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 Booncherd Santudpanich	Individual	Oct 31, 2024	active
Mr Bordin Sangarayakul	Individual	Nov 18, 2015	inactive
Patunam Khonkaen Company Limited	Company	Jun 23, 2022	inactive
Mr Thanayous Kositsakul	Individual	Sep 26, 2024	active
Mr Athueck Asvanund	Individual	Feb 12, 2015	inactive
Mr Choavalit Limpanich	Individual	Apr 24, 2013	inactive
Mr Kasemsak Sirisreesornchai	Individual	Feb 20, 2013	inactive
Miss Paranee Mekdumrongsang	Individual	Apr 22, 2024	active
Mr Pratchaya Charoenkitchaichana	Individual	Aug 27, 2024	active
Mr Werayut Saeaung	Individual	Oct 28, 2014	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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