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 |
|---|---|---|---|
WP ENERGY Public Company Limited | Company | Dec 23, 2015 | inactive |
Broadgate Mutual Fund Brokerage Securities Thailand Co Ltd | Company | Jan 28, 2021 | active |
Broadgate Mutual Fund Brokerage Securities Thailand Company Limited | Company | Nov 26, 2019 | active |
Kannithi Company Limited | Company | Feb 28, 2023 | active |
ENERGY MAHANAKHON COMPANY LIMITED | Company | Dec 27, 2023 | active |
Thai Niche Company Limited | Company | Feb 16, 2015 | active |
GISP Ltd | Company | Nov 9, 2012 | active |
PFS International Consultants Co Ltd | Company | Feb 3, 2016 | active |
Diamond and Silverline Group Co Ltd | Company | Dec 17, 2012 | active |
TMB Leasing Company Limited | Company | Dec 27, 2010 | 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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