Microsoft Word - credit rating agency.doc เอกสารรับฟงความคิดเห็น เร่ือง บริษัทจัดอันดับความนาเชื่อถือที่เปนที่ยอมรบัในระดับภูมิภาค ฝายวิจัยและยทุธศาสตร สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาด

A-1 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING AGENCIES THE BOARD OF THE INTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONS REVISED MARCH 2015 A-2 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING

derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both parties and

derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both parties and

applicable agreement or mutual understanding that the CRA will keep the information confidential, unless disclosure is required by applicable law or regulation. d. With respect to a pending credit rating

USD 350 million or not exceed Baht 11,073 million1. The Company and/or its subsidiary may be required to enter into agreement with financial institutions relating to the borrowing of loans, giving

materially affect investors’ investment decision such as 1. serious damages 2. changing in issuer’s objects or the nature of business 3. events of default 4. entering into an agreement entrusting other persons

agreement on custody of clients’ assets, which indicates the rights, duties and responsibilities of both parties. In any case, such contract or agreement shall not have any statement denying or limiting the

agreement on custody of clients’ assets, which indicates the rights, duties and responsibilities of both parties. In any case, such contract or agreement shall not have any statement denying or limiting the

Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who