+1. Record keeping information

1. Record keeping information

1.   Record keeping information

ESG rating providers shall keep records of all of the following:

(a)

for each ESG rating, where applicable:

(i)

the identity of the rating analysts participating in the determination of the ESG rating, the identity of the persons who have approved the ESG rating, information as to whether the ESG rating was solicited or unsolicited, and the date on which the ESG rating action was taken;

(ii)

the identity of the persons responsible for the development of the rule-based methodology, and the identity of the persons who have approved the rating methodology;

(b)

the account records relating to fees received from any rated item or issuer of the rated item or related third party or any user of ESG ratings;

(c)

the account records for each user of ESG ratings;

(d)

the records documenting the established procedures and rating methodologies used by the ESG rating provider to determine ESG ratings;

(e)

the internal records and external communications and files, including non-public information and work papers, used to form the basis of any ESG rating decision taken;

(f)

records of the procedures and measures implemented by the ESG rating provider to comply with this Regulation;

(g)

the methodology used for the determination of an ESG rating;

(h)

changes in, or deviations from, standard procedures and methodologies;

(i)

all documents relating to any complaint, including those submitted by a complainant.

1. Panoramica

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1.1 Riferimenti

1.2 Requisiti identificati

1.3 Standard correlati

2. Requisiti identificati

Requisiti

3. Standard correlati

Standard