implement efficient, reliable and systematic credit rating methodologies and operate independently without conflicts of interest. Inputs must be managed efficiently while disclosure of public information must
being its employee. The SEC's probe into the case also revealed that {B} managed trading account for the client and used the password given by the client to submit trading orders via internet. He
) fund, which is managed by a person who has been named in a complaint filed by a foreign regulator on account of managing investment without approval. If approached with a solicitation to invest in
Rules on Application for and Granting of Approval to Undertake Trust Business (No. 2)
Rules, Conditions and Procedures for Approval of the Securitization Project (No. 2)
Re: Application and Approval for Offer for Sale of Structured Notes
Re : Application for and Approval of Offer for Sale of Newly Issued Debt Securities
Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries