| No. | Enforcement Date | Name | Relevant Section/Law | Summarized Facts | SEC News | Type of Enforcement | Details | Remark |
|---|
| 1 | 15/12/2025 | SCB Asset Management Co.,Ltd | 117 / SEC Act | SCB Asset Management Co.,Ltd, as a securities business operator of mutual fund management
Ads with data about numbers that represent an estimated return on investment (expected return) of SCB Money Market Fund (SCBMONEY) in the fund offering documents and through public media channels. It is a practice that does not comply with the rules announced by The Office of the Securities and Exchange Commission.
| | Criminal Fine | imposing a fine of 208,000.00 Baht according to 147/2568 | |
| 2 | 15/12/2025 | The Siam Commercial Bank Public Co.,Ltd | 113 / SEC Act | The Siam Commercial Bank Public Co.,Ltd, as a securities business operator in the category of Brokerage, Trading and Distributing securities as investment units, Ads with data about numbers that represent an estimated return on investment (expected return) of SCB Money Market Fund (SCBMONEY) in the fund offering documents and through public media channels. It is a practice that does not comply with the rules announced by The Office of the Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 176,000.00 Baht according to 146/2568 | |
| 3 | 15/12/2025 | Bualuang Securities Public Company Limited | 113 / SEC Act | Between 1 September 2022 and 15 September 2024, Bualuang Securities Public Company Limited (“Bualuang Securities”) maintained an internal investment-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s rules governing trading by executives and employees. | | Criminal Fine | imposing a fine of 1,642,000.00 Baht according to 145/2568 | |
| 4 | 15/12/2025 | Mr. Cholnatee Sopak | 46 / SEC Act | Mr. Cholnatee Sopak, at the time of the incident serving as Assistant Managing Director of the Bondholders’ Representative Division and the person responsible for overseeing the operations of Dao Securities (Thailand) Public Company Limited (“DAOLS”), was required to ensure that DAOLS performed its duties with the level of care and diligence expected of a professional in safeguarding the interests of the bondholders. However, Mr. Chalanatee failed to give the necessary directives or to take actions required of him.
Mr. Cholnatee is therefore responsible for the misconduct arising from DAOLS’ failure to exercise due care and diligence in protecting the interests of the bondholders, including failing to verify existing encumbrances on the condominium units serving as collateral prior to the registration of the security, and failing to adequately monitor and maintain the collateral for the bonds.
| | Criminal Fine | imposing a fine of 81,000.00 Baht according to 144/2568 | |
| 5 | 15/12/2025 | DAOL SECURITIES (THAILAND) PUBLIC COMPANY LIMITED | 46 / SEC Act | Dao Securities (Thailand) Public Company Limited (“DAOLS”), in its capacity as the bondholders’ representative, failed to perform its duties with the level of care and diligence expected of a professional in safeguarding the interests of the bondholders. | | Criminal Fine | imposing a fine of 2,335,800.00 Baht according to 143/2568 | |
| 6 | 15/12/2025 | Mr. Amorn Sapthaweekul | 300 in conjunction with 33 / SEC Act | Mr. Amorn Sapthaweekul, at the time of the incident, held the position of Director and Vice Chairman of the Board of Directors of Energy Absolute Public Company Limited ("EA"). His duty was to oversee and ensure that EA’s offering for sale of securities complied with the law. However, Mr. Amorn failed to issue instructions or perform the necessary duties required to be performed. Therefore, Mr. Amorn is liable in the case where EA offered for sale newly issued securities in the category of a bill of exchange without obtaining approval from the Office of the Securities and Exchange Commission (SEC Office). | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 142/2568 | |
| 7 | 15/12/2025 | Energy Absolute Public Company Limited | 33 / SEC Act | Energy Absolute Public Company Limited offer to sell newly issued securities in the category of Bill of Exchange without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 141/2568 | |
| 8 | 15/12/2025 | Miss Suttida Leeswadtrakul | 300 in conjunction with 56(4) / SEC Act | Miss Suttida Leeswadtrakul, Chief Financial Officer who is responsible for the operation of Wastech Exponential
Company Limited (“WTX”), shall be liable for WTX’s failure to prepare and submit key financial ratio for the year 2023 within the period as specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed.
| | Criminal Fine | imposing a fine of 32,700.00 Baht according to 140/2568 | |
| 9 | 15/12/2025 | Wastech ExponentialCompany Limited | 56(4) / SEC Act | Wastech ExponentialCompany Limited (“WTX”) , a non-listed company, failed to prepare and submit key financial ratio for the year 2023 within 1 April 2024. However, WTX prepared and submitted such document on 10 April 2024, which failed to prepare and submit key financial ratio for the year 2023 within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 32,700.00 Baht according to 139/2568 | |
| 10 | 15/12/2025 | Miss Achira Taulanada | 300 in conjunction with 56(4) / SEC Act | Miss Achira Taulanada, Director of Accounting and Finance who is responsible for the operation of Ascend Nano Company Limited (“ASN”), shall be liable for ASN’s failure to prepare and submit key financial ratio for the year 2023 within the period as specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 138/2568 | |
| 11 | 15/12/2025 | Ascend Nano Company Limited | 56(4) / SEC Act | Ascend Nano Company Limited (“ASN”), a non-listed company, failed to prepare and submit key financial ratio for the year 2023 within 1 April 2024. However, ASN prepared and submitted such document on 2 April 2024, which failed to prepare and submit key financial ratio for the year 2023 within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 137/2568 | |
| 12 | 15/12/2025 | Miss Pakatip Lopandhsri | 300 in conjunction with 56(4) / SEC Act | Miss Pakatip Lopandhsri, Senior Vice President of Finance and Administration Department who was responsible for the operation of Nawarat Patanakarn Public Company Limited ("NWR"), shall be liable for NWR’s failure to prepare and submit the key financial ratio for the year 2023 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board, due to her failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 136/2568 | |
| 13 | 15/12/2025 | Nawarat Patanakarn Public Company Limited | 56(4) / SEC Act | Nawarat Patanakarn Public Company Limited ("NWR"), a securities issuer, failed to prepare and submit the key financial ratio for the year 2023 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on February 29, 2024. However, the key financial ratio for the year 2023 was later submitted through the transmission system of the SEC Office on March 1, 2024. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 135/2568 | |
| 14 | 15/12/2025 | Mr. Nitan Chaiyanate | 300 in conjunction with 56(4) / SEC Act | Mr. Nitan Chaiyanate, Deputy Managing Director and Company Secretary, who is responsible for the operation of G Capital Public Company Limited ("GCAP"), shall be liable for GCAP’s failure to prepare and submit the accurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 92,700.00 Baht according to 134/2568 | |
| 15 | 15/12/2025 | Mr. Nitan Chaiyanate | 300 in conjunction with 56(4) / SEC Act | Mr. Nitan Chaiyanate, Deputy Managing Director and Company Secretary, who is responsible for the operation of G Capital Public Company Limited ("GCAP"), shall be liable for GCAP’s failure to prepare and submit the financial highlight for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 30,600.00 Baht according to 134/2568 | |
| 16 | 15/12/2025 | Mr. Nitan Chaiyanate | 300 in conjunction with 56(4) / SEC Act | Mr. Nitan Chaiyanate, Deputy Managing Director and Company Secretary, who is responsible for the operation of G Capital Public Company Limited ("GCAP"), shall be liable for GCAP’s failure to prepare and submit the financial covenants for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 30,600.00 Baht according to 134/2568 | |
