conflict of interest with respect to the employee or the CRA; d. Holds or transacts in a trading instrument issued by a lead underwriter or arranger of the rated obligation, the ownership of which may cause
ORGANIZATION OF SECURITIES COMMISSIONS REVISED MARCH 2015 A-2 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING AGENCIES INTRODUCTION In 1 The IOSCO CRA Principles were designed to be a useful tool for securities
Securities and Exchange Commission No. Sor Ror. 25/2558 Re: Entries and Contents of the Trust Instrument of Infrastructure Trusts ___________________ By virtue of Section 9 and 15 of the Trust for Transactions
law, the Capital Market Supervisory Board hereby issues the following regulations: Clause 1. In this Notification and the forms attached hereto: (1) “sukuk” means any financial instrument which contains
securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other asset to the instrument holder
. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
party serving as the trust manager under the trust instrument; “financial advisor” means a financial advisor in the list approved by the SEC Office; “registration statement” means the registration
Act B.E. 2535 (1992). The transferable subscription right under Paragraph 1 means a financial instrument issued by a public limited company for its shareholders in proportion to the number of shares
fund management; “fund scheme” means a mutual fund investment scheme; “obligation” means the obligation between the unit holders and the management company; “selling agent” means a person who is assigned
Notification shall come into force as from 1 December 2012. Clause 2 In this Notification: “REIT Manager” means a person specified in a trust instrument as the manager of REIT with the authority and duty to