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 Chalalai Saliwattana	Individual	Feb 17, 2011	inactive
Mr Toshiyuki Namiki	Individual	Mar 28, 2024	active
Mrs Panida Panupattanapong	Individual	Dec 19, 2024	active
Mr Prasong Kiatkamolkul	Individual	Nov 6, 2015	inactive
Miss Nitaya Yongphithakwatana	Individual	Feb 16, 2015	inactive
Mr Korsak Chairasmisak	Individual	Feb 12, 2015	inactive
Miss Vorapin Ngamkaiwan	Individual	Mar 13, 2015	inactive
Dr Boon Vanasin	Individual	Dec 14, 2022	active
Mr Veerapat Viriyakovitya	Individual	Sep 26, 2024	active
Mr Michael Richard Loefler	Individual	Nov 26, 2014	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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