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
Soon Hua Seng Rice Co Ltd	Company	Oct 31, 2002	inactive
Miss Ruthairat Kongchaiyut	Individual	Feb 8, 2007	inactive
Mr Tarayu Luejiengkam	Individual	Nov 3, 2022	active
Mr Suphon Phonpila	Individual	Jan 25, 2006	inactive
Miss Kanjanakorn Teachapan	Individual	Dec 23, 2024	active
Miss Kalaya Ketsingh	Individual	Aug 6, 2021	active
Mr Sarawut Poolthaweetham	Individual	Aug 6, 2021	active
Miss Namthip Cholsaipan	Individual	Apr 20, 2021	active
Miss Naruedee Kiaoying	Individual	Dec 29, 2020	active
Mr Krirkkrai Traibanyatkul	Individual	Feb 10, 2019	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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