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 Narongrit Kweiwan	Individual	Feb 8, 2007	inactive
Mr Chavalit Wangthamrong	Individual	Aug 19, 2021	active
Mr Piyawat Makcharoen	Individual	Aug 8, 2013	active
Mr Puttipong Nijaroen	Individual	Jun 9, 2024	active
Mr Sahadchai Gajaseni	Individual	Mar 8, 2023	active
Mr Panya Boonyapiwat	Individual	Sep 8, 2023	active
Mr Suriya Lapvisuttisin	Individual	Aug 20, 2009	active
Mr Abhichai Dejthanatham	Individual	Sep 25, 2008	inactive
Miss Pasita Leesakul	Individual	Feb 19, 2024	active
AEC Securities Public Company Limited	Company	Sep 6, 2021	inactive

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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