SECTION 6 Conflicts of interest

Article 13 Management of conflicts of interest

An application for registration as a trade repository shall contain the following information on the policies and procedures to manage conflicts of interest put in place by the applicant:

  1. (a)

    policies and procedures with respect to the identification, management and disclosure of conflicts of interest and a description of the process used to ensure that the relevant persons are aware of the policies and procedures;

  2. (b)

    any other measures and controls put in place to ensure the requirements referred to in point (a) on conflicts of interest management are met.