| 17 | 15/12/2025 | G Capital Public Company Limited | 56(4) / SEC Act | G Capital Public Company Limited ("GCAP"), a securities issuer, prepared and submitted the inaccurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board on August 14, 2024. Later, the rectified key financial ratio for Q2/2024 was filed through the transmission system of the SEC Office on November 14, 2024. | | Criminal Fine | imposing a fine of 92,700.00 Baht according to 133/2568 | |
| 18 | 15/12/2025 | G Capital Public Company Limited | 56(4) / SEC Act | G Capital Public Company Limited ("GCAP"), a securities issuer, failed to prepare and submit the financial highlight for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 14, 2024. However, the financial highlight for Q2/2024 was later submitted through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 30,600.00 Baht according to 133/2568 | |
| 19 | 15/12/2025 | G Capital Public Company Limited | 56(4) / SEC Act | G Capital Public Company Limited ("GCAP"), a securities issuer, failed to prepare and submit the financial covenants for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 14, 2024. However, the financial covenants for Q2/2024 was later submitted through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 30,600.00 Baht according to 133/2568 | |
| 20 | 02/12/2025 | Miss Pichaya Krimwongrat | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During the period of 25 July 2017 to 17 January 2018 Miss Pichaya Krimwongrat colluded with others to manipulate the stock price of Principal Capital PCL (PRINC) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 303/2025 | Civil Sanction | 02/12/2025 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 21 | 25/11/2025 | Mr. Winai Teawsomboonkij | 59 / SEC Act | Between January 4, 2021 and February 22, 2023, Mr. Winai Teawsomboonkij, Chief Execeutive Officer and Director of Thaifoods Group Public Company Limited (TFG), has changed his securities holding in TFG. In this regard, Mr. Winai Teawsomboonkij has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within January 7, 2021 and February 27, 2023, depending on circumstances. However, Mr. Winai Teawsomboonkij prepared and disclosed the report (Form 59) to the SEC office on September 9, 2025 which means Mr. Winai Teawsomboonkij failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 1,838,500.00 Baht according to 132/2568 | |
| 22 | 25/11/2025 | Mr. Somkit Pipopwattana | 59 / SEC Act | Mr. Somkit Pipopwattana, Chairman of Synergetic Auto Performance Public Company Limited (ASAP), has changed his securities holding in ASAP during the period from December 2, 2020 to March 8, 2021. In this regard, Mr. Somkit has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within March 11, 2021. However, Mr. Somkit prepared and disclosed the report (Form 59) to the SEC office on March 23, 2021. | | Criminal Fine | imposing a fine of 5,600.00 Baht according to 131/2568 | |
| 23 | 25/11/2025 | Mr. Suksan Yasasin | 59 / SEC Act | On January 18 and 27, 2021 Mr. Suksan Yasasin, Vice Chairman of The Board of Directors and Chief Executive Officer of CHAYO GROUP PUBLIC COMPANY LIMITED (CHAYO), has changed his securities holding. In this regard, Mr. Suksan has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within January 21,2021 and Febuary 1,2021. However,
Mr. Suksan prepared and disclosed the report (Form 59) to the SEC office on March 26, 2021 which means Mr. Suksan failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 114,900.00 Baht according to 130/2568 | |
| 24 | 25/11/2025 | Mr. Somsak Amornrattanachaikul | 59 / SEC Act | On March 25, 2021 Mr. Somsak Amornrattanachaikul, Chief Executive Officer of ASIAN SEA CORPORATION Public Company Limited (ASIAN), has changed his securities holding. In this regard, Mr. Somsak has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within March 30, 2021. However, Mr. Somsak prepared and disclosed the report (Form 59) to the SEC office on April 1, 2021 which means Mr. Somsak failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 38,100.00 Baht according to 129/2568 | |
| 25 | 25/11/2025 | MRS. TEO LEE NGO | 59 / SEC Act | Between 3 to 11 November 2022, Mrs. Teo Lee Ngo, a director of AAPICO Hitech Public Company Limited (“AH”), bought AH securities through another person’s securities trading account for her own benefit. However, she failed to submit a report on the change in her securities holding (Form 59) in such account to the SEC Office within the period specified under the Notification of the Capital Market Supervisory Board, resulting in two counts of violation. Later, Mrs. Teo Lee Ngo submitted the required report (Form 59) to the SEC Office on 6 August 2025. | | Criminal Fine | imposing a fine of 726,875.00 Baht according to 128/2568 | |
| 26 | 25/11/2025 | Mr. Peerasit Jiwapong | 30 / DAB Act | Mr. Peerasit Jiwapong, a Chief Executive Officer of a digital asset fund manager called Merkle Capital Company Limited (''Merkle'') at the time of the incident, was responsible for the operation of Merkle. His failure to perform the required duty of his position resulted in the offence committed by Merkle concerning the case that, between November 25, 2024 and January 20, 2025, Merkle failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal systems and processes for preparing, approving, and supervising advertisements. In this respect, Merkle published advertisements without providing a channel for investors to study Merkle’s historical performance. Furthermore, Merkle did not disclose information about the advertiser and the relationship or connection between individuals playing a key role in the advertisement and the advertiser. | | Criminal Fine | imposing a fine of 453,000.00 Baht according to 22/2568 | |
| 27 | 25/11/2025 | Merkle Capital Company Limited | 30 / DAB Act | Between November 25, 2024 and January 20, 2025, Merkle Capital Company Limited (''Merkle''), a digital asset exchange, as a digital asset fund manager, failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal systems and processes for preparing, approving, and supervising advertisements. In this respect, Merkle published advertisements without providing a channel for investors to study Merkle’s historical performance. Furthermore, Merkle did not disclose information about the advertiser and the relationship or connection between individuals playing a key role in the advertisement and the advertiser. | | Criminal Fine | imposing a fine of 453,000.00 Baht according to 21/2568 | |
| 28 | 25/11/2025 | InnovestX Securities Company Limited | 30 / DAB Act | InnovestX Securities Company Limited ("INVX") as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, INVX submitted 42 reports of the results of monitoring and inspecting trading conditions (Daily Report) for the period from November 23, 2024 to March 29, 2025 to the SEC office later than the specified period. | | Criminal Fine | imposing a fine of 520,000.00 Baht according to 20/2568 | |
| 29 | 25/11/2025 | Gulf Binance Company Limited | 30 / DAB Act | Gulf Binance Company Limited (''Gulf Binance'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Gulf Binance submitted 46 reports of the results of monitoring and inspecting trading conditions (Daily Report) for the period from November 23, 2024 to April 6, 2025 to the SEC office later than the specified period. | | Criminal Fine | imposing a fine of 563,000.00 Baht according to 19/2568 | |
| 30 | 25/11/2025 | GMO-Z.COM CRYPTONOMICS (THAILAND) | 30 / DAB Act | GMO-Z.COM CRYPTONOMICS (THAILAND) Company Limited (''Z.COMEX'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Z.COMEX submitted 41 reports of the results of monitoring and inspecting trading conditions (Daily Report) for the period from November 23, 2024 to May 23, 2025 to the SEC office later than the specified period. | | Criminal Fine | imposing a fine of 503,000.00 Baht according to 18/2568 | |
| 31 | 25/11/2025 | Orbix Trade Company Limited | 30 / DAB Act | Orbix Trade Company Limited (''ORBIX TRADE'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, ORBIX TRADE submitted a report of the results of monitoring and inspecting trading conditions (Daily Report) of November 23, 2024 to the SEC office later than the specified period. | | Criminal Fine | imposing a fine of 91,000.00 Baht according to 17/2568 | |
