the view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests
CRA should disclose the general nature of its compensation arrangements with rated entities, obligors, lead underwriters, or arrangers. a. When the CRA receives from a rated entity, obligor, originator
arrangements for the trust which shall be made under and in compliance with the scope, the rules and the conditions prescribed by the trust instrument; (b) the preparation and disclosure of the trust’s
the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for [i] preventing conflicts of interest, [ii
licensee is able to show that it has- (a) already provided sound and effective arrangements for management; 8 Amended by the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities
as a result of acts or omission to act intentionally or negligently [causing damage to the intermediary ]; (b) measures and arrangements for business continuity of service provider which shall include
intermediary as a result of acts or omission to act intentionally or negligently [causing damage to the intermediary]; (b) measures and arrangements for business continuity of service provider which shall