Bangkok, 6 October 2016 ? The SEC has banned eight directors and executives of Nation Multimedia Group Public Company Limited (NMG) for having improper characteristics as specified in the SEC
one-fourth of board members by January 1, 2016. From January 1, 2016, new licensees must appoint independent directors in compliance with the specified proportion prior to commencing business
ratings of both the branches and the foreign banks. For issuances of short-term debt securities by the branches with sound financial condition and a minimum of specified capital requirement, however, rating
specified period of time depending on severity of behavior.
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
a fine on him in the amount of 5,420,324 baht.In addition, Sermkhun did not file with the SEC the reports on changes of his CMO shareholding within the specified period of time despite the fact that
, foreign issuers issuing baht bonds must seek approval from the SEC in accordance with the specified criteria, such as qualifications of foreign issuers, requirements on financial advisors and intermediaries
responsible and careful duty performance. He consequently possessed prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor Lor
of their acts, the aforesaid four persons are deemed to possess prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor
revise the rules to allow a person or a group of persons to hold investment units of any retail fund not exceeding one-third of the total units sold.In case of exceeding the unit holding limit as specified