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You are viewing the version of the document as on 2023-04-28.

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    2023-04-28

Article 10 Regulatory compliance

An application for registration as a securitisation repository shall contain the following regarding the applicant's policies and procedures for ensuring compliance with Regulation (EU) 2017/2402:

  1. (a)

    a description of the roles of the persons responsible for compliance and of any other staff involved in the compliance assessments, including a description of how the independence of the compliance function from the rest of the business is ensured;

  2. (b)

    the internal policies and procedures designed to ensure that the applicant, including its managers and employees, complies with Regulation (EU) 2017/2402, including a description of the role of the board and senior management;

  3. (c)

    where available, the most recent internal report on compliance with Regulation (EU) 2017/2402 prepared by the persons responsible for such compliance or by any other staff involved in such compliance assessments within the applicant's organisation.