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Commission Delegated Regulation (EU) No 449/2012Show full title

Commission Delegated Regulation (EU) No 449/2012 of 21 March 2012 supplementing Regulation (EC) No 1060/2009 of the European Parliament and of the Council with regard to regulatory technical standards on information for registration and certification of credit rating agencies (Text with EEA relevance)

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Article 6Policies and procedures

1.Policies and procedures provided in an application shall contain or be accompanied by:

(a)an indication of who is responsible for the approval and maintenance of the policies and procedures;

(b)a description of how compliance with the policies and procedures will be enforced and monitored and who is responsible for this;

(c)a description of the measures undertaken in the event of a breach of the policies;

(d)an indication of the procedure for reporting to ESMA a material breach of the policy or procedure which may result in a breach of the conditions for initial registration or certification.

2.A credit rating agency may fulfil the obligation to provide information regarding its policies and procedures under this Regulation by submitting a copy of the relevant policies and procedures.

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