the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better suit the
will not accept her future application for approval as personnel in the capital market for the remaining period from 31 December 2020 until the 15-month suspension ends. {A} resigned from Finansia on
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
Derivative Warrants | ITD13C1601A | DERIVATIVE CALL WARRANTS ON ITALIAN-THAI DEVELOPMENT PUBLIC COMPANY LIMITED ISSUED BY KGI SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING IN JANUARY 2016
Derivative Warrants | ITD13P1602A | DERIVATIVE PUT WARRANTS ON ITALIAN-THAI DEVELOPMENT PUBLIC COMPANY LIMITED ISSUED BY KGI SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING IN FEBRUARY 2016
Derivative Warrants | ITD11C1602A | DERIVATIVE CALL WARRANTS ON ITALIAN-THAI DEVELOPMENT PUBLIC COMPANY LIMITED ISSUED BY KASIKORN SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN FEBRUARY 2016 # A
Derivative Warrants | ITD27C1605A | DERIVATIVE CALL WARRANTS ON ITALIAN-THAI DEVELOPMENT PUBLIC COMPANY LIMITED ISSUED BY RHB OSK SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING IN MAY 2016
Derivative Warrants | ANAN23C1604A | DERIVATIVE CALL WARRANTS ON ANANDA DEVELOPMENT PUBLIC COMPANY LIMITED ISSUED BY SCB SECURITIES COMPANY LIMITED LAST TRADING IN APRIL 2016 # A | Stock in SET100
Derivative Warrants | LPN06C1609A | DERIVATIVE CALL WARRANTS ON L.P.N. DEVELOPMENT PUBLIC COMPANY LIMITED ISSUED BY PHATRA SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN SEPTEMBER 2016 # A | Stock