Record retention requirement: ESG rating providers must keep specified records and notify the regulator of their location. Every ESG rating provider must retain specified books, records and documents-including financial statements, auditors' reports, client agreements and information, client correspondence, ESG ratings with upgrades/downgrades, rating notes and rationale, rating communications, particulars of fees, and other Board-specified records-for a minimum of five years, and must inform the Board of the place where these records are maintained.
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.
Record retention requirement: ESG rating providers must keep specified records and notify the regulator of their location.
Every ESG rating provider must retain specified books, records and documents-including financial statements, auditors' reports, client agreements and information, client correspondence, ESG ratings with upgrades/downgrades, rating notes and rationale, rating communications, particulars of fees, and other Board-specified records-for a minimum of five years, and must inform the Board of the place where these records are maintained.
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