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.

Mitigate risk with our comprehensive screening solutions for your AML and sanctions compliance.

Talk to Sales

Take a Product Tour

2,593 Entities in The Securities and Exchange Commission, Thailand - Enforcement Actions

Entity Name	Entity Type	Effective Date	Status
Mr Bhusana Premanode	Individual	Dec 11, 2024	active
DBS Vickers Securities Thailand CoLtd	Company	Sep 8, 2006	inactive
Mr Nuttapong Hirunyasiri	Individual	Nov 6, 2024	active
Ms Nittaya Yongpitakwattana	Individual	Oct 22, 2019	active
Miss Patcharapat Tongwaen	Individual	Jul 8, 2024	active
Mr Anuwat Burapachaisri	Individual	Jan 30, 2023	active
Mr Vacharapong Chuenprateep	Individual	Jul 18, 2006	active
Mr Rak Suwanrod	Individual	Dec 17, 2012	active
Mr Ekkavit Kamontaypa	Individual	Jul 24, 2024	active
Mr Anan Keatkamjohnpattana	Individual	Oct 13, 2006	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.

Products

Intel

Sanctions Screener

Global Trade Compliance

Map

APIs

Trademo APIs

Data License

Trademo Data License

Solutions

Sourcing & Procurement

Trade Prospecting