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 Saowanit Thanomsuwan	Individual	Jul 11, 2019	active
Mr Preecha Wongpa	Individual	Jan 28, 2013	active
Mr Danuj Bunnag	Individual	Nov 1, 2024	active
Mr Palakorn Yodchomyan	Individual	Nov 22, 2024	active
Mr Teera Phoncharoensuk	Individual	Oct 2, 2023	active
Mr Jaray Chanchaisilp	Individual	Dec 17, 2012	active
Mr Atthavut Skonthawat	Individual	May 1, 2024	active
Mr TORPONG KRITHAYAKRIEN	Individual	Dec 13, 2023	active
Mr VEERACHAI PASUTANON	Individual	Mar 6, 2016	active
Miss Nicharadee Sukjaroenkraisri	Individual	Nov 3, 2022	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.

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