{
  "url": "https://openlegislation.uk/eu-regulation-2013-153/article-15",
  "json_url": "https://openlegislation.uk/eu-regulation-2013-153/article-15.json",
  "legislation": "eur/2013/153",
  "legislation_title": "Commission Delegated Regulation (EU) No 153/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on requirements for central counterparties (Text with EEA relevance)",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2013-153",
  "path": "article/15",
  "kind": "article",
  "number": "15",
  "heading": "Business records",
  "text": "1. A CCP shall maintain adequate and orderly records of activities related to its business and internal organisation.\n2. The records referred to in paragraph 1 shall be made each time a material change in the relevant documents occurs and shall include at least:\n(a) the organisational charts for the board and relevant committees, clearing unit, risk management unit, and all other relevant units or divisions;\n(b) 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;\n(c) the documents attesting the policies, procedures and processes required under Chapter III and Article 29;\n(d) the minutes of board meetings and, if applicable, of meetings of sub-committees of the board and of senior management committees;\n(e) the minutes of meetings of the risk committee;\n(f) the minutes of consultation groups with clearing members and clients, if any;\n(g) internal and external audit reports, risk management reports, compliance reports, and reports by consultant companies, including management responses;\n(h) the business continuity policy and disaster recovery plan, required under Article 17;\n(i) the liquidity plan and the daily liquidity reports, required under Article 32;\n(j) records reflecting all assets and liabilities and capital accounts as required under Article 16 of Regulation (EU) No 648/2012;\n(k) 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;\n(l) records of any interruption of services or dysfunction, including a detailed report on the timing, effects and remedial actions;\n(m) records of the results of the back and stress tests performed;\n(n) written communications with competent authorities, ESMA and the relevant members of the ESCB;\n(o) legal opinions received in accordance with Chapter III;\n(p) where applicable, documentation regarding interoperability arrangements with other CCPs;\n(q) the information under Article 10(1)(b)(vii) and (1)(d);\n(r) the relevant documents describing the development of new business initiatives.",
  "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/2013/153/article/15",
    "retrieved_at": "2026-11-01T14:48:50.528950+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."
}