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. George Rogers Davison	Individual	Apr 30, 2001	active
Miss Kanokthip Nuamchalern	Individual	Jun 14, 2011	inactive
Mr Morakot Chaithongkum	Individual	Jan 22, 2024	active
Mr Visarn Lorthongpaisan	Individual	Mar 21, 2019	active
Mr Peerathuch Sukapong	Individual	Nov 18, 2021	active
Miss Siriporn Somboonwiwat	Individual	Feb 4, 2019	active
Mrs Sopa Kulsirorat	Individual	Mar 21, 2019	active
Mr Pratheep Theepakornsukkasem	Individual	Nov 15, 2017	active
Miss Ornpaphat Chantarasaka	Individual	Nov 15, 2017	active
Mr Apivut Thongkam	Individual	Dec 20, 2017	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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