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
Miss RATTA KUEAKHAM	Individual	Jul 12, 2022	active
Ms Mutita Nilsawad	Individual	Mar 9, 2009	active
Miss NARUORN CHOKSIRIRUNGRUANG	Individual	Mar 22, 2023	active
Mr Siva Nganthavee	Individual	Jul 18, 2006	active
Mr Thaksa Busayapoka	Individual	Mar 3, 2022	active
Mr Kajonchai Ngamvorarossakul	Individual	Nov 16, 2010	inactive
Mr Jung Kyu Kim	Individual	Mar 28, 2022	inactive
Ms Chirawin Hongsri	Individual	Nov 14, 2023	active
Mrs Kanjana Suwannapasri	Individual	Oct 28, 2014	inactive
Miss DOKOR CHOTANA	Individual	Nov 17, 2016	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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