+TITLE III INTEGRITY AND RELIABILITY OF ESG RATING ACTIVITIES
---+CHAPTER 1 Organisational requirements, processes and documents concerning governance
------+Article 15 General principles
---------+Article 15 1
---------+Article 15 2
---------+Article 15 3
---------+Article 15 4
---------+Article 15 5
---------+Article 15 6
---------+Article 15 7
---------+Article 15 8
---------+Article 15 9
---------+Article 15 10
---------+Article 15 11
---------+Article 15 12
---------+Article 15 13
---------+Article 15 14
------+Article 16 Separation of business and activities
---------+Article 16 1
---------+Article 16 2
---------+Article 16 3
---------+Article 16 4
---------+Article 16 5
---------+Article 16 6
------+Article 17 Rating analysts, employees and other persons involved in the provision of ESG ratings
---------+Article 17 1
---------+Article 17 2
---------+Article 17 3
---------+Article 17 4
---------+Article 17 5
---------+Article 17 6
---------+Article 17 7
---------+Article 17 8
------+Article 18 Record-keeping requirements
---------+Article 18 1
---------+Article 18 2
------+Article 19 Complaints-handling mechanism
---------+Article 19 1
---------+Article 19 2
---------+Article 19 3
------+Article 20 Reasoned concerns
---------+Article 20 1
---------+Article 20 2
------+Article 21 Outsourcing
---------+Article 21 1
---------+Article 21 2
------+Article 22 Exemptions from governance requirements
---------+Article 22 1
---------+Article 22 2
---+CHAPTER 2 Transparency requirements
------+Article 23 Disclosure to the public of the methodologies, models and key rating assumptions used in ESG rating activities
---------+Article 23 1
---------+Article 23 2
---------+Article 23 3
---------+Article 23 4
---------+Article 23 5
------+Article 24 Disclosures to users of ESG ratings, rated items and issuers of rated items
---------+Article 24 1
---------+Article 24 2
---------+Article 24 3
---------+Article 24 4
---+CHAPTER 3 Independence and conflicts of interest
------+Article 25 Independence and avoidance of conflicts of interest
---------+Article 25 1
---------+Article 25 2
---------+Article 25 3
---------+Article 25 4
---------+Article 25 5
---------+Article 25 6
---------+Article 25 7
------+Article 26 Management of potential conflicts of interest arising from employees
---------+Article 26 1
---------+Article 26 2
------+Article 27 Fair, reasonable, transparent and non-discriminatory treatment of users of ESG ratings
---------+Article 27 1
---------+Article 27 2
---+CHAPTER 4 Supervision by ESMA
------+Section 1 General principles
---------+Article 28 Non-interference with the content of ESG ratings or methodologies
---------+Article 29 ESMA
------------+Article 29 1
------------+Article 29 2
------------+Article 29 3
------------+Article 29 4
------------+Article 29 5
------------+Article 29 6
---------+Article 30 Competent authorities
------------+Article 30 1
------------+Article 30 2
---------+Article 31 Exercise of the powers referred to in Articles 32, 33 and 34
---------+Article 32 Requests for information
------------+Article 32 1
------------+Article 32 2
------------+Article 32 3
------------+Article 32 4
------------+Article 32 5
---------+Article 33 General investigations
------------+Article 33 1
------------+Article 33 2
------------+Article 33 3
------------+Article 33 4
------------+Article 33 5
------------+Article 33 6
---------+Article 34 On-site inspections
------------+Article 34 1
------------+Article 34 2
------------+Article 34 3
------------+Article 34 4
------------+Article 34 5
------------+Article 34 6
------------+Article 34 7
------------+Article 34 8
------------+Article 34 9
------+Section 2 Supervisory measures and penalties
---------+Article 35 Supervisory measures by ESMA
------------+Article 35 1
------------+Article 35 2
------------+Article 35 3
------------+Article 35 4
------------+Article 35 5
------------+Article 35 6
------------+Article 35 7
---------+Article 36 Fines
------------+Article 36 1
------------+Article 36 2
------------+Article 36 3
------------+Article 36 4
------------+Article 36 5
---------+Article 37 Periodic penalty payments
------------+Article 37 1
------------+Article 37 2
------------+Article 37 3
------------+Article 37 4
---------+Article 38 Disclosure, nature, enforcement and allocation of fines and periodic penalty payments
------------+Article 38 1
------------+Article 38 2
------------+Article 38 3
------------+Article 38 4
------+Section 3 Procedures and review
---------+Article 39 Procedural rules for taking supervisory measures and imposing fines
------------+Article 39 1
------------+Article 39 2
------------+Article 39 3
------------+Article 39 4
------------+Article 39 5
------------+Article 39 6
------------+Article 39 7
------------+Article 39 8
------------+Article 39 9
------------+Article 39 10
---------+Article 40 Hearing of persons subject to investigations
------------+Article 40 1
------------+Article 40 2
---------+Article 41 Review by the Court of Justice of the European Union
------+Section 4 Fees and delegation
---------+Article 42 Supervisory fees
------------+Article 42 1
------------+Article 42 2
---+CHAPTER 5 Cooperation between ESMA and the competent authorities
------+Article 43 Delegation of tasks by ESMA to the competent authorities
---------+Article 43 1
---------+Article 43 2
---------+Article 43 3
---------+Article 43 4
---------+Article 43 5
------+Article 44 Exchange of information
------+Article 45 Notifications and suspension requests by the competent authorities
---------+Article 45 1
---------+Article 45 2
---------+Article 45 3
---------+Article 45 4
------+Article 46 Professional secrecy
---------+Article 46 1
---------+Article 46 2

TITLE III INTEGRITY AND RELIABILITY OF ESG RATING ACTIVITIES

TITLE III INTEGRITY AND RELIABILITY OF ESG RATING ACTIVITIES

1. Overview

,
CHAPTER 1 Organisational requirements, processes and documents concerning governance CHAPTER 1 Organisational requirements, processes and documents concerning governance
CHAPTER 2 Transparency requirements CHAPTER 2 Transparency requirements
CHAPTER 3 Independence and conflicts of interest CHAPTER 3 Independence and conflicts of interest
CHAPTER 4 Supervision by ESMA CHAPTER 4 Supervision by ESMA
CHAPTER 5 Cooperation between ESMA and the competent authorities CHAPTER 5 Cooperation between ESMA and the competent authorities

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

Requirements

3. Related Standards

Standards
  • Builddate: 12.12.2024 00:00:00 -Doknr: CELEX:32024R3005
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