+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
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TITLE III INTEGRITY AND RELIABILITY OF ESG RATING ACTIVITIES
TITLE III INTEGRITY AND RELIABILITY OF ESG RATING ACTIVITIES
1. Panoramica
1.1 Riferimenti
1.2 Requisiti identificati
1.3 Standard correlati
2. Requisiti identificati
Requisiti
| Fonte |
Requisito |
3. Standard correlati
|