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) (c. 1060)

ANNEX II U.K. INFORMATION TO BE PROVIDED IN THE APPLICATION FOR REGISTRATION

1. Full name of the credit rating agency, address of the registered office within the [F1 Union] U.K.

Textual Amendments

F1 Substituted by Regulation (EU) No 462/2013 of the European Parliament and of the Council of 21 May 2013 amending Regulation (EC) No 1060/2009 on credit rating agencies (Text with EEA relevance).

2. Name and contact details of a contact person and of the compliance officer U.K.

3. Legal status U.K.

4. Class of credit ratings for which the credit rating agency is applying to be registered U.K.

5. Ownership structure U.K.

6. Organisational structure and corporate governance U.K.

7. Financial resources to perform credit rating activities U.K.

8. Staffing of credit rating agency and its expertise U.K.

9. Information regarding subsidiaries of credit rating agency U.K.

10. Description of the procedures and methodologies used to issue and review credit ratings U.K.

11. Policies and procedures to identify, manage and disclose any conflicts of interests U.K.

12. Information regarding rating analysts U.K.

13. Compensation and performance evaluation arrangements U.K.

14. Services other than credit rating activities, which the credit rating agency intends to provide U.K.

15. Programme of operations, including indications of where the main business activities are expected to be carried out, branches to be established, and setting out the type of business envisaged U.K.

16. Documents and detailed information related to the expected use of endorsement U.K.

17. Documents and detailed information related to the expected outsourcing arrangements including information on entities assuming outsourcing functions. U.K.