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 Kunnatee Suriyawanakul	Individual	Mar 16, 2016	active
Mr Sanpapol Rattanarungroj	Individual	Aug 10, 2013	active
MrSompong Wittayarakson	Individual	Mar 9, 2009	active
Mr Somchai Sriphayak	Individual	Mar 9, 2009	active
Mr Taweesab Kieukkeitsak	Individual	Jun 30, 2005	active
MrSukrit Choradol	Individual	Dec 6, 2017	active
Miss PANITA AUTTHASEREEVONG	Individual	Jan 7, 2016	active
Ms Paweena Laowiwatwong	Individual	May 18, 2016	active
Mr Arya Payungvivattanakul	Individual	Sep 3, 2015	active
MrThitiphat Thaveesin	Individual	Mar 27, 2023	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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