Conduct containing the following measures: 1. QUALITY AND INTEGRITY OF THE CREDIT RATING PROCESS A. Quality of the Credit Rating Process 1.1 A CRA should establish, maintain, document, and enforce a credit
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Name of foreign collective investment scheme (CIS): Type of arrangement: ASEAN
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the
. Pornanong Budsaratragoon, SEC Secretary-General and Chairperson of the Working Group, met with executives and relevant departments to review the implementation of these measures and to establish the No Gift
RMC Chairperson, discussed with SEC executives and relevant departments to establish No Gift Policy in compliance with relevant laws and regulations. Additionally, guidelines for communication were
Process 1.1 A CRA should establish, maintain, document, and enforce a credit rating methodology for each class of entity or obligation for which the CRA issues credit ratings. Each credit rating methodology
overall creditworthiness as professional. Clause 3. The mutual fund management company shall be approved by the Office to establish and manage a mutual fund in accordance with the following rules: (1) The