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 Teeraboon Ariyasuthiwong	Individual	Apr 24, 2023	inactive
Miss UNCHALIN INTAJAK	Individual	Nov 5, 2023	active
Mr Supamit Kitjapipat	Individual	May 18, 2023	active
Mr Tanaphol Khemthongpradit	Individual	Aug 17, 2023	active
Mr Vutiisak Kinjareon	Individual	Oct 17, 2007	inactive
Mr Patara Chatcharoensuk	Individual	Jun 27, 2023	active
Mr Pongsak Kongpanyakul	Individual	Aug 11, 2006	inactive
Capital Nomura Securities Public CoLtd	Company	Sep 8, 2006	inactive
MrPrasong Techakaisri	Individual	Feb 11, 2006	inactive
Mrs Kanokrat Chittikuladilok	Individual	Dec 12, 2006	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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