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
Charoensook Kititti	Individual	Oct 29, 2024	active
Mr Poranat Nuchachartpong	Individual	Jun 27, 2023	active
Mr Chanchai Laoteppitaks	Individual	Jan 19, 2015	inactive
Miss Anongporn ThaninTharathan	Individual	Jul 31, 2013	inactive
Miss Naraporn Chuvessiriporn	Individual	Mar 7, 2015	inactive
Mr Viroj Arnokkaeo	Individual	Sep 14, 2016	active
Miss ORAPIN RAIWIBOON	Individual	Apr 27, 2016	inactive
Mr Tharatporn Techakitkachorn	Individual	Dec 12, 2023	inactive
Mr Ruangrit Pansiri	Individual	Sep 3, 2015	inactive
Mr Prasit Srisuwan	Individual	Sep 21, 2016	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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