S.L. 370.5 Art. 14Provision of information.

(1) The subject person shall make information pertaining to customers’ instruments and money readily available to the following entities:

(a) the competent authority;

(b) appointed insolvency practitioners; and

(c) the resolution authority.

(2) The information to be made available in terms of sub-regulation (1) shall include the following:

(a) related internal accounts and records that readily identify the balances of money and instruments held for each customer;

(b) where customer money are held by the subject person in accordance with regulation 9, as well as details of the accounts where customer money are held and the relevant agreements with those entities;

(c) where instruments held by the subject person in accordance with regulation 8, as well as details of accounts opened with third parties and the relevant agreements with those entities;

(d) details of third parties carrying out any related outsourced tasks and details of any outsourced tasks;

(e) key individuals of the subject person involved in related processes, including those responsible for oversight of the subject person’s requirements in relation to the safeguarding of customer assets; and

(f) agreements relevant to establish customer ownership over assets.