The Securities and Exchange Commission, Thailand - Enforcement Actions

The Securities and Exchange Commission (SEC) of Thailand plays a vital role in maintaining the integrity of the financial markets. Their enforcement actions include investigating potential violations of securities laws, taking legal steps against wrongdoers, and imposing penalties to protect investors. This ensures that all market participants adhere to regulations and promotes fair practices.

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2,593 Entities in The Securities and Exchange Commission, Thailand - Enforcement Actions

Entity Name	Entity Type	Effective Date	Status
Mr Nugul Phengkham	Individual	Dec 15, 2023	active
Miss Orranan Boonma	Individual	Dec 15, 2023	active
Miss PURICHITA SUKHONPITUMART	Individual	Dec 18, 2023	active
Mr YODSAWAT PISIVIROJ	Individual	Dec 18, 2023	active
Mr PHUWIT PONGCHALOEM	Individual	Dec 13, 2023	active
Ms Suvimol Dhenwang	Individual	Jan 25, 2006	inactive
Mr Akkaradech Wattana	Individual	Dec 15, 2023	active
Mr Winyu Chaiyawan	Individual	Sep 21, 2023	active
Mr Sommart Dhupchinda	Individual	Aug 22, 2023	active
Mr YODSAPOL PISIVIROJ	Individual	Dec 18, 2023	active

FAQs

Why is compliance with the The Registration Deficient List by the Commodity Futures Trading Commission (CFTC) necessary?

Compliance with the Registration Deficient List by the Commodity Futures Trading Commission (CFTC) is crucial for maintaining market integrity and protecting investors. Adhering to this list ensures that all entities engaging in commodity trading are properly registered and regulated. It helps prevent fraud and manipulation within the markets, fostering a transparent trading environment. By following these guidelines, businesses can enhance their credibility and avoid potential legal repercussions, thereby contributing to the overall stability and reliability of the financial system.

Which companies should comply with The Registration Deficient List by the Commodity Futures Trading Commission (CFTC)?

The registration deficient list by the Commodity Futures Trading Commission (CFTC) targets firms in the commodities, futures, and derivatives industries. Companies engaged in trading, brokerage, or advisory services must comply with CFTC regulations to ensure transparency, protect market integrity, and safeguard investors. Compliance helps maintain a level playing field and fosters trust in the financial markets.

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