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 |
|---|---|---|---|
Krungthai Asset Management Co Ltd | Company | Aug 15, 2002 | inactive |
The Bangkok Nylon Public Co Ltd | Company | Nov 27, 2013 | inactive |
Everland Public Company Limited | Company | Feb 11, 2021 | inactive |
Aberdeen Asset Management Asia Limited | Company | Feb 25, 2004 | inactive |
Intel Vision Securities Co Ltd | Company | Dec 17, 2002 | inactive |
Globlex Securities CoLtd | Company | Jan 30, 2006 | inactive |
TMB BANK Public Company Limited | Company | May 15, 2019 | inactive |
The Union Mosaic Industry PLC | Company | Jun 26, 2003 | inactive |
Nusasiri Public Company Limited | Company | Jun 14, 2022 | inactive |
E FOR L AIM PUBLIC COMPANY LIMITED | Company | Jun 14, 2022 | inactive |
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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