Article 15 - Business records

the organisational charts for the board and relevant committees, clearing unit, risk management unit, and all other relevant units or divisions;

the identities of the shareholders or members, whether direct or indirect, natural or legal persons, that have qualifying holdings and the amounts of those holdings;

the documents attesting the policies, procedures and processes required under Chapter III and Article 29;

the minutes of board meetings and, if applicable, of meetings of sub-committees of the board and of senior management committees;

the minutes of meetings of the risk committee;

the minutes of consultation groups with clearing members and clients, if any;

internal and external audit reports, risk management reports, compliance reports, and reports by consultant companies, including management responses;

the business continuity policy and disaster recovery plan, required under Article 17;

the liquidity plan and the daily liquidity reports, required under Article 32;

records reflecting all assets and liabilities and capital accounts as required under Article 16 of Regulation (EU) No 648/2012;

complaints received, with information on the complainant’s name, address, and account number; the date the complaint was received; the name of all persons identified in the complaint; a description of the nature of the complaint; the disposition of the complaint, and the date the complaint was resolved;

records of any interruption of services or dysfunction, including a detailed report on the timing, effects and remedial actions;

records of the results of the back and stress tests performed;

written communications with competent authorities, ESMA and the relevant members of the ESCB;

legal opinions received in accordance with Chapter III;

where applicable, documentation regarding interoperability arrangements with other CCPs;

the information under Article 10(1)(b)(vii) and (1)(d);

the relevant documents describing the development of new business initiatives.