# 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), Article 15: Business records

Extent: E+W+S+N.I.

1. A CCP shall maintain adequate and orderly records of activities related to its business and internal organisation.
2. 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:
(a) the organisational charts for the board and relevant committees, clearing unit, risk management unit, and all other relevant units or divisions;
(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;
(c) the documents attesting the policies, procedures and processes required under Chapter III and Article 29;
(d) the minutes of board meetings and, if applicable, of meetings of sub-committees of the board and of senior management committees;
(e) the minutes of meetings of the risk committee;
(f) the minutes of consultation groups with clearing members and clients, if any;
(g) internal and external audit reports, risk management reports, compliance reports, and reports by consultant companies, including management responses;
(h) the business continuity policy and disaster recovery plan, required under Article 17;
(i) the liquidity plan and the daily liquidity reports, required under Article 32;
(j) records reflecting all assets and liabilities and capital accounts as required under Article 16 of Regulation (EU) No 648/2012;
(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;
(l) records of any interruption of services or dysfunction, including a detailed report on the timing, effects and remedial actions;
(m) records of the results of the back and stress tests performed;
(n) written communications with competent authorities, ESMA and the relevant members of the ESCB;
(o) legal opinions received in accordance with Chapter III;
(p) where applicable, documentation regarding interoperability arrangements with other CCPs;
(q) the information under Article 10(1)(b)(vii) and (1)(d);
(r) the relevant documents describing the development of new business initiatives.

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Source: https://www.legislation.gov.uk/eur/2013/153/article/15 (the official version)
Page: https://openlegislation.uk/eu-regulation-2013-153/article-15
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.