Book traversal links for Annex A
Annex A
C 9/2020 Effective from 10/2/2021Information or documents that may be requested under this Regulation
- A copy of the Operating Rules of the LVPS.
- Details of the type of services offered by the LVPS.
- Details of the constitution, structure, nature of business, ownership and management of the LVPS, the SO and the SI.
- Details of the design and function and external system interfaces of the LVPS, including details specifying the point at which a Transfer Order takes effect as having been entered into the LVPS and of the point after which a Transfer Order may not be revoked by a Participant Person or any other party.
- A copy of the last three annual reports, if any, and the financial statements (with any auditor’s reports) for the current financial year of the LVPS, the SO and the SI.
- The basis for membership of or participation in the LVPS (i.e. admission criteria) and a list of the current members of or Participant Persons in the LVPS.
- Tariff information and schedule.
- Names of the SO and/or SI, if any, of the LVPS and whether the SO and/or SI are also Participant Persons in the LVPS under the Operating Rules of the system. Legal contracts or documents between the SO and the SI in relation to the LVPS.
- Details of the types, volume and values of Transfer Orders processed by the LVPS.
- Detailed business contingency plan.
- Name and contact details of the Person to whom questions relating to the designation of the LVPS should be directed.
For overseas systems, the following additional information may be required: -
- Name of each of the relevant regulators where the LVPS is regulated by one or more regulatory authorities not within the State jurisdiction.
- An outline of any laws and other regulatory requirements relating to the operations of the LVPS, if regulated by a regulatory authority not within the State jurisdiction.
- Evidence of the LVPS’ compliance with any applicable laws and regulatory requirements of a jurisdiction outside State, which may include comments from home supervisory authority on the LVPS’ compliance with any applicable laws and regulatory requirements of a jurisdiction outside State.