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 Dusadee Lekyim	Individual	Dec 23, 2024	active
Miss Sureerat Ardpaksa	Individual	Nov 19, 2015	active
Miss Kannida Tangkittrongcharoen	Individual	Jul 24, 2024	active
Mr Viboon Wadcharasurang	Individual	May 25, 2022	active
Mr Thanadech Srinarong	Individual	Dec 29, 2020	active
Mr Saiphet Thongngao	Individual	Nov 19, 2015	active
Mr Jajjai Dhammarungruang	Individual	Jan 3, 2022	active
Miss Nachaporn Likhitsirisup	Individual	Apr 10, 2005	active
Miss Jintana Saengpongpittaya	Individual	Mar 21, 2019	active
Miss Pikun Somwan	Individual	Oct 29, 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.

Products

Intel

Sanctions Screener

Global Trade Compliance

Map

APIs

Trademo APIs

Data License

Trademo Data License

Solutions

Sourcing & Procurement

Trade Prospecting