over the previous year, with some findings in the substantive procedures of complex transactions or transactions that required intensive judgment. The firms can remedy deficiencies by increasing the
interest that did occur. Example 4 : The confirmations of independence and written conflict of interest declarations did not cover staff’s family and did not provide guidance to staff through examples of
the credit rating process CRAs should endeavour to issue opinions that help reduce the asymmetry of information among borrowers, lenders and other market participants; Independence and conflicts of
difficult or contentious matters or resolving differences of opinion? If yes, how does the firm ensure the independence and confidentiality of service providers? _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC
Complex Type 2 Investment Consultant
Complex Type 2 Investment Consultant
Complex Type 2 Investment Consultant
Complex Type 2 Investment Consultant
Complex Type 2 Investment Consultant
Complex Type 3 Investment Consultant