- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Gwreiddiol (Fel y’i mabwysiadwyd gan yr UE)
Regulation (EC) No 1060/2009 of the European Parliament and of the CouncilDangos y teitl llawn
Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (Text with EEA relevance)
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- Rheoliadau yn deillio o’r UE
- 2009 No. 1060
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Changes to legislation:
There are outstanding changes not yet made to Regulation (EC) No 1060/2009 of the European Parliament and of the Council. Those changes will be listed when you open the content using the Table of Contents below. Any changes that have already been made to the legislation appear in the content and are referenced with annotations.
Changes to Legislation
Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the affected provisions when you open the content using the Table of Contents below.
Changes and effects yet to be applied to :
- Title 4 heading substituted by S.I. 2019/266 reg. 93
- Regulation power to amend conferred by 2021 c. 22 s. 6
- Regulation power to modify conferred by 2023 c. 29 s. 3 Sch. 1 Pt. 1
- Regulation revoked by 2023 c. 29 Sch. 1 Pt. 1
- Annex 1 words substituted by S.I. 2019/266 reg. 97(a)
- Annex 3 heading substituted by S.I. 2019/266 reg. 99(a)
- Annex 2 point 1 words substituted by S.I. 2019/266 reg. 98
- Annex 4 omitted by S.I. 2019/266 reg. 100
- Art. 1 word omitted by S.I. 2019/266 reg. 52(a)
- Art. 1 word omitted by S.I. 2019/266 reg. 52(c)
- Art. 1 words substituted by S.I. 2019/266 reg. 52(b)
- Art. 1 words substituted by S.I. 2019/266 reg. 52(d)
- Art. 2(1) words substituted by S.I. 2019/266 reg. 53(a)
- Art. 2(4) words omitted by S.I. 2019/266 reg. 53(c)(ii)
- Art. 2(4) words substituted by S.I. 2019/266 reg. 53(c)(i)
- Art. 3(1) substituted by S.I. 2019/266 reg. 54(a)
- Art. 3(1) words inserted in earlier amending provision S.I. 2009/266, reg. 54(a) by S.I. 2020/1055 reg. 11(2)
- Art. 3(1) words substituted by S.I. 2019/660 reg. 35
- Art. 3(3) words omitted by S.I. 2019/266 reg. 54(c)
- Art. 4(1)-(4) words substituted by S.I. 2019/266 reg. 55(a)
- Art. 4(1) words substituted by S.I. 2019/266 reg. 55(b)
- Art. 4(6) substituted by S.I. 2009/266, reg. 55(e) (as substituted) by S.I. 2020/1055 reg. 11(3)
- Art. 4(6) words omitted by S.I. 2019/266 reg. 55(e)(ii) (This amendment not applied to legislation.gov.uk. Reg. 55(e) substituted (30.9.2020) by S.I. 2020/1055, regs. 1(2), 11(3))
- Art. 4(6) words substituted by S.I. 2019/266 reg. 55(e)(i) (This amendment not applied to legislation.gov.uk. Reg. 55(e) substituted (30.9.2020) by S.I. 2020/1055, regs. 1(2), 11(3))
- Art. 5(1) words substituted by S.I. 2019/266 reg. 56(a)(i) (This amendment not applied to legislation.gov.uk. Reg. 56(a) substituted (30.9.2020) by S.I. 2020/1055, regs. 1(2), 11(4)(a))
- Art. 5(1) words substituted by S.I. 2019/266, reg. 56(a)(i) (as substituted) by S.I. 2020/1055 reg. 11(4)(a)
- Art. 5(2) words substituted by S.I. 2019/266 reg. 56(b)
- Art. 5(3) words substituted by S.I. 2019/266 reg. 56(c)
- Art. 5(4) words substituted by S.I. 2019/266 reg. 56(d)(ii)(aa)
- Art. 5(4) words substituted by S.I. 2019/266 reg. 56(d)(ii)(bb)
