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        SEBI

        Regulation 17 - Internal procedures to be framed

        Securities and Exchange Board of India (Credit Rating Agencies) Regulations, 1999
        Chapter III
        GENERAL OBLIGATIONS OF CREDIT RATING AGENCIES

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        Internal trading controls required to prevent insider trading and fraudulent market practices by credit rating agency employees. Credit rating agencies must establish internal procedures and systems to monitor employees' trading in clients' securities, aimed at preventing contravention of insider trading regulations, rules prohibiting fraudulent and unfair trade practices, and other laws relevant to securities trading.
                          Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
                            Provisions expressly mentioned in the judgment/order text.

                                Internal trading controls required to prevent insider trading and fraudulent market practices by credit rating agency employees.

                                Credit rating agencies must establish internal procedures and systems to monitor employees' trading in clients' securities, aimed at preventing contravention of insider trading regulations, rules prohibiting fraudulent and unfair trade practices, and other laws relevant to securities trading.


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