| 32 | 25/11/2025 | Mr. Nutchatpong Peeradechapan | 242(1) in conjunction with section 243(1) / SEC Act (the fifth amendment) | During 5 August 2022 to 9 November 2022 , Mr. Nutchatpong Peeradechapan as a managing director (business support division) of Taokaenoi Food & Marketing Public Company Limited (TKN) knew or possessed positive substantial inside informations about the TKN’s Q3/2022 performance which would be significantly increase and the second interim dividend payment (special round) for the TKN’s Q3/2022 performance at the rate of 0.08 baht per share which might affect to positive change in the price of TKN’s share. Subsequently, Mr. Nutchatpong Peeradechapan commit offense in using Miss Thitirat Panuvatvanich’s and Mr. Jakkaphan Sardpreechar’s securities trading accounts to purchase TKN shares in such a way as to take advantage of other persons before TKN’s disclosure of such inside information to the public on 10 November 2022. | | Civil Sanction | 25/11/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,240,370.00 Baht
- a civil monetary penalty of 1,550,462.50 Baht
- a reimbursement of investigative expenses in an amount of 125,197.50 Baht | |
| 33 | 25/11/2025 | Miss Thitirat Panuvatvanich | 242(1) in conjunction with section 315 / SEC Act (the fifth amendment) | During 5 August 2022 to 9 November 2022, Miss Thitirat Panuvatvanich aided or abetted Mr. Nutchatpong Peeradechapan to purchase Taokaenoi Food & Marketing Public Company Limited (TKN) shares by using positive substantial inside information about the TKN’s Q3/2022 performance which would be significantly increase and the second interim dividend payment (special round) for the TKN’s Q3/2022 performance at the rate of 0.08 baht per share through her securities trading account before TKN’s disclosure of such inside information to the public on 10 November 2022. | | Civil Sanction | 25/11/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 125,197.00 Baht | |
| 34 | 25/11/2025 | Mr. Jakkaphan Sardpreechar | 242(1) in conjunction with section 315 / SEC Act (the fifth amendment) | During 5 August 2022 to 9 November 2022, Mr. Jakkaphan Sardpreechar aided or abetted Mr. Nutchatpong Peeradechapan to purchase Taokaenoi Food & Marketing Public Company Limited (TKN) shares by using positive substantial inside information about the TKN’s Q3/2022 performance which would be significantly increase and the second interim dividend payment (special round) for the TKN’s Q3/2022 performance at the rate of 0.08 baht per share through his securities trading account before TKN’s disclosure of such inside information to the public on 10 November 2022. | | Civil Sanction | 25/11/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 125,197.00 Baht | |
| 35 | 20/11/2025 | Mr. Itthipat Peeradechapan | 242(1) in conjunction with section 243(1) / SEC Act (the fifth amendment) | During 5 August 2022 to 9 November 2022 , Mr. Itthipat Peeradechapan as a CEO and a director of Taokaenoi Food & Marketing Public Company Limited (TKN) knew or possessed positive substantial inside informations about the TKN’s Q3/2022 performance which would be significantly increase and the second interim dividend payment (special round) for the TKN’s Q3/2022 performance at the rate of 0.08 baht per share which might affect to positive change in the price of TKN’s share. Subsequently, Mr. Itthipat Peeradechapan commit offense in using Mrs. Phanida Wiriyakitnukun’s securities trading account to purchase TKN shares in such a way as to take advantage of other persons before TKN’s disclosure of such inside information to the public on 10 November 2022. | | Civil Sanction | 20/11/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 5,100,385.00 Baht
- a civil monetary penalty of 6,375,481.25 Baht
- a reimbursement of investigative expenses in an amount of 125,196.75 Baht | |
| 36 | 06/11/2025 | Mrs. Phanida Wiriyakitnukun | 242(1) in conjunction with section 315 / SEC Act (the fifth amendment) | During 5 August 2022 to 9 November 2022, Mrs. Phanida Wiriyakitnukun aided or abetted Mr. Itthipat Peeradechapan to purchase Taokaenoi Food & Marketing Public Company Limited (TKN) shares by using positive substantial inside information about the TKN’s Q3/2022 performance which would be significantly increase and the second interim dividend payment (special round) for the TKN’s Q3/2022 performance at the rate of 0.08 baht per share through her securities trading account before TKN’s disclosure of such inside information to the public on 10 November 2022. | | Civil Sanction | 06/11/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 125,197.00 Baht | |
| 37 | 22/10/2025 | Mr. Pongchen Reanchaiwanid | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 31 March 2020 – 8 May 2020, Mr. Pongchen Reanchaiwanid colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities (UREKA) by placing trading orders or trading UREKA’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 195/2025 | Civil Sanction | 22/10/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 375,898.00 Baht
- a civil monetary penalty of 563,847.00 Baht
- a reimbursement of investigative expenses in an amount of 51,714.00 Baht | |
| 38 | 15/10/2025 | Miss SAREERAT SAECHAW | | Acting in a manner that conduct indicating dishonesty and failure to perform duties with loyalty. | 260/2025 | Administrative Orders | Revocation | Effective Date 15/10/2025 to 14/10/2035 |
| 39 | 22/09/2025 | Kiatnakin Phatra Asset Management Company Limited | 129 / SEC Act | Kiatnakin Phatra Asset Management Company Limited ("KKPAM") as a mutual fund management company, completed the negotiations with the Sub-lessee and entered into a new agreement on February 3, 2023 which is the modification of the Urbana Property mutual fund (Lease hold) ("URBNPF mutual fund") project. Therefore, KKPAM shall be obligated to notify the modification of URBNPF mutual fund to the SEC office within February 18, 2023. But KKPAM notified this modification to the SEC office on May 31, 2023. | | Criminal Fine | imposing a fine of 192,000.00 Baht according to 127/2568 | |
| 40 | 22/09/2025 | Miss Wantana Suk-udom | 283 / SEC Act | Miss Wantana Suk-udom, Acting Chief Executive Officer, shall be liable for Asia Wealth Securities Public Company Limited [“Asia Wealth”] order or an act of any person or a failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. | | Criminal Fine | imposing a fine of 300,000.00 Baht according to 126/2568 | |
| 41 | 22/09/2025 | Miss Wantana Suk-udom | 283 / SEC Act | Miss Wantana Suk-udom, Senior Director of Accounting, shall be liable for Asia Wealth Securities Public Company Limited [“Asia Wealth”] order or an act of any person or a failure to order or act according to the duties as aresult, Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 225,000.00 Baht according to 126/2568 | |
| 42 | 22/09/2025 | Miss Wantana Suk-udom | 283 / SEC Act | Miss Wantana Suk-udom, Senior Director of Accounting, shall be liable for Asia Wealth Securities Public Company Limited [“Asia Wealth”] order or an act of any person or a failure to order or act according to the duties as aresult, Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and truthful report of the net capital to the office of Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 200,000.00 Baht according to 126/2568 | |
| 43 | 22/09/2025 | Mr. Chanachai Joonjiraporn | 283 / SEC Act | Mr. Chanachai Joonjiraporn, Chief Executive Officer, shall be liable for Asia Wealth Securities Public Company Limited [“Asia Wealth”] order or an act of any person or a failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. | | Criminal Fine | imposing a fine of 300,000.00 Baht according to 125/2568 | |
| 44 | 22/09/2025 | Mr. Trin Indra-opas | 283 / SEC Act | Mr. Trin Indra-opas, Chief Executive Officer and Acting Chief Finance and Budget Officer, shall be liable for Asia Wealth Securities Public Company Limited [“Asia Wealth”] order or an act of any person or a failure to order or act according to the duties as aresult, between June 4, 2020 and May 31, 2021, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. | | Criminal Fine | imposing a fine of 300,000.00 Baht according to 124/2568 | |