- Art. 5(6) words omitted by S.I. 2019/266 reg. 56(e)(ii) (This amendment not applied to legislation.gov.uk. Reg. 56(e)(i)(ii) substituted for reg. 56(e)(i)-(iii) immediately before IP completion day by S.I. 2020/628, regs. 1(3), 9(2))
- Art. 5(6) words substituted by S.I. 2019/266 reg. 56(e)(i) (This amendment not applied to legislation.gov.uk. Reg. 56(e)(i)(ii) substituted for reg. 56(e)(i)-(iii) immediately before IP completion day by S.I. 2020/628, regs. 1(3), 9(2))
- Art. 5(6) words substituted by S.I. 2019/266, reg. 56(e)(i) (as substituted) by S.I. 2020/628 reg. 9(2)
- Art. 5(6) words substituted by S.I. 2019/266, reg. 56(e)(ii) (as substituted) by S.I. 2020/628 reg. 9(2)
- Art. 5(7) omitted by S.I. 2019/266 reg. 56(f) (This amendment not applied to legislation.gov.uk. Reg. 56(f) substituted (30.9.2020) by S.I. 2020/1055, regs. 1(2), 11(4)(b))
- Art. 5(7) words substituted by S.I. 2019/266, reg. 56(f)(i) (as substituted) by S.I. 2020/1055 reg. 11(4)(b)
- Art. 5(7) words substituted by S.I. 2019/266, reg. 56(f)(ii) (as substituted) by S.I. 2020/1055 reg. 11(4)(b)
- Art. 5(7) words substituted by S.I. 2019/266, reg. 56(f)(iii) (as substituted) by S.I. 2020/1055 reg. 11(4)(b)
- Art. 5(8) words omitted by S.I. 2019/266 reg. 56(g)
- Art. 5a(2) words substituted by S.I. 2019/266 reg. 57
- Art. 5b omitted by S.I. 2019/266 reg. 58
- Art. 5c substituted by S.I. 2019/266 reg. 59
- Art. 6(3) words substituted by S.I. 2019/266 reg. 60
- Art. 6b(6) omitted by S.I. 2019/266 reg. 61
- Art. 8a(1) word substituted by S.I. 2019/266 reg. 63(a)
- Art. 8a(3) words substituted by S.I. 2019/266 reg. 63(b)
- Art. 8b word substituted by S.I. 2019/266 reg. 64(b) (This amendment not applied to legislation.gov.uk. Reg. 64 omitted immediately before IP completion day by virtue of S.I. 2019/710, regs. 1(2), 23)
- Art. 8b words substituted by S.I. 2019/266 reg. 64(a) (This amendment not applied to legislation.gov.uk. Reg. 64 omitted immediately before IP completion day by virtue of S.I. 2019/710, regs. 1(2), 23)
- Art. 8b words substituted by S.I. 2019/266 reg. 64(c) (This amendment not applied to legislation.gov.uk. Reg. 64 omitted immediately before IP completion day by virtue of S.I. 2019/710, regs. 1(2), 23)
- Art. 8b words substituted by S.I. 2019/266 reg. 64(d) (This amendment not applied to legislation.gov.uk. Reg. 64 omitted immediately before IP completion day by virtue of S.I. 2019/710, regs. 1(2), 23)
- Art. 8d words substituted by S.I. 2019/266 reg. 65
- Art. 9 words substituted by S.I. 2019/266 reg. 66
- Art. 10(2a) words substituted by S.I. 2019/266 reg. 67(a)(i)
- Art. 10(2a) words substituted by S.I. 2019/266 reg. 67(a)(ii)
- Art. 10(6) words substituted by S.I. 2019/266 reg. 67(b)
- Art. 11(2) words substituted by S.I. 2019/266 reg. 68(a)
- Art. 11(2) words substituted by S.I. 2019/266 reg. 68(b)
- Art. 11a heading words substituted by S.I. 2019/266 reg. 69(a)
- Art. 11a(1) words substituted by S.I. 2019/266 reg. 69(b)
- Art. 11a(2) words omitted by S.I. 2019/266 reg. 69(c)(ii)
- Art. 11a(2) words omitted by S.I. 2019/266 reg. 69(c)(iii)
- Art. 11a(2) words substituted by S.I. 2019/266 reg. 69(c)(i)
- Art. 14(1) words substituted by S.I. 2019/266 reg. 70(a)
- Art. 14(2) words omitted by S.I. 2019/266 reg. 70(b)(ii)
- Art. 14(2) words substituted by S.I. 2019/266 reg. 70(b)(i)
- Art. 14(3) words substituted by S.I. 2019/266 reg. 70(c)(i)
- Art. 14(3) words substituted by S.I. 2019/266 reg. 70(c)(ii)
