Article 15 Fitness and appropriateness

A credit rating agency shall provide the FCA with the curriculum vitae, including employment history with relevant dates, identification of positions held and a description of the functions occupied, for each of the following:

1. (a)

   members of senior management;

2. (b)

   persons appointed to direct the business of the branches;

3. (c)

   officers responsible for internal audit, internal control, compliance function, risk assessment and review function.

A credit rating agency shall provide the FCA with the following information in respect of each member of its senior management:

1. (a)

   a recent criminal-record file from the country of origin of the relevant person, unless the relevant national authorities do not issue such a file;

2. (b)

   a self-declaration of their good repute including at least the statements set out in Annex VI and signed by the individual.