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EUR-Lex Control (3,516)
| # | Name | Description |
|---|---|---|
| 1 | 32012R0648-0077: Notify competent authority of proposed acquisitions | Control: Notify competent authority of proposed acquisitions Party: Central Counterparty Control Objective: To comply with regulatory requirements when acquiring or disposing of qualifying holdings in the Central Counterparty. Description: This control outlines the process for notifying the competent authority about the acquisition or disposal of qualifying holdings in a Central Counterparty. Control Owners: Compliance Officer (Compliance Department) Control Impacts: *Regulatory Complia ... |
| 2 | 32014R0910-0001: Process Personal Data in Accordance with Directive 95/46/EC | Control: Process Personal Data in Accordance with Directive 95/46/EC Party: Data Processor Control Objective: To ensure that the processing of personal data complies with the requirements of Directive 95/46/EC. Description: This control mandates the implementation of appropriate measures to ensure the lawful, fair, and transparent processing of personal data, in compliance with Directive 95/46/EC. Control Owners: Data Protection Officer (Compliance Department) Control Impacts: *Enhanced ... |
| 3 | 32013L0036-0105: Establish a Nomination Committee | Control: Establish a Nomination Committee Party: Management Body Control Objective: To ensure effective succession planning and governance by having a competent nomination committee. Description: This control involves the establishment of a nomination committee composed of non-executive members of the management body to oversee succession planning and governance responsibilities. Control Owners: Chair of the Nomination Committee (Management Body) Control Impacts: *Enhanced Governance* ... |
| 4 | 32014R0600-0025: Disclose deferred trade-publication arrangements | Control: Disclose deferred trade-publication arrangements Party: Market Operator or Investment Firm Control Objective: To ensure transparency in the trading process by informing market participants and the public of the deferred publication arrangements. Description: This control mandates the public disclosure of any arrangements regarding the deferral of trade publication, ensuring stakeholders are informed of relevant details. Control Owners: Compliance Officer (Compliance Department) ... |
| 5 | 32016R1011-0005: Establish Internal Control Procedures for Benchmark Integrity | Control: Establish Internal Control Procedures for Benchmark Integrity Party: Benchmark Administrator Control Objective: To ensure the integrity and reliability of benchmarks prior to dissemination. Description: This control mandates the establishment of specific internal procedures to ensure thorough vetting and management approval of benchmarks before they are shared with stakeholders. Control Owners: Benchmark Administrator (Benchmark Administration Department) Control Impacts: *Impr ... |