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
Mr Yuttana Lipirodkul	Individual	Dec 19, 2014	active
Ms Aroonvadee Kittikasemsak	Individual	Sep 3, 2015	inactive
Mrs Pantipa Thirakanokvilai	Individual	Oct 3, 2015	inactive
Miss Ratiya Sungduang	Individual	Nov 3, 2015	inactive
Mr Kriengkrai lertsirisamphan	Individual	Oct 29, 2014	active
Mr Sinsathien Aimpoolsub	Individual	Nov 3, 2015	inactive
Miss PANADDA BURAPAWIJITNON	Individual	Aug 11, 2014	inactive
Mr Chakkit Thanavirun	Individual	Apr 20, 2015	inactive
Miss Vallaya Vongpatarakul	Individual	Nov 6, 2015	inactive
Miss Kannikar Soykeeree	Individual	Jun 24, 2015	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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