S&P Global Ratings' policies and Code of Conduct, as on file with the United States Securities and Exchange Commission, can be accessed here.
Policies and other information are included within the exhibits to Form NRSRO, based on the subjects each exhibit addresses, as follows:
- Exhibit 1:
- Credit rating performance measurement statistics
- Exhibit 2:
- Procedures and methodologies used in determining credit ratings
- Exhibit 3:
- Policies or procedures to prevent the misuse of material, non-public information
- Exhibit 4:
- Organizational structure
- Exhibit 5:
- Code of ethics
- Exhibit 6:
- Identification of conflicts of interest
- Exhibit 7:
- Policies and procedures to address and manage conflicts of interest
- Exhibit 8:
- Certain information regarding credit analysts and credit analyst supervisors
- Exhibit 9:
- Certain information regarding the designated compliance officer
- Exhibit 10:
- Material Changes
In addition to the materials filed with Form NRSRO, certain policies and information can be accessed here.