| 45 | 22/09/2025 | Miss Yeap Xin RHU | 59 / SEC Act | Miss Yeap Xin RHU, a Chief Financial Officer (“CFO”) of AAPICO Hitech Public Company Limited (“AH”), has been in a common-law relationship with Mr.Viroj Patcharawattanaku since December 5, 2015, Mr. Viroj is considered a common-law marriage with Miss Yeap Xin RHU, which is a person under applicable securities regulations. The SEC found that Mr. Viroj traded shares of AH during the period from September 24, 2020 to August 30, 2023. As a CFO, Miss Yeap Xin RHU was obligated to report any changes in the securities holdings of her common-law marriage, Mr. Viroj, in accordance with the requirements set out in Form 59. However, Miss Yeap Xin RHU failed to prepare and disclose the required reports within the timeframe specified by the SEC’s notification. | | Criminal Fine | imposing a fine of 388,700.00 Baht according to 123/2568 | |
| 46 | 22/09/2025 | Mr.Santi Bangor | 59 / SEC Act | Mr. Santi Bangor, INDEPENDENT DIRECTOR and AUDIT COMMITTEE of People's garment public company limited. Between Feb 10, 2022 and Jun 6, 2023. Mr. Santi Bangor, Audit Committee of People's Garment Public Company Limited, has changed their securities holding. In this regard, Mr. Santi has the duty to prepare and disclose a report regarding his holding
securities and the changes to such holdings (Form 59) within Aug 16, 2022 and Nov 29, 2023. However, Mr. Santi prepared and disclosed the report (Form 59) to the SEC office on November 29, 2023 which means Mr. Santi failed to prepare and disclose
the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 61,000.00 Baht according to 122/2568 | |
| 47 | 22/09/2025 | Mrs. Suvimol Chrityakierne | 59 / SEC Act | Mrs. Suvimol Chrityakierne, Chairman of the Board of Director and Independent Director of NSL Foods Public Company Limited. Her spouse, Mr. Benjapol Chrityakierne, has changed his securities holding. In this regard, Mrs. Suvimol has the duty to prepare and disclose a report regarding her spouse’s holding securities and the changes to such holdings (Form 59) within May 24, 2021. However, Mrs. Suvimol prepared and disclosed the report (Form 59) to the SEC office on May 28, 2021. | | Criminal Fine | imposing a fine of 38,700.00 Baht according to 121/2568 | |
| 48 | 22/09/2025 | Mr. Alumphol Charoenkit | 59 / SEC Act | Mr. Alumphol Charoenkit, Director of K.C. Metalsheet Public Company Limited, has changed his securities holding. In this regard, Mr. Alumphol has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within June 8, 2021. However, Mr. Alumphol prepared and disclosed the report (Form 59) to the SEC office on June 9, 2021. | | Criminal Fine | imposing a fine of 37,800.00 Baht according to 120/2568 | |
| 49 | 22/09/2025 | Mr. Wang Huiwu | 300 in conjunction with 57(6) / SEC Act | Mr. Wang Huiwu, Chief Executive officer who is responsible for the operation of XJ International Holdings Co., Ltd. (“XJ”) shall be liable for XJ’s failure to prepare and submit a report on events that have or may have an impact on the rights and benefits of securities holders, on investment decisions, or on changes in the price of the company’s securities within the specified period by the notification of the Securities and Exchange Commission resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 13,000.00 Baht according to 119/2568 | |
| 50 | 22/09/2025 | XJ International Holdings Co., Ltd. | Section 57(6) / SEC Act | XJ International Holdings Co., Ltd. (“XJ”) failed to prepare and submit a report on events that have or may have an impact on the rights and benefits of securities holders, on investment decisions, or on changes in the price of the company’s securities within the specified period. | | Criminal Fine | imposing a fine of 13,000.00 Baht according to 118/2568 | |
| 51 | 22/09/2025 | Mr. Boonsong Sumnuk | 300 in conjunction with 56(4) / SEC Act | Mr. Boonsong Sumnuk, a Vice President of Accounting and Finance, who is responsible for the operation of Bound and Beyond Public Company Limited ("BEYOND"), shall be liable for BEYOND’s failure to prepare and submit the accurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 31,200.00 Baht according to 117/2568 | |
| 52 | 22/09/2025 | Bound and Beyond Public Company Limited | 56(4) / SEC Act | Bound and Beyond Public Company Limited ("BEYOND"), a listed company, prepared and submitted the inaccurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board on August 13, 2024. Later, the rectified key financial ratio for Q2/2024 was filed through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 31,200.00 Baht according to 116/2568 | |
| 53 | 22/09/2025 | Mr. Songkran Issara | 300 in conjunction with 56(4) / SEC Act | Mr. Songkran Issara, Chief Executive Officer, who is responsible for the operation of Charn Issara Development Public Company Limited ("CI"), shall be liable for CI’s failure to prepare and submit the key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 115/2568 | |
| 54 | 22/09/2025 | Mr. Songkran Issara | 300 in conjunction with 56(4) / SEC Act | Mr. Songkran Issara, Chief Executive Officer, who is responsible for the operation of Charn Issara Development Public Company Limited ("CI"), shall be liable for CI’s failure to prepare and submit the financial highlight for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 115/2568 | |
| 55 | 22/09/2025 | Mr. Songkran Issara | 300 in conjunction with 56(4) / SEC Act | Mr. Songkran Issara, Chief Executive Officer, who is responsible for the operation of Charn Issara Development Public Company Limited ("CI"), shall be liable for CI’s failure to prepare and submit the financial covenants for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 115/2568 | |
| 56 | 22/09/2025 | Charn Issara Development Public Company Limited | 56(4) / SEC Act | Charn Issara Development Public Company Limited ("CI"), a securities issuer, failed to prepare and submit the key financial ratio for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 14, 2024. However, the key financial ratio for Q2/2024 was later submitted through the transmission system of the SEC Office on August 15, 2024. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 114/2568 | |
| 57 | 22/09/2025 | Charn Issara Development Public Company Limited | 56(4) / SEC Act | Charn Issara Development Public Company Limited ("CI"), a securities issuer, failed to prepare and submit the financial highlight for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 14, 2024. However, the financial highlight for Q2/2024 was later submitted through the transmission system of the SEC Office on August 15, 2024. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 114/2568 | |
| 58 | 22/09/2025 | Charn Issara Development Public Company Limited | 56(4) / SEC Act | Charn Issara Development Public Company Limited ("CI"), a securities issuer, failed to prepare and submit the financial covenants for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 14, 2024. However, the financial covenants for Q2/2024 was later submitted through the transmission system of the SEC Office on August 15, 2024. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 114/2568 | |
| 59 | 22/09/2025 | Mr. Pathompol Saosap | 300 in conjunction with 56(4) / SEC Act | Mr. Pathompol Saosap, The Director, who is responsible for the operation of Thai Polycons Public Company Limited
("TPOLY"), shall be liable for TPOLY’s failure to prepare and submit the accurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 113/2568 | |
| 60 | 22/09/2025 | Thai Polycons Public Company Limited | 56(4) / SEC Act | Thai Polycons Public Company Limited ("TPOLY"), a securities issuer, prepared and submitted the inaccurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board on August 14, 2024. Later, the rectified key financial ratio for Q2/2024 was filed through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 112/2568 | |
