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
Mrs Choy Yuen Chu	Individual	Apr 20, 2022	active
Mr Prakorn Makjumroen	Individual	Sep 18, 2024	active
Mr SURAPOL OUNSUWAN	Individual	Jul 23, 2024	active
MrSirichai Chananam	Individual	Jul 1, 2022	active
Mrs Darat Phatiwut	Individual	Jun 11, 2019	active
Miss JARUWAN SRIWANICH	Individual	Feb 6, 2022	active
Mr Wittawat Pornkul	Individual	Feb 27, 2023	active
MrChatree Mahattanadul	Individual	Dec 6, 2007	inactive
Mr Dan Pathomvanit	Individual	Mar 28, 2024	active
Mrs Praweena Sodawong	Individual	Dec 27, 2010	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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