- Art. 14(4) words substituted by S.I. 2019/266 reg. 70(d)
- Art. 14(5) words substituted by S.I. 2019/266 reg. 70(d)
- Art. 15(1) words substituted by S.I. 2019/266 reg. 71(a)
- Art. 15(2) words substituted by S.I. 2019/266 reg. 71(a)
- Art. 15(3) word substituted by S.I. 2019/266 reg. 71(b)
- Art. 15(3) words omitted by S.I. 2019/266 reg. 71(b)
- Art. 15(4) words substituted by S.I. 2019/266 reg. 71(c)
- Art. 16 heading words substituted by S.I. 2019/266 reg. 72(a)
- Art. 16(1) words substituted by S.I. 2019/266 reg. 72(b)
- Art. 16(2) words substituted by S.I. 2019/266 reg. 72(c)
- Art. 16(3)(4) words substituted by S.I. 2019/266 reg. 72(d)
- Art. 17 heading words substituted by S.I. 2019/266 reg. 73(a)
- Art. 17(1) words substituted by S.I. 2019/266 reg. 73(b)
- Art. 17(2) words substituted by S.I. 2019/266 reg. 73(b)
- Art. 17(3) words substituted by S.I. 2019/266 reg. 73(c)
- Art. 17(4) words substituted by S.I. 2019/266 reg. 73(c)
- Art. 18 substituted by S.I. 2019/266 reg. 74
- Art. 19 omitted by S.I. 2019/266 reg. 76
- Art. 20 substituted by S.I. 2019/266 reg. 77
- Art. 21 heading substituted by S.I. 2019/266 reg. 79(a)
- Art. 21(1) word substituted by S.I. 2019/266 reg. 79(b)
- Art. 21(2) omitted by S.I. 2019/266 reg. 79(c)
- Art. 21(3) omitted by S.I. 2019/266 reg. 79(d)
- Art. 21(4) words omitted by S.I. 2019/266 reg. 79(e)(iii)
- Art. 21(4) words substituted by S.I. 2019/266 reg. 79(e)(i)
- Art. 21(4a) words omitted by S.I. 2019/266 reg. 79(f)(iii)
- Art. 21(4a) words substituted by S.I. 2019/266 reg. 79(f)(i)
- Art. 21(4b) omitted by S.I. 2019/266 reg. 79(g)
- Art. 21(5) words substituted by S.I. 2019/266 reg. 79(h)
- Art. 21(6) words substituted by S.I. 2019/266 reg. 79(i)(i)
- Art. 21(6) words substituted by S.I. 2019/266 reg. 79(i)(ii)
- Art. 21(6) words substituted by S.I. 2019/266 reg. 79(i)(iii)
- Art. 21(7) omitted by S.I. 2019/266 reg. 79(j)
- Art. 22 omitted by S.I. 2019/266 reg. 80
- Art. 22a(1)(2) words substituted by S.I. 2019/266 reg. 81
- Art. 23 words substituted by S.I. 2019/266 reg. 82
- Art. 23a-23e omitted by S.I. 2019/266 reg. 83
- Art. 24 substituted by S.I. 2019/266 reg. 84
- Art. 25 omitted by S.I. 2019/266 reg. 85
- Art. 25a omitted by S.I. 2019/266 reg. 85
- Art. 26 27 omitted by S.I. 2019/266 reg. 87
- Art. 30 31 omitted by S.I. 2019/266 reg. 88
- Art. 32 omitted by S.I. 2022/1080 reg. 5(2)
- Art. 32(1) word substituted by S.I. 2019/266 reg. 89(a)(i)
- Art. 32(1) words omitted by S.I. 2019/266 reg. 89(a)(ii)
- Art. 32(1) words omitted by S.I. 2019/266 reg. 89(a)(iii)
- Art. 32(2) word substituted by S.I. 2019/266 reg. 89(b)(i)
- Art. 32(2) words omitted by S.I. 2019/266 reg. 89(b)(iv)
- Art. 32(2) words omitted by S.I. 2019/266 reg. 89(b)(v)
- Art. 32(2) words omitted by S.I. 2019/266 reg. 89(b)(vi)
- Art. 32(2) words substituted by S.I. 2019/266 reg. 89(b)(ii)
- Art. 32(2) words substituted by S.I. 2019/266 reg. 89(b)(iii)
- Art. 34 words substituted by S.I. 2019/266 reg. 90(a)
- Art. 34 words substituted by S.I. 2019/266 reg. 90(b)
- Art. 34 words substituted by S.I. 2019/266 reg. 90(c)
- Art. 34 words substituted by S.I. 2022/1080 reg. 5(3)
- Art. 35 words omitted by S.I. 2019/266 reg. 91(c)
- Art. 35 words substituted by S.I. 2019/266 reg. 91(a)
- Art. 35 words substituted by S.I. 2019/266 reg. 91(b)
- Art. 35a(2) words omitted by S.I. 2019/266 reg. 92(a)
