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 CHALAM SAMSARID	Individual	Jun 29, 2016	active
Mr Kanok Juntarachot	Individual	Dec 17, 2012	active
MrTrairath Treeratpant	Individual	May 18, 2016	active
Mr Somchit Bosereewong	Individual	Dec 12, 2012	active
Mr Chayanont Weerayuthkosol	Individual	Apr 20, 2016	active
Mr Chusak Ruentip	Individual	Dec 29, 2011	active
AJ Advance Technology Public Company Limited	Company	Dec 21, 2021	inactive
Mr Alan Sydney Roy Lane	Individual	Mar 21, 2016	active
Mr Pichet Permsubhirunya	Individual	Sep 7, 2024	active
Mr Aran Apichari	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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