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
Mr Somdaj Leeswadtrakul	Individual	Dec 5, 2014	active
Miss Susiri Preedasuttichit	Individual	Jun 27, 2023	active
Mr Thanya Kitchainukul	Individual	Sep 26, 2024	active
Mrs Saychon Sibmong	Individual	Feb 28, 2023	active
Miss WALAITHIP RUNGROJJANATORN	Individual	Dec 18, 2023	active
Mr Watcharin Yunghaipon	Individual	Jun 27, 2023	active
Ms Uraiwan Saelee	Individual	Dec 22, 2022	active
Miss SAOWARAT BOONCHOO	Individual	Oct 19, 2023	active
Mrs Tasanee Yampradit	Individual	Aug 17, 2023	active
Ms Anootree Nerngchamnong	Individual	Mar 3, 2022	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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