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
(Engagement Performance) (2) ( ) 6 (Monitoring) (1) (2) 100 .20 50 - 2 - 10 technical committee 5 31 2565 17,698 0.09 3 3 1 (Leadership Responsibilities for Quality within the Firm) 3 2 (Relevant Ethical
Participants. TERMS For the purposes of the IOSCO CRA Code:5 under common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or
-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front- office function) should be clearly separated from the unit which has duties in
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
whether the code of conduct is complied: 1.3.1 Monitoring and assessment by an internal audit unit or a compliance unit; 1.3.2 Self -assessment by executives and employees; 1.3.3 Assessment by independent
undertaking and details of asset appraisal Attachment 5: Unabridged policy and guidelines on corporate governance and unabridged code of business conduct prepared by the Company Attachment 6: Report of the
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
company operate business inconsistent namely trading securities system was damaged and unable to operate in the normal condition etc. or an effect causing harm to the customer’s information or customer’s