A central counterparty must maintain adequate and orderly records of activities related to its business and internal organisation, which records must include—
(a) | the organisational charts for the controlling body and relevant committees, clearing unit, risk management unit, and all other relevant units or divisions; |
(b) | the identities of the shareholders or members, whether direct or indirect, natural or legal persons, that have qualifying holdings and the amounts of those holdings; |
(c) | the minutes of meetings of the controlling body and, if applicable, of meetings of subcommittees and of senior management committees; |
(d) | the minutes of meetings of the risk committee; |
(e) | the minutes of consultation groups with clearing members and clients, if any; |
(f) | internal and external audit reports, risk management reports, compliance reports, and reports by consultant companies, including management responses; |
(g) | the business continuity policy and disaster recovery plan; |
(h) | the liquidity plan and the daily liquidity reports; |
(i) | records reflecting all assets and liabilities and capital accounts; |
(j) | complaints received, with information on the complainant’s name, address, and account number; the date the complaint was received; the name of all persons identified in the complaint; a description of the nature of the complaint; the disposition of the complaint, and the date the complaint was resolved; |
(k) | records of any interruption of functions and services or dysfunction, including a detailed report on the timing, effects and remedial actions; |
(l) | records of the results of the back and stress tests performed; |
(m) | written communications with the Authority and other supervisory authorities; |
(n) | legal opinions received; |
(o) | where applicable, documentation regarding interoperability arrangements with other central counterparties; and |
(p) | the relevant documents describing the development of new business initiatives; |