TRANSPARENCY, ETHICS & CONDUCT

The mission of Dagong Europe is to provide the financial markets with independent, objective, fair, transparent, timely and prospective credit risk opinion. “Sincere service to investors” is the tenet of Dagong Europe, whose credibility and future development are based on the trust of the public.

Dagong Europe aims at providing credit ratings that represent opinions reflecting the ability of an entity or security issue to meet their financial commitments. The ratings assigned by Dagong Europe Credit Rating do not address any risk other than credit risk.

Code of Conduct
Dagong Europe Code of Conduct and Internal Rules have been developed and adopted in accordance with the Regulation (EC) No 1060/2009 of the European Parliament and of the Council and following all updates related to regulatory technical standards on information for registration and certification of credit rating agencies.

The Code of Conduct also follows all provisions defined by the International Organization of Securities Commissions’ (‘IOSCO’) principles regarding the activities of credit rating agencies and ‘IOSCO Code of Conduct Fundamentals for Credit Rating Agencies’.

The Code of Conduct will govern all credit rating activities conducted by Dagong Europe and constitute the basis for all other management policies, internal regulations and controls on operational standards applied by Dagong Europe.

Each Dagong Europe employee and member of the Board of Directors should act following the Code of Conduct and highest standards for professional ethical conduct, according to every applicable law and regulation in every business activity for the purpose of preserving Dagong Europe’s reputation, trustworthiness and market respect.

Dagong Europe is committed to conduct every credit rating process in accordance with the Criteria, Procedures and Definitions established and published at Dagong Europe’s website.

Conflict of Interest
Dagong Europe has adopted written internal rules to govern and to identify and eliminate, or manage and disclose, any actual or potential Conflict of Interest that could influence the credit opinion provided by Dagong Europe, or influence the judgment of any individual employed by Dagong Europe. Dagong Europe is committed to disclose all procedures taken in place to manage Conflict of Interest.

Every Dagong Europe employee is expected to commit on protecting investors’ interests, avoiding any conflict of interest between outside entities and Dagong Europe or among internal departments, and ensuring that the credit rating process is in accordance with Dagong Europe Independence and Avoidance of Conflicts of Interest Code.

Every Dagong Europe employee and member of the Board of Directors will be subject to a yearly certification of compliance stating that they have read, understood and are and have been at all times throughout the prior year in compliance with Dagong Europe’s Codes.

Transparency Report
Dagong Europe publishes annually a transparency report which includes information on matters set out in Part III of Section E of Annex I of the Regulation (EC) No. 1060/2009 of the European Parliament and the Council and following updates.

Clients greater than 5% of Total Annual Revenue
Dagong Europe discloses annually to the public the names of the rated entities or related third parties from which it receives more than 5% of its annual revenue, according to point 2, Section B, Annex I of the Regulation no. 1060/2009 as following amended.

To access the full versions of Dagong Europe Codes, the Transparency Reports and the other transparency and regulatory documentation please refer to the documents below:

DOCUMENTS
Addendum to the Annual Transparency Report 2016
CLIENTS GREATER THAN 5% OF THE TOTAL ANNUAL REVENUE
ANNUAL TRANSPARENCY REPORT FOR 2016
Dagong Europe Code of Conduct - 29Dec2016
Dagong Europe Independence and Avoidance of Conflicts of Interest - 29Dec2016
Addendum to the Annual Transparency Report 2015
Dagong Europe Annual Transparency Report for 2015
Dagong Europe Code of Conduct, 16 March 2016
Addendum to the Annual Transparency Report for 2014
Clients Greater than 5% of Total Annual Revenue 2014
Dagong Europe Annual Transparency Report for 2014
Dagong Europe Code of Conduct
Dagong Europe Independence and Avoidance of Conflicts of Interest Code
Dagong Europe Annual Transparency Report for 2013
Clients Greater than 5% of Total Annual Revenue 2013
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