Chapter II, Article 17 · Commission Delegated Regulation (EU) 2025/1143

Contents

Article 17Information on the organisation(Article 27da(2), point (d), of Regulation (EU) No 600/2014)#

1.An applicant seeking authorisation to operate a CT pursuant to Article 27db of Regulation (EU) No 600/2014 shall include in its application for authorisation the following information on the organisation:

(a)information on the organisational structure of the applicant, including an organisational chart and a description of the human, technical and legal resources allocated to its business activities;

(b)information on the operational separation policies and procedures to ensure segregation between the CTP and any other activities performed by the applicant;

(c)information on the compliance policies and procedures of the CTP, including:

(i)the name of the person or persons responsible for the approval and maintenance of those policies;

(ii)the arrangements to monitor and enforce the compliance policies and procedures;

(iii)the measures to be undertaken in the event of a breach which may result in a failure to meet the conditions for initial authorisation;

(iv)a description of the procedure for reporting to ESMA any breach which may result in a failure to meet the conditions for initial authorisation;

(d)a list of all outsourced functions and resources allocated to the control of the outsourced functions.

2.A CTP offering services other than data reporting services shall describe those services in the organisational chart provided under paragraph 1, point (a).