{
  "url": "https://openlegislation.uk/eu-regulation-2018-1645/article-3",
  "json_url": "https://openlegislation.uk/eu-regulation-2018-1645/article-3.json",
  "legislation": "eur/2018/1645",
  "legislation_title": "Commission Delegated Regulation (EU) 2018/1645 of 13 July 2018 supplementing Regulation (EU) 2016/1011 of the European Parliament and of the Council with regard to regulatory technical standards for the form and content of the application for recognition with the competent authority of the Member State of reference and of the presentation of information in the notification to European Securities and Markets Authority (ESMA) (Text with EEA relevance)",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2018-1645",
  "path": "article/3",
  "kind": "article",
  "number": "3",
  "heading": "Specific information concerning policies and procedures",
  "text": "1. Any policies and procedures established to comply with requirements of Regulation (EU) 2016/1011 and described in an application shall contain or be accompanied by:\n(a) an indication of the identity of the person or persons responsible for the approval and maintenance of the policies and procedures;\n(b) a description of how compliance with the policies and procedures is monitored and the identity of the person or persons responsible for this monitoring;\n(c) a description of the measures to be taken in the event of a breach of the policies and procedures.\n2. Where an applicant is a company within a group, it may comply with paragraph 1 by submitting the policies and procedures of its group where they relate to the provision of benchmarks.",
  "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/2018/1645/article/3",
    "retrieved_at": "2026-11-01T14:43:51.160265+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."
}