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
Miss Phichayada Phichayarom	Individual	Sep 11, 2017	active
Miss Nittha Kongkarien	Individual	May 1, 2018	active
Miss Asavinee Srisomburananont	Individual	Nov 15, 2017	active
Mr Zhou Zhou	Individual	Nov 6, 2018	active
Mr Yongyuth Ngamkaiwan	Individual	Aug 23, 2018	active
Mr Chanon Wangtal	Individual	Sep 26, 2018	active
Miss PANCHAPAT SOOKHO	Individual	Oct 24, 2018	active
Mrs Wipa Stapornchaiyasit	Individual	Jan 18, 2017	active
Mr Somphong Vitthayaraksan	Individual	Dec 16, 2011	active
Liger Management Company Limited	Company	Dec 23, 2024	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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