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
MrsOrnpimol Pewluangsawat	Individual	Nov 17, 2016	active
Mr Nipon Phoophagaphanphong	Individual	Aug 8, 2013	active
Mr Suppharoek Kwaennoi	Individual	Jun 6, 2024	active
Mr Thanat Busayapoka	Individual	Mar 3, 2022	active
Mr Taweesak Vayakornvijit	Individual	Sep 18, 2013	active
Mr Sumek Bamrungsuk	Individual	Oct 18, 2022	active
Mr Chan Hon Hung	Individual	Apr 20, 2022	active
Mr Komol Jungrungreangkit	Individual	Aug 31, 2016	active
Mr Dorn Romakorn	Individual	Jun 23, 2022	active
Miss Aiyarin Phongkaseamhiran	Individual	May 26, 2011	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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