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
Harvey Dunbar Co Ltd	Company	Sep 3, 2004	active
WISDEN GROUP CO LTD	Company	Feb 14, 2024	active
S D Global	Company	Sep 4, 2014	active
PT Research Co Ltd	Company	Dec 17, 2012	active
Civil Construction Services and Products Company Limited	Company	Jun 21, 2023	active
Thai Bio Innovation Co Ltd	Company	Mar 23, 2021	active
Thai Bio Innovation Co Ltd	Company	Mar 23, 2021	inactive
PP Prime Public Company Limited	Company	Mar 4, 2023	active
Clover Power Public Company Limited	Company	Jan 30, 2024	active
Asphere Innovations Public Company Limited	Company	Jan 30, 2024	active

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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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