| 61 | 22/09/2025 | Miss Somsri Tangtatpongsathorn | 300 in conjunction with 56(4) / SEC Act | Miss Somsri Tangtatpongsathorn, Accounting and Finance Manager, who is responsible for the operation of ASIA HOTEL Public Company Limited ("ASIA"), shall be liable for ASIA’s failure to prepare and submit the accurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to her failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 111/2568 | |
| 62 | 22/09/2025 | Asia Hotel Public Company Limited | 56(4) / SEC Act | Asia Hotel Public Company Limited ("ASIA"), a listed company, prepared and submitted the inaccurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board on August 14, 2024. Later, the rectified key financial ratio for Q2/2024 was filed through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 110/2568 | |
| 63 | 22/09/2025 | Mr. Piyapong Kodchana | 94 in conjunction with 30 / DAB Act | Mr. Piyapong Kodchana, a Chief Operating Officer of Bitkub Online Company Limited (''Bitkub''), has been responsible for the operation of Bitkub. He fails to perform the required duties of his position resulted in the offence committed by Bitkub concerning the case that during September 22, 2024 to February 8, 2025, Bitkub as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Bitkub did not provide customers with cryptocurrency training or cryptocurrency knowledge tests before providing services to them. | | Criminal Fine | imposing a fine of 230,000.00 Baht according to 16/2568 | |
| 64 | 22/09/2025 | Bitkub Online Company Limited | 30 / DAB Act | During September 22, 2024 to February 8, 2025, Bitkub Online Company Limited (''Bitkub'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Bitkub did not provide customers with cryptocurrency training or cryptocurrency knowledge tests before providing services to them. | | Criminal Fine | imposing a fine of 230,000.00 Baht according to 15/2568 | |
| 65 | 22/09/2025 | Mr. Tanawat Sutuntivorakoon | 94 in conjunction with 30 / DAB Act | Mr. Tanawat Sutuntivorakoon, a Chief Executive Officer of a digital asset broker called Bitazza Company Limited ("Bitazza"), has been responsible for the business operation of Bitazza. His failure to perform the required duty of his position resulted in the offence committed by Bitazza concerning the case that between September 22, 2024 and September 23, 2024, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the SEC office. | | Criminal Fine | imposing a fine of 154,000.00 Baht according to 14/2568 | |
| 66 | 22/09/2025 | Bitazza Company Limited | 30 / DAB Act | Between September 22, 2024 and September 23, 2024, Bitazza Company Limited ("Bitazza") as a digital asset broker, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the SEC office. | | Criminal Fine | imposing a fine of 154,000.00 Baht according to 13/2568 | |
| 67 | 10/09/2025 | Group Lease Public Company Limited | 56(2)(4) / SEC Act | Group Lease Public Company Limited, a securities issuer, prepared and submitted the inaccurate audited financial statements for the year 2020 and the management discussion and analysis for the year 2020 through the transmission system of the Stock Exchange of Thailand as prescribed by the Notification of the Capital Market Supervisory Board. The rectified audited financial statements for the year 2020 and the management discussion and analysis for the year 2020 have not yet been submitted through the transmission system of the Stock Exchange of Thailand. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 68 | 10/09/2025 | Mr. Riki Ishigami | 300 in conjunction with 56(2)(4) / SEC Act | Mr. Riki Ishigami, a Chief Executive Officer, who is responsible for the operation of Group Lease Public Company Limited ("GL"), shall be liable for GL’s failure to prepare and submit the audited financial statements for the year 2020 and the management discussion and analysis for the year 2020 through the transmission system of the Stock Exchange of Thailand as prescribed by the notification of Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 69 | 10/09/2025 | Euroasia Total Logistics Public Company Limited | 278 and 302/1 / SEC Act | Euroasia Total Logistics Public Company Limited (“ETL”) concealed material facts regarding the payment of dividends prior to the Initial Public Offering (“IPO”), which should have been disclosed in the registration statement and draft prospectus (“filing”). In addition, ETL submitted the minutes of the Board of Directors’ Meeting No. 6/2566, held on 11 September 2023, which concealed such material facts that should have been disclosed to the SEC Office. | 232/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 70 | 10/09/2025 | Mr. Krishna Boonyachai | 300 in conjunction with 278 / SEC Act | Mr. Krishna, who was responsible for the operation of EuroAsia Total Logistics Public Company Limited (“ETL”) at the time, shall be liable to the penalty under Section 300 in conjunction with Section 278 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”), in the case where ETL concealed material facts regarding the interim dividend payment in September 2023, which should have been disclosed in the registration statement and draft prospectus (the “filing”) prior to the Initial Public Offering (“IPO”). | 232/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
| |
| 71 | 10/09/2025 | Mr. Vorapote Uchoepaiboonvong | 300 in conjunction with 278 / SEC Act | Mr. Vorapote who was responsible for the operation of EuroAsia Total Logistics Public Company Limited (“ETL”) at the time, shall be liable to the penalty under Section 300 in conjunction with Section 278 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”), in the case where ETL concealed material facts regarding the interim dividend payment in September 2023, which should have been disclosed in the registration statement and draft prospectus (the “filing”) prior to the Initial Public Offering (“IPO”). | 232/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 72 | 10/09/2025 | Mrs. Araya Kongsoonthorn | 300 in conjunction with 278 / SEC Act | Mrs. Araya who was responsible for the operation of EuroAsia Total Logistics Public Company Limited (“ETL”) at the time, shall be liable to the penalty under Section 300 in conjunction with Section 278 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”), in the case where ETL concealed material facts regarding the interim dividend payment in September 2023, which should have been disclosed in the registration statement and draft prospectus (the “filing”) prior to the Initial Public Offering (“IPO”). | 232/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 73 | 10/09/2025 | Mr. Chudet Kongsoonthorn | 300 in conjunction with 278 and 302/1 / SEC Act | Mr. Chudet was who was responsible for the operation of EuroAsia Total Logistics Public Company Limited (“ETL”) at the time, shall be liable to the penalty under Section 300 in conjunction with Section 278 and Section 302/1 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”), in the case where ETL concealed material facts regarding the interim dividend payment in September 2023, which should have been disclosed in the registration statement and draft prospectus (the “filing”) prior to the Initial Public Offering (“IPO”), and submitted the minutes of the Board of Directors’ Meeting No. 6/2566, held on 11 September 2023, which concealed such material facts that should have been disclosed to the SEC Office. | 232/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 74 | 10/09/2025 | Miss Busarin Tuanchaem | 300 in conjunction with 278 / SEC Act | Miss Busarin who was responsible for the operation of EuroAsia Total Logistics Public Company Limited (“ETL”) at the time, shall be liable to the penalty under Section 300 in conjunction with Section 278 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”), in the case where ETL concealed material facts regarding the interim dividend payment in September 2023, which should have been disclosed in the registration statement and draft prospectus (the “filing”) prior to the Initial Public Offering (“IPO”). | 232/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 75 | 10/09/2025 | Mr. Yik Chieh Lee | 300 in conjunction with 278 / SEC Act | Mr. Yik Chieh Lee who was responsible for the operation of EuroAsia Total Logistics Public Company Limited (“ETL”) at the time, shall be liable to the penalty under Section 