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 Boonyarat Saesue	Individual	May 31, 2018	active
Mrs Kanokwan Pornsapanan	Individual	Sep 7, 2019	active
MrKhampol Viratepsuporn	Individual	Jun 20, 2018	active
Mr Fu Nan	Individual	Mar 21, 2019	active
Mrs Chamaiporn Yongwongpaiboon	Individual	Aug 31, 2018	active
Mr Somboon Yingyongkitmongkol	Individual	Dec 14, 2018	active
Miss Poramaporn Prasarttongosoth	Individual	Aug 2, 2019	active
Mr Ruangyos Mahaworamakorn	Individual	Nov 16, 2018	active
Mr Thanawat Pratoomsuwan	Individual	Nov 16, 2018	active
Miss Nattha Saelee	Individual	Nov 16, 2018	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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