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Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

You are viewing the version of the document as on 2021-01-01.

ANNEX II GENERAL INFORMATION (Article 7)

  1. (1)

    Full name

  2. (2)

    Country of establishment

  3. (3)

    Address of registered office

  4. (4)

    Legal status

  5. (5)

    With respect to the contact person(s) for the purpose of the application:

    1. (a)

      name;

    2. (b)

      title;

    3. (c)

      address;

    4. (d)

      e-mail address;

    5. (e)

      telephone number.

  6. (6)

    With respect to the Compliance Officer:

    1. (a)

      name;

    2. (b)

      title;

    3. (c)

      address;

    4. (d)

      e-mail address;

    5. (e)

      telephone number.

  7. (7)

    Description of the business activities the credit rating agency conducts, including ancillary services, and if it has one or several branches or subsidiaries, the business conducted by each branch or subsidiary

  8. (8)

    Identification of the class of credit ratings according to the categories specified in Article 5 for which the credit rating agency applies to be registered

  9. (9)

    Identification of the regulated markets where the credit rating agency is listed, if applicable

  10. (10)

    Financial reports:

    1. (a)

      indication on whether the credit rating agency is an audited entity;

    2. (b)

      if the credit rating agency is audited, name of the external auditor and national registration number of the external auditor;

    3. (c)

      date of the financial year end.

  11. (11)

    Number of employees (excluding employees located in branches) as at the date of application and as at the close of each of the three most recent financial years, reported in the following categories:

    1. (a)

      temporary employees;

    2. (b)

      permanent employees with under five years’ service;

    3. (c)

      permanent employees with five years’ or more service.

  12. (12)

    If a credit rating agency has branches, with respect to each branch:

    1. (a)

      full name;

    2. (b)

      legal status;

    3. (c)

      address; and

    4. (d)

      number of temporary employees and of permanent employees.

  13. (13)

    List of countries from which the credit rating agency intends to endorse credit ratings