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 Suwat Eiewaksorn	Individual	Dec 18, 2009	active
MrWichan Mek Payap	Individual	Aug 20, 2020	active
Mr John Lia	Individual	Dec 18, 2009	active
Mr Eric Jordan or Mr Eric Jack Jordan	Individual	Mar 7, 2015	active
Mr Kris Tawantan	Individual	Dec 18, 2009	active
Miss Kullapa Plussind	Individual	Nov 16, 2023	active
Ms Sawanee Chunhajinda	Individual	Jul 23, 2021	active
Mrs Kotchakorn Phiboonthammasak	Individual	Mar 8, 2023	active
Mr Kornwiwat Wattanathamwong	Individual	Mar 9, 2009	active
Mr SUPORNCHAI SIRIWOHARN	Individual	Sep 21, 2017	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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