- Art. 35a(4) words omitted by S.I. 2019/266 reg. 92(c)(ii)
- Art. 35a(4) words substituted by S.I. 2019/266 reg. 92(c)(i)
- Art. 35a(5) words substituted by S.I. 2019/266 reg. 92(d)
- Art. 35a(6) words substituted by S.I. 2019/266 reg. 92(e)(i)
- Art. 35a(6) words substituted by S.I. 2019/266 reg. 92(e)(ii)
- Art. 36-36e omitted by S.I. 2019/266 reg. 94
- Art. 37 words substituted by S.I. 2019/266 reg. 95(a) (This amendment not applied to legislation.gov.uk. Reg. 95 substituted immediately before IP completion day by S.I. 2020/628, regs. 1(3), 9(3))
- Art. 37 words substituted by S.I. 2019/266 reg. 95(b) (This amendment not applied to legislation.gov.uk. Reg. 95 substituted immediately before IP completion day by S.I. 2020/628, regs. 1(3), 9(3))
- Art. 37 words substituted by S.I. 2019/266, reg. 95 (as substituted) by S.I. 2020/628 reg. 9(3)
- Art. 38-41 omitted by S.I. 2019/266 reg. 96 (This amendment not applied to legislation.gov.uk. Reg. 96 substituted immediately before IP completion day by S.I. 2020/628, regs. 1(3), 9(4))
- Art. 38 substituted by S.I. 2019/266, reg. 96(1) (as substituted) by S.I. 2020/628 reg. 9(4)
- Art. 38a-41 omitted by virtue of S.I. 2019/266, reg. 96(2) (as substituted) by S.I. 2020/628 reg. 9(4)
Newidiadau ac effeithiau heb eu gweithredu eto ar yr eitem ddeddfwriaeth gyfan a’r darpariaethau cysylltiedig.
- Ch. 2 heading words substituted by S.I. 2019/266 reg. 78
- Ch. 3 heading substituted by S.I. 2019/266 reg. 86
- Annex 1 s. C para. 1 words substituted by S.I. 2019/266 reg. 97(b)
- Annex 1 s. D Pt. 3 para. 3 words substituted by S.I. 2019/266 reg. 97(c)
- Annex 1 s. E Pt. 3 para. 1 words substituted by S.I. 2019/266 reg. 97(d)
- Annex 1 s. E Pt. 3 para. 8 words substituted by S.I. 2019/266 reg. 97(e)(i)
- Annex 1 s. E Pt. 3 para. 8 words substituted by S.I. 2019/266 reg. 97(e)(ii)
- Annex 3 Pt. 2 point 7 omitted by S.I. 2019/266 reg. 99(c)(ii)
- Annex 3 Pt. 2 point 8 omitted by S.I. 2019/266 reg. 99(c)(ii)
- Annex 3 Pt. 1 point 10 words substituted by S.I. 2019/266 reg. 99(b)(i)
- Annex 3 Pt. 1 point 50 words substituted by S.I. 2019/266 reg. 99(b)(ii)
- Annex 3 Pt. 1 point 52 words substituted by S.I. 2019/266 reg. 99(b)(iii)
- Annex 3 Pt. 1 point 55 words substituted by S.I. 2019/266 reg. 99(b)(iv)
- Annex 3 Pt. 2 point 2 words substituted by S.I. 2019/266 reg. 99(c)(i)
- Annex 3 Pt. 2 point 3a words substituted by S.I. 2019/266 reg. 99(c)(i)
- Annex 3 Pt. 2 point 3c words substituted by S.I. 2019/266 reg. 99(c)(i)
- Annex 3 Pt. 2 point 5 words substituted by S.I. 2019/266 reg. 99(c)(i)
- Annex 3 Pt. 2 point 6 words substituted by S.I. 2019/266 reg. 99(c)(i)
- Annex 3 Pt. 3 point 4a words substituted by S.I. 2019/266 reg. 99(d)
- Art. 2(2)(c) words substituted by S.I. 2019/266 reg. 53(b)(i)
- Art. 2(2)(d) words substituted by S.I. 2019/266 reg. 53(b)(ii)
- Art. 2(2)(d)(iv) words substituted by S.I. 2019/266 reg. 53(b)(iii)
- Art. 3(2)(a)(b) substituted by S.I. 2019/266 reg. 54(b)
- art. 4(1A)(1B) inserted by S.I. 2019/266 reg. 55(c)
- art. 4(1A)(1B) words substituted in earlier amending provision S.I. 2019/266, reg. 55(c) by S.I. 2020/1301 reg. 3 Sch. para. 16
- Art. 4(3)(b) words substituted by S.I. 2019/266 reg. 55(d)(i)
- Art. 4(3)(c)(d) word substituted by S.I. 2019/266 reg. 55(d)(ii)
- Art. 4(3)(g) words substituted by S.I. 2019/266 reg. 55(d)(iii)
