Microsoft Word - credit rating agency.doc เอกสารรับฟงความคิดเห็น เร่ือง บริษัทจัดอันดับความนาเชื่อถือที่เปนที่ยอมรบัในระดับภูมิภาค ฝายวิจัยและยทุธศาสตร สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาด
appropriate knowledge and expertise, and that the information it uses in determining A-6 credit ratings is of sufficient quality and obtained from reliable sources to support a high quality credit rating. 1.4 A
obtained from reliable sources to support a high quality credit rating. 1.4 A CRA should avoid issuing credit ratings for entities or obligations for which it does not have appropriate information, knowledge
payment] ▪ Investors who seek stable returns or capital protection. ▪ Investors who intend to invest solely in fixed income securities with good credit rating, high, liquidity, and low-price volatility as
with good credit rating, high liquidity, and low-price volatility. 4 ▪ has a net exposure in deposit or fixed income securities at any time not less than 80% of the NAV. ▪ in case the fund has net
securities with good credit rating, high, liquidity, and low-price volatility as this CIS is not restricted by investment regulations like those of Money Market Fund. 4 ▪ has a net exposure in deposit or fixed
: An audit firm did not have procedures for mitigating risk when the firm accepted high-risk engagements. Example 6 : There was either no risk assessment or insufficient risk assessment for rating new
performance rating tends to deliver high quality audits, as defined by relevant standards. This is due to the fact that good quality control system on engagement performance normally means the firms having
limit ไมเกิน35% High quality limitไมต่ํากวา 80% (4) Specific fund (ขอ 82) - ทรัพยสินที่ไดรับ rating ระดบั investment grade - กรณี fund Company limit ไมเกิน 25% fund limit ไมเกิน 25% (5) กองทุนรวมด
liquidity and high risk (cherry picking); (2) shall use the latest issuance of credit rating information made by the reliable credit rating agencies approved by the SEC Office in pursuant to the Notification