300 in conjunction with Section 278 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”), in the case where ETL concealed material facts regarding the interim dividend payment in September 2023, which should have been disclosed in the registration statement and draft prospectus (the “filing”) prior to the Initial Public Offering (“IPO”). | 232/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 76 | 10/09/2025 | Miss Krishavan Chuecharoenchai | 300 in conjunction with 278 and 302/1 / SEC Act | Miss Krishavan was the person who signed to certify the accuracy of the effective filing and executed the power of attorney for the submission of supporting documents to the SEC Office in the case where Euroasia Total Logistics Public Company Limited (“ETL”) concealed material facts regarding the payment of dividends prior to the Initial Public Offering (“IPO”), which should have been disclosed in the registration statement and draft prospectus (the “filing”). In addition, ETL submitted the minutes of the Board of Directors’ Meeting No. 6/2566, held on 11 September 2023, which concealed such material facts that should have been disclosed to the SEC Office. Accordingly, Miss Krishavan, as a person responsible for the operation of ETL, shall be liable to the penalty under Section 300 in conjunction with Section 278 and Section 302/1 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”). | 232/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 77 | 10/09/2025 | Mr. Charoenkiat Huthananuntha | 300 in conjunction with 278 / SEC Act | Mr. Charoenkiat who was responsible for the operation of EuroAsia Total Logistics Public Company Limited (“ETL”) at the time, shall be liable to the penalty under Section 300 in conjunction with Section 278 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”), in the case where ETL concealed material facts regarding the interim dividend payment in September 2023, which should have been disclosed in the registration statement and draft prospectus (the “filing”) prior to the Initial Public Offering (“IPO”). | 232/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 78 | 10/09/2025 | Miss Pincha Chaisam | 300 in conjunction with 278 / SEC Act | Miss Pincha who was responsible for the operation of EuroAsia Total Logistics Public Company Limited (“ETL”) at the time, shall be liable to the penalty under Section 300 in conjunction with Section 278 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”), in the case where ETL concealed material facts regarding the interim dividend payment in September 2023, which should have been disclosed in the registration statement and draft prospectus (the “filing”) prior to the Initial Public Offering (“IPO”). | 232/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 79 | 06/09/2025 | Mrs KANPAKKAYA PRASERTKIJKUL | | | 227/2025 | Administrative Orders | Revocation | Effective Date 06/09/2025 to 05/09/2027 |
| 80 | 02/09/2025 | Mr. Peerapong Jirasevijinda | 244/3 (1) / SEC Act (the fifth amendment) | On 12 July 2023, Mr. Peerapong Jirasevijinda placed sell orders for 30,000,000 shares of JMT Network Services Public Company Limited (JMT) —a substantial amount —which was later entirely cancelled. His intention in placing selling orders was to test the market, without intention to execute transactions, in such a way that misleads other persons regarding the price or volume of securities trading. | 222/2025 | Civil Sanction | 02/09/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 204,187.00 Baht | |
| 81 | 29/08/2025 | Miss Vimonta Vichiateeraphongse | 244/3 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) / SEC Act (the fifth amendment) | During 13 March 2018 – 21 September 2018, Miss Vimonta Vichiateeraphongse colluded with 2 persons to manipulate the share price of Thai Capital Corporation Public Company Limited’s (TCC), by placing trading orders or trading TCC’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities. | | Civil Sanction | 29/08/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 349,850.00 Baht
- a civil monetary penalty of 524,775.00 Baht
- a suspension of securities and derivatives trading between 29/08/2025 and 27/02/2026
- a bar from serving as a director or executive in a securities issuing company between 29/08/2025 and 28/08/2026
- a bar from serving as a director or executive in a securities company between 29/08/2025 and 28/08/2026
- a reimbursement of investigative expenses in an amount of 142,183.00 Baht | |
| 82 | 29/08/2025 | Miss Vimonta Vichiateeraphongse | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 September 2018 – 6 November 2018, Miss Vimonta Vichiateeraphongse colluded with 9 persons to manipulate the securities price of Thai Capital Corporation Public Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading TCC’s shares, TCC-W3 TCC-W4 and TCC-W5 in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | 29/08/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 237,828.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 01/03/2026 and 30/04/2027
- a bar from serving as a director or executive in a securities issuing company between 29/08/2026 and 28/12/2028
- a bar from serving as a director or executive in a securities company between 29/08/2026 and 28/12/2028
- a reimbursement of investigative expenses in an amount of 42,655.00 Baht | |
| 83 | 28/08/2025 | Mr. Worrawit Khounwilai | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 31 March 2020 – 8 May 2020, Mr. Worrawit Khounwilai colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities (UREKA) by placing trading orders or trading UREKA’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 195/2025 | Civil Sanction | 28/08/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 73,473.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 51,714.00 Baht | |
| 84 | 27/08/2025 | Mr Sitthiphat Sinfaphanit | 246 in conjunction with section 86 of the Penal Code / SEC Act | Mr. Sitthipat, in his capacity as the person responsible for supervising the operations of Beyond Securities Co., Ltd. (“Beyond Securities”), as the financial advisor for the tender offer of CPT Drive and Power Public Company Limited (“CPT”), failed to comply with the regulations as specified by the Capital Market Supervisory Board by assisting or facilitating the group of offerors in preparing the tender offer (Form 247-4) without attaching the financial statements of the group of offerors for the CPT shareholders immediately after the submission of the tender offer to the Office of the Securities and Exchange Commission, and by failing to ensure that the group of offerors were made aware of their duties and responsibilities to deliver a complete Form 247-4 to the shareholders, which is in violation of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 33,666.00 Baht according to 109/2568 | |
| 85 | 27/08/2025 | Beyond Securities Public Company Limited | 246 in conjunction with section 86 of the Penal Code / SEC Act | Beyond Securities Co., Ltd. (“Beyond Securities”), as the financial advisor for the tender offer of CPT Drive and Power Public Company Limited (“CPT”), failed to comply with the regulations as specified by the Capital Market Supervisory Board by assisting or facilitating the group of offerors in preparing the tender offer (Form 247-4) without attaching the financial statements of the group of offerors for the CPT shareholders immediately after the submission of the tender offer to the Office of the Securities and Exchange Commission, and by failing to ensure that the group of offerors were made aware of their duties and responsibilities to deliver a complete Form 247-4 to the shareholders, which is in violation of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 33,666.00 Baht according to 108/2568 | |
| 86 | 27/08/2025 | Real DC Co., Ltd. | 247 / SEC Act | Real DC Co., Ltd. and two other legal entities ("group of offerors") failed to comply with the regulations as specified by the Capital Market Supervisory Board by acquiring ordinary shares of CPT Drive and Power Public Company Limited (“CPT”), which resulted in crossing the 25 percent threshold of the total voting rights of the business, without complying with the required rules, conditions, and procedures. Specifically, Real DC Co., Ltd. submitted the tender offer (Form 247-4) without attaching the financial statements of the group of offerors for the CPT shareholders immediately after the submission of the tender offer to the Office of the Securities and Exchange Commission, which is in violation of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 50,500.00 Baht according to 107/2568 | |
