in force 2013-06-20 MODIFIED+5 −9§
Amended by Regulation (EU) No 462/2013 32013R0462
applies from: unchanged
Sources disagree — the text comparison found this change; the EU's own amendment metadata does not list it and the amending act's instructions do not mention it. All are shown; none is overruled.
In item 1, the reference to the registered office location changes from 'within the Community' to 'within the Union'.
The remaining items in the list of information to be provided are unchanged in substance.
Cited: Annex II, v1 · Annex II, v2
text before / after
02009R1060-20110721 → 02009R1060-20130620
ANNEX II
INFORMATION TO BE PROVIDED IN THE APPLICATION FOR REGISTRATION
1.
Full name of the credit rating agency, address of the registered office within the Community Union
2.
Name and contact details of a contact person and of the compliance officer
3.
Legal status
4.
Class of credit ratings for which the credit rating agency is applying to be registered
5.
Ownership structure
6.
Organisational structure and corporate governance
7.
Financial resources to perform credit rating activities
8.
Staffing of credit rating agency and its expertise
9.
Information regarding subsidiaries of credit rating agency
10.
Description of the procedures and methodologies used to issue and review credit ratings
11.
Policies and procedures to identify, manage and disclose any conflicts of interests
12.
Information regarding rating analysts
13.
Compensation and performance evaluation arrangements
14.
Services other than credit rating activities, which the credit rating agency intends to provide
15.
Programme of operations, including indications of where the main business activities are expected to be carried out, branches to be established, and setting out the type of business envisaged
16.
Documents and detailed information related to the expected use of endorsement
17.
Documents and detailed information related to the expected outsourcing arrangements including information on entities assuming outsourcing functions.