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        SEBI

        Regulation 28N - Internal procedures to be framed

        Securities and Exchange Board of India (Credit Rating Agencies) Regulations, 1999
        Chapter IVA
        ESG RATING PROVIDERS

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        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.
                          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.

                                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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