CHAPTER 2

REGISTRATION
SECTION 5

Staffing and compensation

Fitness and appropriateness
Article 15
1
A credit rating agency shall provide ESMA with the curriculum vitae, including employment history with relevant dates, identification of positions held and a description of the functions occupied, for each of the following:
a
members of senior management;
b
persons appointed to direct the business of the branches;
c
officers responsible for internal audit, internal control, compliance function, risk assessment and review function.
2
A credit rating agency shall provide ESMA with the following information in respect of each member of its senior management:
a
a recent criminal-record file from the country of origin of the relevant person, unless the relevant national authorities do not issue such a file;
b
a self-declaration of their good repute including at least the statements set out in Annex VI and signed by the individual.