- Art. 4(3)(h) omitted by S.I. 2019/266 reg. 55(d)(iv)
- Art. 5(1)(b) substituted by S.I. 2019/266, reg. 56(a)(ii) (as substituted) by S.I. 2020/1055 reg. 11(4)(a)
- Art. 5(1)(b) words substituted by S.I. 2019/266 reg. 56(a)(ii) (This amendment not applied to legislation.gov.uk. Reg. 56(a) substituted (30.9.2020) by S.I. 2020/1055, regs. 1(2), 11(4)(a))
- Art. 5(1)(c) omitted by S.I. 2019/266 reg. 56(a)(iii) (This amendment not applied to legislation.gov.uk. Reg. 56(a) substituted (30.9.2020) by S.I. 2020/1055, regs. 1(2), 11(4)(a))
- Art. 5(1)(c) words inserted by S.I. 2019/266, reg. 56(a)(iii)(aa) (as substituted) by S.I. 2020/1055 reg. 11(4)(a)
- Art. 5(1)(c) words substituted by S.I. 2019/266, reg. 56(a)(iii)(bb) (as substituted) by S.I. 2020/1055 reg. 11(4)(a)
- Art. 5(1)(d) words substituted by S.I. 2019/266 reg. 56(a)(iv) (This amendment not applied to legislation.gov.uk. Reg. 56(a) substituted (30.9.2020) by S.I. 2020/1055, regs. 1(2), 11(4)(a))
- Art. 5(1)(d) words substituted by S.I. 2019/266, reg. 56(a)(iv) (as substituted) by S.I. 2020/1055 reg. 11(4)(a)
- Art. 5(4)(b) words substituted by S.I. 2019/266 reg. 56(d)(i)
- Art. 5(6)(c) words substituted by S.I. 2019/266 reg. 56(e)(iii) (This amendment not applied to legislation.gov.uk. Reg. 56(e)(i)(ii) substituted for reg. 56(e)(i)-(iii) immediately before IP completion day by S.I. 2020/628, regs. 1(3), 9(2))
- Art. 8(6)(aa) words substituted by S.I. 2019/266 reg. 62(a)
- Art. 8(7)(a) words substituted by S.I. 2019/266 reg. 62(b)
- Art. 18A inserted by S.I. 2019/266 reg. 75
- Art. 21(4)(e) words substituted by S.I. 2019/266 reg. 79(e)(ii)
- Art. 21(4a)(a)(b) words substituted by S.I. 2019/266 reg. 79(f)(ii)
- Art. 35a(3)(b) words substituted by S.I. 2019/266 reg. 92(b)
- Art. 38(2)(a) word omitted in earlier amending provision S.I. 2019/266, reg. 96(1) by S.I. 2020/1055 reg. 14(a)
- Art. 38(2)(b) words substituted in earlier amending provision S.I. 2019/266, reg. 96(1) by S.I. 2020/1055 reg. 14(b)
- Art. 38(2)(c) inserted in earlier amending provision S.I. 2019/266, reg. 96(1) by S.I. 2020/1055 reg. 14(c)
TITLE II ISSUING OF CREDIT RATINGS
Article 6.Independence and avoidance of conflicts of interest
Article 6a. Conflicts of interest concerning investments in credit rating agencies
Article 6b. Maximum duration of the contractual relationship with a credit rating agency
Article 7.Rating analysts, employees and other persons involved in the issuing of credit ratings
Article 8c. Double credit rating of securitisation instruments
TITLE III SURVEILLANCE OF CREDIT RATING ACTIVITIES
CHAPTER I Registration procedure
Article 16. Examination of the application for registration of a credit rating agency by ESMA
Article 17. Examination of the applications for registration of a group of credit rating agencies by ESMA
Article 18. Notification of a decision to register, refuse or withdraw registration, and publication of the list of registered credit rating agencies
CHAPTER II Supervision by ESMA
Article 22a. Examination of compliance with methodology requirements
Article 23. Non-interference with content of ratings or methodologies
Article 23a. Exercise of the powers referred to in Articles 23b to 23d
Article 23e. Procedural rules for taking supervisory measures and imposing fines
