creditworthiness of the type of entity or obligation being rated. 1.9 A CRA should maintain internal records that are accurate and sufficiently detailed and comprehensive to reconstruct the credit rating process for
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
inappropriateness regarding the sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business
specified in the Notification of the Securities and Exchange Commission with the approval of the Cabinet, excluding any currencies; “derivatives exchange” means an entity licensed to operate business as a
Rules for Being Settlor and Trustee of Real Estate Investment Trust
Rules Conditions and Procedures for Being Director or Executive of Other Securities Companies
Short Selling of ETF and Securities Being Underlying of ETF by a Securities Company
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Rules for Being Settlor and Trustee of Real Estate Investment Trust (Codified)