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Annex A

C 9/2020 Effective from 10/2/2021

Information or documents that may be requested under this Regulation

  1. A copy of the Operating Rules of the LVPS.
     
  2. Details of the type of services offered by the LVPS.
     
  3. Details of the constitution, structure, nature of business, ownership and management of the LVPS, the SO and the SI.
     
  4. 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.
     
  5. 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.
     
  6. 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.
     
  7. Tariff information and schedule.
     
  8. 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.
     
  9. Details of the types, volume and values of Transfer Orders processed by the LVPS.
     
  10. Detailed business contingency plan.
     
  11. 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: -

  1. Name of each of the relevant regulators where the LVPS is regulated by one or more regulatory authorities not within the State jurisdiction.
     
  2. 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.
     
  3. 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.