Article 25a. Sectoral competent authorities responsible for the supervision and enforcement of Article 4(1) and Articles 5a, 8b, 8c and 8d
CHAPTER III Cooperation between ESMA, competent authorities and sectoral competent authorities
Article 28. Cooperation in case of a request with regard to on-site inspections or investigations
Article 30. Delegation of tasks by ESMA to competent authorities
Article 31. Notifications and suspension requests by competent authorities
Article 33. Disclosure of information from another Member State
TITLE IV PENALTIES, COMMITTEE PROCEDURE, REPORTING AND TRANSITIONAL AND FINAL PROVISIONS
INDEPENDENCE AND AVOIDANCE OF CONFLICTS OF INTEREST
Section A Organisational requirements
1. The credit rating agency shall have an administrative or supervisory...
3. A credit rating agency shall establish adequate policies and procedures...
4. A credit rating agency shall have sound administrative and accounting...
5. A credit rating agency shall establish and maintain a permanent...
6. In order to enable the compliance function to discharge its...
7. A credit rating agency shall establish appropriate and effective organisational...
8. A credit rating agency shall employ appropriate systems, resources and...
9. A credit rating agency shall establish a review function responsible...
10. A credit rating agency shall monitor and evaluate the adequacy...
Section B Operational requirements
1. A credit rating agency shall identify, eliminate, or manage and...
2. A credit rating agency shall disclose to the public the...
3. A credit rating agency shall not issue a credit rating...
3a. A credit rating agency shall disclose where an existing credit...
3b. Provided that the information is known or should be known...
3c. A credit rating agency shall ensure that fees charged to...
4. Neither a credit rating agency nor any person holding, directly...
5. A credit rating agency shall ensure that rating analysts or...
6. A credit rating agency shall design its reporting and communication...
7. A credit rating agency shall arrange for adequate records and,...
9. Records which set out the respective rights and obligations of...
Section C Rules on rating analysts and other persons directly involved in credit rating activities
Section D Rules on the presentation of credit ratings and rating outlooks
1. A credit rating agency shall ensure that any credit rating...
2a. A credit rating agency shall accompany the disclosure of rating...
3. The credit rating agency shall inform the rated entity during...
4. A credit rating agency shall state clearly and prominently when...
5. When announcing a credit rating or a rating outlook, a...
6. A credit rating agency shall disclose on its website, and...
II. Additional obligations in relation to credit ratings of securitisation instruments...
III. Additional obligations in relation to sovereign ratings
1. detailed information on legal structure and ownership of the credit...
2. a description of the internal control mechanisms ensuring quality of...
3. statistics on the allocation of its staff to new credit...
5. the outcome of the annual internal review of its independent...
6. a description of its management and rating analyst rotation policy;...
7. financial information on the revenue of the credit rating agency,...
8. a governance statement within the meaning of Article 46a(1) of...
