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 |
|---|---|---|---|
Yuanta Securities Thailand Company Limited | Company | Oct 24, 2018 | inactive |
Finansa Asset Management Co Ltd | Company | Aug 1, 2008 | inactive |
United Asset Management Company Limited | Company | Sep 3, 2010 | inactive |
Daidomon Group Public Company Limited | Company | Nov 12, 2007 | inactive |
Seamico Securities PLC | Company | Feb 25, 2004 | inactive |
Inter Far East Engineering Public Company Limited | Company | Dec 23, 2014 | inactive |
KGI SecuritiesThailand Public CoLTD | Company | Oct 7, 2007 | inactive |
Wongpaitoon Group PLC | Company | Sep 10, 2001 | inactive |
Ayudhya Securities Co Ltd | Company | Apr 23, 2002 | inactive |
Kiang Huat Sea Gull Trading Frozen Food Public Company Limited | Company | Jan 19, 2015 | 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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