complete information to the marketplace and the CRAs they solicit to provide credit ratings. While aspects of the IOSCO CRA Code deal with a investor protection by safeguarding the integrity of the credit
companies comply with the following key regulations: 1) To provide several investment plans for members to choose from, including a qualified default policy for those without expressed preference; 2) To
profile or qualifications of each director as well as the reason that board of directors appointed both of them to serve as audit committee to provide investors and involved person with information for
process work? How often are job evaluations made? 3 Does the firm have job evaluation forms or criteria specific (e.g., job portfolio) for each staff level? Please provide us with evaluation forms of all
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest