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Annex II - INFORMATION TO BE PROVIDED IN THE APPLICATION FOR REGISTRATION

Comparing 21/07/2011 → 20/06/2013: 0 added, 0 removed, 1 changed Close comparison

1. | Full name of the credit rating agency, address of the registered office within the Community►M3 Union ◄

2. | Name and contact details of a contact person and of the compliance officer

3. | Legal status

4. | Class of credit ratings for which the credit rating agency is applying to be registered

5. | Ownership structure

6. | Organisational structure and corporate governance

7. | Financial resources to perform credit rating activities

8. | Staffing of credit rating agency and its expertise

9. | Information regarding subsidiaries of credit rating agency

10. | Description of the procedures and methodologies used to issue and review credit ratings

11. | Policies and procedures to identify, manage and disclose any conflicts of interests

12. | Information regarding rating analysts

13. | Compensation and performance evaluation arrangements

14. | Services other than credit rating activities, which the credit rating agency intends to provide

15. | Programme of operations, including indications of where the main business activities are expected to be carried out, branches to be established, and setting out the type of business envisaged

16. | Documents and detailed information related to the expected use of endorsement

17. | Documents and detailed information related to the expected outsourcing arrangements including information on entities assuming outsourcing functions.

Official text · consolidated version 20/06/2013 (no longer in force) Open full page ↗
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