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 Narathip Lohawaroj	Individual	Dec 9, 2018	active
Mrs Supritha Pai Kasturi	Individual	May 16, 2019	active
Mr Manish Gupta	Individual	May 16, 2019	active
Mr Boonpiam Eamroongroj	Individual	Dec 4, 2019	active
Miss Malita Limlomwongse	Individual	Jun 21, 2018	active
Mr Chotanant Saengpongpittaya	Individual	Mar 21, 2019	active
Mr Asa Ninnad	Individual	Apr 17, 2018	active
Miss JASMIN DINDAENG	Individual	Jun 11, 2018	active
Mr Ramesh Kumar Narsinghpura	Individual	Feb 3, 2022	active
Mr Sataporn Amornvorapak	Individual	Dec 27, 2021	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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