Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
oneself or other persons, in any manner that is likely to cause a disadvantage to the client: (1) placing, modifying, or cancelling a trading order of securities or derivatives related to such securities by
assurance or guarantee to an entity subject to a rating action, obligor, originator, underwriter, arranger about the outcome of a particular credit rating action. This does not preclude the CRA from
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
similar period of time; (4) Placing, modifying, or cancelling a securities trading order during the pre-opening or pre-closing period of the Securities Exchange or the over-the-counter center, as the
outcome of a particular credit rating action. This does not preclude the CRA from developing preliminary indications in a manner that is consistent with Provisions 1.22 and 2.6(d) of the IOSCO CRA Code
: The SET shall comply with the regulatory objectives and the operating rules of securities exchange. In issuing, revising or modifying its rules and regulations, the SET must conduct a hearing session
are allowed to also inform the SEC of the names of foreign business operators instead of only the names of the foreign personnel as previously required; 2. Modifying the requirements for notifying the