Where information regarding policies or procedures is to be provided, an applicant shall ensure that the policies or procedures contain or are accompanied by each of the following items:
((a))
an indication of the person responsible for the approval and maintenance of the policies and procedures;
((b))
a description of how compliance with the policies and procedures will be ensured and monitored, and the person responsible for compliance in that regard;
((c))
a description of the measures to adopt in the event of a breach of policies and procedures;
((d))
an indication of the procedure for reporting to ESMA any material breach of policies or procedures which may result in a breach of the conditions for initial registration.