investors and other users of credit ratings assess credit risks. Maintaining the independence of CRAs vis- à-vis the entities and obligations they rate is vital to achieving this goal. Provisions of the IOSCO
, according to higher cost. Moreover, to keep market share, company needed to launch price promotion in vital channel. Financial results of 9-month ended period ● Considering year to date result, total sales
accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital market will
knowledge in accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This
B.E. 2539 to 30th September B.E. 2540, the procedure of which shall accord with criteria and procedure specified in Clause 3. [Added by the Ministerial Regulation No. 7 (B.E. 2539) promulgated under the
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
government agency and state enterprise under the law on budgetary procedure; (8) the Financial Institutions Development Fund; (9) a juristic person having total assets of five hundred million baht or more
. Notification of the Securities and Exchange Commission  Kor.Dor. 17/2539 Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar (Codefied