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.

Mitigate risk with our comprehensive screening solutions for your AML and sanctions compliance.

Talk to Sales

Take a Product Tour

2,593 Entities in The Securities and Exchange Commission, Thailand - Enforcement Actions

Entity Name	Entity Type	Effective Date	Status
Mr Rathawut Worapan	Individual	Jun 14, 2021	active
Ms Benjamas Dhammarungruang	Individual	Jan 3, 2022	active
Mr Sunchai Intarauksorn	Individual	Jun 14, 2021	active
Mr Vinai Vongswangrussamee	Individual	Dec 19, 2024	active
Mr Surachet Wasiphanphong	Individual	Mar 21, 2019	active
Mr Woravut Phaopraphan	Individual	Mar 21, 2019	active
Mr Kiartkasem Nanthaphiboon	Individual	May 31, 2018	active
Mr Win Udomrachtavanich	Individual	Nov 9, 2023	inactive
Miss Wanida Wasiphanphong	Individual	Mar 21, 2019	active
Miss Surawee Wasiphanphong	Individual	Mar 21, 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.

Products

Intel

Sanctions Screener

Global Trade Compliance

Map

APIs

Trademo APIs

Data License

Trademo Data License

Solutions

Sourcing & Procurement

Trade Prospecting