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 |
|---|---|---|---|
CIMB Principal Asset Management | Company | Feb 27, 2013 | inactive |
Asset Bright Public Company Limited | Company | Oct 3, 2015 | inactive |
EMC Public Company Limited | Company | Jan 22, 2014 | inactive |
Trinity Securities Co Ltd | Company | Apr 23, 2002 | inactive |
Universal Starch Public Company Limited | Company | Aug 4, 2008 | inactive |
US Asvance CoLtd | Company | Sep 20, 2013 | inactive |
Double A 1991 Public Company Limited | Company | Jul 24, 2015 | inactive |
KTB Securities CoLtd | Company | Nov 9, 2007 | inactive |
The Bangkok Union Insurance Public Company Limited | Company | Sep 20, 2017 | inactive |
Trinity Watthana 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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