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

with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for a client to obtain

with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for a client to obtain

with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself

with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself

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

principle amount/ par value per unit/offering price per unit etc. Credit Rating………………………………………………………………….. Financial Adviser……………………………..……………………….…….. Underwriter……………………….…………………………..……….……… Representative

private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of

Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I

, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the