Conduct containing the following measures: 1. QUALITY AND INTEGRITY OF THE CREDIT RATING PROCESS A. Quality of the Credit Rating Process 1.1 A CRA should establish, maintain, document, and enforce a credit

Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking

Process 1.1 A CRA should establish, maintain, document, and enforce a credit rating methodology for each class of entity or obligation for which the CRA issues credit ratings. Each credit rating methodology

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

also prosper. Effective stewardship benefits companies, investors and the economy as a whole. 2. In publicly listed companies responsibility for stewardship is shared. The primary responsibility rests

stock availability before executing orders / post-trade monitoring of short and long sell transactions, ensuring efficient order processing systems Q3/2024 2.5 Establish a central platform for checking

approval from the board of directors of the intermediary or a committee assigned by such board of directors. Clause 5 An intermediary shall establish at least the following operating systems to support its

approval from the board of directors of the intermediary or a committee assigned by such board of directors. Clause 5 An intermediary shall establish at least the following operating systems to support its

. The Principles are the ICGN’s primary standard for well governed companies and set the framework for a global work programme focused around influencing public policy, informing governance dialogue and

with Chapter 4; (5) additional rules in accordance with Chapter 5. 3 Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented