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 Duangporn Yaoprukse	Individual	Mar 31, 2003	inactive
Miss prapatsorn Kittimanorom	Individual	Sep 21, 2016	inactive
Mr Thai Bunpradphai	Individual	Sep 9, 2014	inactive
Miss Nilubol Kreuanoparat	Individual	Mar 28, 2022	inactive
Mr Somprasong Panjalak	Individual	Jun 14, 2022	inactive
Mr Udomsak Chakreyavanich	Individual	Mar 13, 2007	inactive
ShinA Service Company Limited	Company	Sep 15, 2021	inactive
Mr Keisuke Matsuura	Individual	Feb 12, 2016	inactive
Siam City Asset Management Co Ltd	Company	Dec 1, 2010	inactive
Mr Chatchai Pokogwai	Individual	Jul 21, 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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