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 Pathaipoom Songkroh	Individual	Feb 17, 2011	inactive
Mr Vladislov Ivanov Patrov	Individual	Aug 21, 2001	inactive
Mr Pattanapone Dhanumataya	Individual	Sep 9, 2013	inactive
MrKriengkrai Settakraikul	Individual	Jan 30, 2006	inactive
MrPorkuan Kittisreswai	Individual	Apr 8, 2005	inactive
Mr Apichart Rungruengacheeva	Individual	Mar 29, 2011	inactive
Mr Sunthorn Chaononghin	Individual	Aug 20, 2012	inactive
Mr Kum Yoo Boon	Individual	Sep 25, 2008	inactive
Miss Sirirat Somnasri	Individual	Jun 27, 2023	active
Mr Krit Plussind	Individual	Nov 16, 2023	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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