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 Pravit Horungruang	Individual	Sep 6, 2021	inactive
Miss Sirinee Chimbanthoeng	Individual	Sep 12, 2021	active
MissPacharee Manoonpanich	Individual	Dec 6, 2007	inactive
MrPaspong Sangprueksa	Individual	Mar 13, 2007	inactive
Mr Praween Deekajonedej	Individual	May 29, 2023	active
Mr Chutchapong Munchupa	Individual	Feb 17, 2011	inactive
Miss Yaowaluck Pukpikul	Individual	Dec 27, 2023	active
Mrs PENPRAPA SIRISON	Individual	Jul 23, 2024	active
Mr Surin Sony	Individual	Feb 14, 2024	active
ML Chaipat Chayangkura	Individual	Mar 13, 2009	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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