{
  "url": "https://openlegislation.uk/eu-regulation-2012-449/annex-VI/division-SELF",
  "json_url": "https://openlegislation.uk/eu-regulation-2012-449/annex-VI/division-SELF.json",
  "legislation": "eur/2012/449",
  "legislation_title": "Commission Delegated Regulation (EU) No 449/2012 of 21 March 2012 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards on information for registration and certification of credit rating agencies (Text with EEA relevance)",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2012-449",
  "path": "annex/VI/division/SELF",
  "kind": "division",
  "number": "SELF DECLARATION",
  "heading": "(Article 15(2))",
  "text": "In the self-declaration to be provided under Article 15(2)(b), each member of the senior management shall state whether the relevant person falls under any of the following categories:\n(a) has been convicted of any criminal offence;\n(b) has been subject to or has been notified of any proceedings of a disciplinary nature brought by a regulatory body or of a criminal nature;\n(c) has been subject to any adverse finding in civil proceedings in connection with the provision of financial services, misconduct, fraud or the management of a legal entity;\n(d) has to his or her knowledge been subject to any existing or previous investigation by any regulatory authority or government bodies or agencies;\n(e) has been involved with an undertaking whose registration or authorisation was withdrawn by a regulatory body;\n(f) has been refused the right to carry on activities which require registration or authorisation by a regulatory body;\n(g) has been involved in the management of an undertaking which has gone into insolvency, liquidation or administration while this person was connected to the undertaking or within a year of the person ceasing to be connected to the undertaking;\n(h) has been involved with an undertaking which was investigated or suspended by a regulatory body and which resulted in an enforcement action;\n(i) has been investigated, suspended or sanctioned by a regulatory body;\n(j) has been disqualified from acting as a director, disqualified from acting in any managerial capacity, dismissed from employment or other appointment in an undertaking as a consequence of allegations of misconduct or malpractice.",
  "extent": "E+W+S+N.I.",
  "status": null,
  "version": "current",
  "annotations": [],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eur/2012/449/annex/VI/division/SELF",
    "retrieved_at": "2026-11-01T14:49:25.461337+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}