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.
2,593 Entities in The Securities and Exchange Commission, Thailand - Enforcement Actions
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
drotek Public Company Limited | Company | Jun 14, 2022 | inactive |
SCB Securities Company Limited | Company | Sep 21, 2016 | inactive |
UOB Asset Management CoLtd | Company | Dec 22, 2005 | inactive |
Bualuang Securities Public Company Limited | Company | Aug 31, 2022 | inactive |
Bualuang Securities Co Ltd | Company | Nov 28, 2003 | inactive |
Asset Plus Fund Management Company Limited | Company | Dec 20, 2017 | inactive |
RHB Securities Thailand Public Company Limited | Company | May 8, 2022 | inactive |
GMOZcom Cryptonomics Thailand Company Limited | Company | Nov 1, 2022 | inactive |
Magnecomp Precision Techology Public Company Limited | Company | Mar 14, 2005 | inactive |
KT ZIMICO Securities Company Limited | Company | Jan 19, 2011 | 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.
APIs
Data License
Solutions
Pricing
All rights reserved | Terms of use Copyright ©2025 Trademo Technologies Inc.