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 Apinunthakan Pongsathabordee	Individual	Sep 9, 2014	inactive
Mr Vichai Tantikulananta	Individual	Aug 20, 2014	inactive
Ms Duangduean Limsuthapoch	Individual	Oct 11, 2010	inactive
Mr Wattana Rattananon	Individual	Feb 21, 2017	inactive
Mr Vitavas Vibhakul	Individual	Dec 1, 2001	inactive
Miss Anoma Eiamraksawong	Individual	Mar 19, 2014	inactive
Finansia Syrus Securities Public Company Limited	Company	Feb 27, 2013	inactive
Mr Lee Wolff	Individual	Jul 18, 2006	active
Maybank Kim Eng Securities Thailand Public Company	Company	Jul 24, 2019	inactive
Mr Viranart Viravaidhya	Individual	Jul 18, 2001	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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