Business records
Article 15
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.