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 Yanyong Intarasongkarw	Individual	Jul 24, 2024	active
Miss Petcharat Chanyathammapoj	Individual	Jan 3, 2023	active
Miss Suwalak Kannasombut	Individual	Nov 3, 2025	active
Mr Amnaj Klaithai	Individual	Nov 20, 2001	inactive
Ms Suchanya Lapwisuthisin	Individual	Jan 16, 2014	active
Miss Ratana Jirapongtrakul	Individual	Oct 31, 2024	active
Mr Alexandru Erhan	Individual	Jul 3, 2022	active
Miss Chanisakan Choksahapiphat	Individual	Aug 17, 2023	active
Ms Siriporn Choonhajinda	Individual	Jul 23, 2021	active
Miss Phantipa Netiphat	Individual	Sep 7, 2024	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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