| 87 | 27/08/2025 | Saishin Energy LLC. | 247 / SEC Act | Saishin Energy LLC. and two other legal entities ("group of offerors") failed to comply with the regulations as specified by the Capital Market Supervisory Board by acquiring ordinary shares of CPT Drive and Power Public Company Limited (“CPT”), which resulted in crossing the 25 percent threshold of the total voting rights of the business, without complying with the required rules, conditions, and procedures. Specifically, Saishin Energy LLC. submitted the tender offer (Form 247-4) without attaching the financial statements of the group of offerors for the CPT shareholders immediately after the submission of the tender offer to the Office of the Securities and Exchange Commission, which is in violation of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 50,500.00 Baht according to 106/2568 | |
| 88 | 27/08/2025 | CPT Holding Co., Ltd. | 247 / SEC Act | CPT Holding Co., Ltd. (“CPT Holding”) and two other legal entities ("group of offerors") failed to comply with the regulations as specified by the Capital Market Supervisory Board by acquiring ordinary shares of CPT Drive and Power Public Company Limited (“CPT”), which resulted in crossing the 25 percent threshold of the total voting rights of the business, without complying with the required rules, conditions, and procedures. Specifically, CPT Holding submitted the tender offer (Form 247-4) without attaching the financial statements of the group of offerors for the CPT shareholders immediately after the submission of the tender offer to the Office of the Securities and Exchange Commission, which is in violation of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 50,500.00 Baht according to 105/2568 | |
| 89 | 27/08/2025 | Mr. Weidt Nuchjalearn | 59 / SEC Act | Mr. Weidt Nuchjalearn, Chairman of Siamrajathanee Public Company Limited, has changed his securities holding.
In this regard, Mr. Weidt has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within December 22, 2020. However, Mr. Weidt prepared and disclosed the report (Form 59) to the SEC office on December 23, 2020.
| | Criminal Fine | imposing a fine of 5,050.00 Baht according to 104/2568 | |
| 90 | 27/08/2025 | Mr. Vit Leelawat | 59 / SEC Act | Mr. Vit Leelawat, Chairman of Wattanapat Hospital Trang Public Company Limited (WPH), has changed his securities holding.
In this regard, Mr. Vit has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within December 29, 2020. However, Mr. Vit prepared and disclosed the report (Form 59) to the SEC office on June 8, 2021.
| | Criminal Fine | imposing a fine of 26,100.00 Baht according to 103/2568 | |
| 91 | 27/08/2025 | Mr. Chuang, Chih Yao | 59 / SEC Act | Mr. Chuang, Chih Yao, Chairman of Hwa Fong Rubber (Thailand) Public Company Limited (HFT), has changed his securities holding in HFT during the period from November 9, 2020 to April 26, 2024. In this regard, Mr. Chuang, Chih Yao has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within the period from November 12, 2020 to May 2, 2024 as the case may be. However, Mr. Chuang, Chih Yao prepared and disclosed the report (Form 59) to the SEC office during the period from November 16, 2020 to May 3, 2024. | | Criminal Fine | imposing a fine of 50,150.00 Baht according to 102/2568 | |
| 92 | 27/08/2025 | Mr. Asun Taechasirithiwapakdi | 59 / SEC Act | Mr. Asun Taechasirithiwapakdi, Chairman of JCK International Public Company Limited (JCK), has changed his securities holding. In this regard, Mr. Asun has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within December 18, 2020. However, Mr. Asun prepared and disclosed the report (Form 59) to the SEC office on December 28, 2020. | | Criminal Fine | imposing a fine of 5,500.00 Baht according to 101/2568 | |
| 93 | 27/08/2025 | Mr. Chaipipat Kaewtrirat | 300 in conjunction with 56(4) / SEC Act | Mr. Chaipipat Kaewtrirat, a former Managing Director, who is responsible for the operation of AQUA Corporation Public Company Limited ("AQUA"), shall be liable for AQUA’s failure to prepare and submit the accurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed | | Criminal Fine | imposing a fine of 30,600.00 Baht according to 100/2568 | |
| 94 | 27/08/2025 | AQUA Corporation Public Company Limited | 56(4) / SEC Act | AQUA Corporation Public Company Limited ("AQUA"), a securities issuer, prepared and submitted the inaccurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board on August 15, 2024. Later, the rectified key financial ratio for Q2/2024 was filed through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 30,600.00 Baht according to 99/2568 | |
| 95 | 27/08/2025 | Mr. Norravit Taesukavat | 300 in conjunction with 56(4) / SEC Act | Mr. Norravit Taesukavat, Chief Financial & Accounting Officer, who is responsible for the operation of Srisawad Capital 1969 Public Company Limited ("SCAP"), shall be liable for SCAP’s failure to prepare and submit the accurate key financial ratio for year 2023 through the transmission system of the SEC Office as prescribed by the notification of the Capital Market Supervisory Board, due to her failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 98/2568 | |
| 96 | 27/08/2025 | Srisawad Capital 1969 Public Company Limited | 56(4) / SEC Act | Srisawad Capital 1969 Public Company Limited ("SCAP"), a listed company, prepared and submitted the inaccurate key financial ratio for the year 2023 through the transmission system of the SEC Office as prescribed by the notification of the Capital Market Supervisory Board on February 28, 2024. Later, the rectified key financial ratio for the year 2023 was filed through the transmission system of the SEC Office on March 1, 2024. | | Criminal Fine | imposing a fine of 38,625.00 Baht according to 97/2568 | |
| 97 | 27/08/2025 | Mrs. Sirichol Piajun | 300 in conjunction with 34 / SEC Act | Mrs. Sirichol Piajun, authorized director who is responsible for the operation of 199 Medical Clinic Company Limited, order or act resulting in 199 Medical Clinic Company Limited’s shares offering in the form of general or to the public without approval from the SEC office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 96/2568 | |
| 98 | 27/08/2025 | 199 Medical Clinic Company Limited | 34 / SEC Act | 199 Medical Clinic Company Limited offered for sale of newly issued shares in the form of general or to the public without approval from the SEC office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 95/2568 | |
| 99 | 27/08/2025 | All Inspire Development Public Company Limited | 56(3)(4) and 281/10 / SEC Act | All Inspire Development Public Company Limited ("ALL") submit an incorrect form 56-1
