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
MrCharnchai Pewluangsawat	Individual	Nov 17, 2016	active
MrYanyong Intarasongkrog	Individual	Feb 12, 2016	active
Mr Athasidh Ongkosit	Individual	Sep 26, 2018	inactive
Mrs Thiphawan Suthathipkun	Individual	Apr 12, 2019	active
Mr Akapat Phornprapha	Individual	Jun 27, 2023	active
Mr Thiti Sihanatkathakul	Individual	Aug 27, 2024	active
Mr PAL NAMRAT	Individual	Apr 8, 2022	active
Mr Preyatada Buranaworakhun	Individual	Oct 31, 2024	active
Mr Punya Kritiyawong	Individual	Feb 27, 2017	active
Ms Lalana Sirijanyakul	Individual	Sep 30, 2013	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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