A central counterparty must maintain adequate and orderly records of activities related to its business and internal organisation, which records must include—
| (a) |
the organisational charts for the controlling body 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 minutes of meetings of the controlling body and, if applicable, of meetings of subcommittees and of senior management committees; |
| (d) |
the minutes of meetings of the risk committee; |
| (e) |
the minutes of consultation groups with clearing members and clients, if any; |
| (f) |
internal and external audit reports, risk management reports, compliance reports, and reports by consultant companies, including management responses; |
| (g) |
the business continuity policy and disaster recovery plan; |
| (h) |
the liquidity plan and the daily liquidity reports; |
| (i) |
records reflecting all assets and liabilities and capital accounts; |
| (j) |
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; |
| (k) |
records of any interruption of functions and services or dysfunction, including a detailed report on the timing, effects and remedial actions; |
| (l) |
records of the results of the back and stress tests performed; |
| (m) |
written communications with the Authority and other supervisory authorities; |
| (n) |
legal opinions received; |
| (o) |
where applicable, documentation regarding interoperability arrangements with other central counterparties; and |
| (p) |
the relevant documents describing the development of new business initiatives; |
Statistics Act, 1999
