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 Ornprapat Junsakha	Individual	Jun 9, 2016	active
Miss Noppawan Suwan	Individual	Sep 14, 2016	active
Miss ATCHAREEYA SUNGWALRAM	Individual	Sep 21, 2016	active
Mr Apinun Panyakorn	Individual	Apr 20, 2017	active
Mrs Panadda Suntornsaratul	Individual	Sep 21, 2016	active
Mr Chamnan Chanapai	Individual	Jan 30, 2024	active
Miss Preechaya Teekarsurat	Individual	Mar 19, 2014	inactive
MrZhang Lianggang	Individual	Feb 17, 2023	inactive
Miss Pattanuch Wangpornpra	Individual	Nov 6, 2015	inactive
An unknown person responsible for management of Swiss Cash Mutual Fund	Company	Jun 29, 2007	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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