The Registration Deficient List by the Commodity Futures Trading Commission (CFTC)
The registration deficient list by the Commodity Futures Trading Commission (CFTC) identifies firms and individuals that are not properly registered to conduct business involving futures and options. This list helps ensure that all participants in the commodities market adhere to legal regulations, promoting fair practices and protecting investors. Regularly checking this list allows compliance professionals to mitigate risks and maintain adherence to regulatory standards in their operations.
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252 Entities in The Registration Deficient List by the Commodity Futures Trading Commission (CFTC)
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
Golden Tangent Holdings | Company | Apr 12, 2016 | active |
AlvaroFxPro | Company | Jun 12, 2023 | active |
AOS Holding | Company | Apr 25, 2017 | active |
Barclays Broker | Company | Apr 12, 2016 | active |
BO Tradefinancials | Company | Feb 4, 2019 | active |
UK Options | Company | Apr 12, 2016 | active |
Weathika | Company | Apr 25, 2017 | active |
Wellington INV | Company | Jul 16, 2020 | active |
Binary Options Robot | Company | Feb 11, 2017 | active |
Advanced Options | Company | Apr 25, 2017 | active |
FAQs
Why is compliance with The Securities and Exchange Commission, Thailand - Enforcement Actions necessary?
Compliance with the enforcement actions set by the Securities and Exchange Commission (SEC) of Thailand is crucial for any business operating in the financial sector. These actions are implemented to ensure that all market participants follow the laws and regulations designed to maintain fair and transparent markets.
Which companies should comply with The Securities and Exchange Commission, Thailand - Enforcement Actions?
Companies in the finance and investment sectors must comply with the Securities and Exchange Commission (SEC) regulations in Thailand. This includes public companies, brokers, and investment advisors. Compliance is crucial to ensure transparency, protect investors, and maintain market integrity. Failing to adhere to SEC enforcement actions can lead to legal consequences and damage a company's reputation.
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