INFORMATION TO BE PROVIDED IN THE APPLICATION FOR REGISTRATION
4. Class of credit ratings for which the credit rating agency...
9. Information regarding subsidiaries of credit rating agency
10. Description of the procedures and methodologies used to issue and...
11. Policies and procedures to identify, manage and disclose any conflicts...
14. Services other than credit rating activities, which the credit rating...
15. Programme of operations, including indications of where the main business...
16. Documents and detailed information related to the expected use of...
17. Documents and detailed information related to the expected outsourcing arrangements...
List of infringements referred to in Article 24(1) and Article 36a(1)
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Mae deddfwriaeth ar gael mewn fersiynau gwahanol:
Y Diweddaraf sydd Ar Gael (diwygiedig):Y fersiwn ddiweddaraf sydd ar gael o’r ddeddfwriaeth yn cynnwys newidiadau a wnaed gan ddeddfwriaeth ddilynol ac wedi eu gweithredu gan ein tîm golygyddol. Gellir gweld y newidiadau nad ydym wedi eu gweithredu i’r testun eto yn yr ardal ‘Newidiadau i Ddeddfwriaeth’.
Gwreiddiol (Fel y’i mabwysiadwyd gan yr UE): Mae'r wreiddiol version of the legislation as it stood when it was first adopted in the EU. No changes have been applied to the text.
Dewisiadau Agor
Dewisiadau gwahanol i agor deddfwriaeth er mwyn gweld rhagor o gynnwys ar y sgrin ar yr un pryd
Rhagor o Adnoddau
Gallwch wneud defnydd o ddogfennau atodol hanfodol a gwybodaeth ar gyfer yr eitem ddeddfwriaeth o’r tab hwn. Yn ddibynnol ar yr eitem ddeddfwriaeth sydd i’w gweld, gallai hyn gynnwys:
- y PDF print gwreiddiol y fel adopted version that was used for the EU Official Journal
- rhestr o newidiadau a wnaed gan a/neu yn effeithio ar yr eitem hon o ddeddfwriaeth
- pob fformat o’r holl ddogfennau cysylltiedig
- slipiau cywiro
- dolenni i ddeddfwriaeth gysylltiedig ac adnoddau gwybodaeth eraill
Llinell Amser Newidiadau
Mae’r llinell amser yma yn dangos y fersiynau gwahanol a gymerwyd o EUR-Lex yn ogystal ag unrhyw fersiynau dilynol a grëwyd ar ôl y diwrnod ymadael o ganlyniad i newidiadau a wnaed gan ddeddfwriaeth y Deyrnas Unedig.
Cymerir dyddiadau fersiynau’r UE o ddyddiadau’r dogfennau ar EUR-Lex ac efallai na fyddant yn cyfateb â’r adeg pan ddaeth y newidiadau i rym ar gyfer y ddogfen.
Ar gyfer unrhyw fersiynau a grëwyd ar ôl y diwrnod ymadael o ganlyniad i newidiadau a wnaed gan ddeddfwriaeth y Deyrnas Unedig, bydd y dyddiad yn cyd-fynd â’r dyddiad cynharaf y daeth y newid (e.e. ychwanegiad, diddymiad neu gyfnewidiad) a weithredwyd i rym. Am ragor o wybodaeth gweler ein canllaw i ddeddfwriaeth ddiwygiedig ar Ddeall Deddfwriaeth.
Rhagor o Adnoddau
Defnyddiwch y ddewislen hon i agor dogfennau hanfodol sy’n cyd-fynd â’r ddeddfwriaeth a gwybodaeth am yr eitem hon o ddeddfwriaeth. Gan ddibynnu ar yr eitem o ddeddfwriaeth sy’n cael ei gweld gall hyn gynnwys:
- y PDF print gwreiddiol y fel adopted fersiwn a ddefnyddiwyd am y copi print
- slipiau cywiro
liciwch ‘Gweld Mwy’ neu ddewis ‘Rhagor o Adnoddau’ am wybodaeth ychwanegol gan gynnwys
- rhestr o newidiadau a wnaed gan a/neu yn effeithio ar yr eitem hon o ddeddfwriaeth
- manylion rhoi grym a newid cyffredinol
- pob fformat o’r holl ddogfennau cysylltiedig
- dolenni i ddeddfwriaeth gysylltiedig ac adnoddau gwybodaeth eraill
Mae’r holl gynnwys ar gael dan Drwydded Llywodraeth Agored v3.0 ac eithrio ble nodir yn wahanol. Yn ychwanegol mae’r safle hwn â chynnwys sy’n deillio o EUR-Lex, a ailddefnyddiwyd dan delerau Penderfyniad y Comisiwn 2011/833/EU ar ailddefnyddio dogfennau o sefydliadau’r UE. Am ragor o wybodaeth gweler ddatganiad cyhoeddus Swyddfa Gyhoeddiadau’r UE ar ailddefnyddio.