rating agencies in response to the changing business environment and in line with the International Organization of Securities Commissions (IOSCO) standards. The revision requires that locally-based CRAs
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
firm executives against whom the SEC files a criminal complaint as person of untrustworthy characteristics, active participation of minority shareholders in Extraordinary General Meeting of Shareholders
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
Asset Management Businesses Credit Rating Businesses https://www.sec.or.th/EN/Pages/MarketData/InformationofIntermediaries.aspx English (United States) CreditRatingBusiness / Derivatives Businesses
บนัจดัอนัดบัความน่าเช่ือถือท่ีไดรั้บความเห็นชอบตามหมวดน้ี ตอ้งด าเนินการให้เป็นไปตามหลกัปฏิบติัในการประกอบธุรกิจการจดัอนัดบัความน่าเช่ือถือ (Code of Conduct Fundamentals for Credit Rating Agencies) ท่ีก า