Employee trading monitoring obligations require ESG rating providers to prevent insider trading and market fraud. An ESG rating provider must establish internal procedures and systems to monitor employees' trading in clients' securities to prevent contraventions of ... Summary
Employee trading monitoring obligations require ESG rating providers to prevent insider trading and market fraud.
An ESG rating provider must establish internal procedures and systems to monitor employees' trading in clients' securities to prevent contraventions of insider trading prohibitions, measures against fraudulent and unfair trade practices, and other laws relevant to trading in securities.
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