"></a>**(f)** the identity of the internal bodies in charge of evaluating any findings resulting from the performance of the internal control and deciding on their outcome.\n\n1. <a id=\"art-6-p-3\"></a>With respect to the applicant’s internal audit function, the detailed information referred to in paragraph 1 shall contain the following:\n\n    <a id=\"art-6-p-3-a\"></a>**(a)** information on the applicant’s adherence to national or international professional standards;\n\n    <a id=\"art-6-p-3-b\"></a>**(b)** any internal audit function charter, methodologies, and procedures;\n\n    <a id=\"art-6-p-3-c\"></a>**(c)** an explanation of how the internal audit methodology, if any, is developed and applied taking into account the nature of the applicant’s activities, complexities and risks;\n\n    <a id=\"art-6-p-3-d\"></a>**(d)** where there is an internal audit committee:\n\n    <a id=\"art-6-p-3-d-i\"></a>**(i)** information on its composition, competences and responsibilities;\n\n    <a id=\"art-6-p-3-d-ii\"></a>**(ii)** its work plan for the three years following the date of application, taking into account the nature and extent of the applicant’s activities, complexities and risks.\n\n","marks":[],"text_hash":"8104b0deaa5a0e64e456135c09186e0ac56a727cf2bd098c572a287a5fff4601","revision":1}}