One Report for the year 2022 and made false statements or concealed material information that should have been disclosed in The form 56-1 One Report for the year 2022. Specifically, ALL had two significant legal disputes related to its financial status and business operations, which could have a material impact on the company’s business. Therefore, ALL was required to disclose information regarding these legal disputes in the form 56-1 One Report for the year 2022. However, on March 31, 2023, ALL submitted the form 56-1 One Report for the year 2022 without disclosing information about these disputes. Instead, it stated that “The company has no legal disputes that may cause damage to the group’s assets exceeding five percent of shareholders’ equity and has no other legal disputes that may materially affect the group’s business operations.” | 219/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 100 | 27/08/2025 | Mr. Thanakorn Thanawarith | 300 in conjunction with 56(3)(4) and 281/10 / SEC Act | Mr. Thanakorn Thanawarith, who at the time of the incident held the position of Chief Executive Officer and was responsible for the operations of All Inspire Development Public Company Limited (“ALL”), had a duty to supervise ALL’s disclosure of information in the form 56-1 One Report for the year 2022 in compliance with the law. However, Mr. Thanakorn failed to order or act as required by his responsibilities, and is therefore liable for ALL’s disclosed incorrect information and made false statements or concealed material information that should have been disclosed in the form 56-1 One Report for the year 2022. Specifically, ALL had two significant legal disputes related to its financial status and business operations, which could have a material impact on the company’s business. Therefore, ALL was required to disclose information regarding these legal disputes in the form 56-1 One Report for the year 2022. However, on March 31, 2023, ALL submitted the form 56-1 One Report for the year 2022 without disclosing information about these disputes. Instead, it stated that “The company has no legal disputes that may cause damage to the group’s assets exceeding five percent of shareholders’ equity and has no other legal disputes that may materially affect the group’s business operations.” | 219/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 101 | 27/08/2025 | Mr. Dusadee Lekyim | 300 in conjunction with 56(3)(4) and 281/10 / SEC Act | Mr. Dusadee Lekyim, who at the time of the incident served as a director responsible for the operations of
All Inspire Development Public Company Limited (“ALL”) and was one of the signatories certifying the accuracy of ALL’s 56-1 One Report for the year 2022, had a duty to supervise ALL’s disclosure of information in the form 56-1 One Report for the year 2022 in accordance with the law. However, Mr. Dusadee failed to order or act as required by his responsibilities, and is therefore liable for ALL’s disclosed incorrect information and made false statements or concealed material information that should have been disclosed in the form 56-1 One Report for the year 2022. Specifically, ALL had two significant legal disputes related to its financial status and business operations, which could have a material impact on the company’s business. Therefore, ALL was required to disclose information regarding these legal disputes in the form 56-1 One Report for the year 2022. However, on March 31, 2023, ALL submitted the form 56-1 One Report for the year 2022 without disclosing information about these disputes. Instead, it stated that “The company has no legal disputes that may cause damage to the group’s assets exceeding five percent of shareholders’ equity and has no other legal disputes that may materially affect the group’s business operations.”
| 219/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 102 | 26/08/2025 | Miss Areeporn Kaewklom | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 31 March 2020 – 8 May 2020, Miss Areeporn Kaewklom colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities (UREKA) by placing trading orders or trading UREKA’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 195/2025 | Civil Sanction | 26/08/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 122,799.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 51,714.00 Baht | |
| 103 | 26/08/2025 | Miss Sophit Phukphat | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 31 March 2020 – 8 May 2020, Miss Sophit Phukphat colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities (UREKA) by placing trading orders or trading UREKA’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 195/2025 | Civil Sanction | 26/08/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 122,799.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 51,714.00 Baht | |
| 104 | 25/08/2025 | Miss Pajaree Samattakitborriharn | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | On 22 Feb 2023 Miss Pajaree Samattakitborriharn colluded with others to manipulate the stock price of Ready Planet Public Company Limited (“READY”) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 213/2025 | Civil Sanction | 25/08/2025 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process currently under the state attorney process |
| 105 | 25/08/2025 | Mr. Thaveerat Proongpattanaskul | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | On 22 Feb 2023 Mr. Thaveerat Proongpattanaskul colluded with others to manipulate the stock price of Ready Planet Public Company Limited (“READY”) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 213/2025 | Civil Sanction | 25/08/2025 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process currently under the state attorney process |
| 106 | 25/08/2025 | Miss Phitchayada Sirithong | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | On 22 Feb 2023 Miss Phitchayada Sirithong colluded with others to manipulate the stock price of Ready Planet Public Company Limited (“READY”) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 213/2025 | Civil Sanction | 25/08/2025 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process currently under the state attorney process |
| 107 | 19/08/2025 | Miss JIRAPAN UNWISET | | | 206/2025 | Administrative Orders | Suspension | Effective Date 19/08/2025 to 18/05/2026 |
| 108 | 19/08/2025 | Mr THORNTHAN PHRUTTITANAKORN | | | 206/2025 | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 19/08/2025 to 02/04/2026 |
| 109 | 14/08/2025 | Mrs. Vally Sungsiri | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 26 February – 7 March 2016 and during 8 March – 18 April 2016, Mrs. Vally Sungsiri and Miss Sunisa Chutinaton colluded to manipulate the stock price of Thonburi Medical Centre Public Company Limited, by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 141/2025 | Civil Sanction | 14/08/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 15,297,812.50 Baht | |
| 110 | 08/08/2025 | SS Interchem Company Limited | Section 57(6) / SEC Act | SS Interchem Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on December 1, 2023, January 3, 2024, and February 1 2024 to the SEC Office within the period specified by the SEC Office Notification, on three occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 111 | 08/08/2025 | Mr. Yodchai Seritsri | 300 in conjunction with 57(6) / SEC Act | Mr. Yodchai Seritsri, an authorized director of SS Interchem Company Limited was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by SS Interchem Company Limited concerning the case that SS Interchem Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on December 1, 2023, January 3, 2024, and February 1 2024 to the SEC Office within the period specified by the SEC Office Notification, on three occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 112 | 08/08/2025 | Dragon Energy Technology and Organizer Company Limited | Section 57(6) / SEC Act | Dragon Energy Technology and Organizer Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on December 29, 2023 and January 31, 2024 to the SEC Office within the period specified by the SEC Office Notification, on two occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 113 | 08/08/2025 | Mr. Phonlakrit Klamkruea | 300 in conjunction with 57(6) / SEC Act | Mr. Phonlakrit Klamkruea, an authorized director of Dragon Energy Technology and Organizer Company Limited was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by Dragon Energy Technology and Organizer Company Limited concerning the case that Dragon Energy Technology and Organizer Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on December 29, 2023 and January 31, 2024 to the SEC Office within the period specified by the SEC Office Notification, on two occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 114 | 08/08/2025 | Scene Bangkok Company Limited | Section 57(6) / SEC Act | Scene Bangkok Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on December 2023, January 3, 2024, and February 1, 2024 to the SEC Office within the period specified by the SEC Office Notification, on three occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 115 | 08/08/2025 | Ms. Lukmai Lapkitro (at the time of the incident, Ms. Lukmai Anuwatmethi) | 300 in conjunction with 57(6) / SEC Act | Ms. Lukmai Lapkitro (at the time of the incident, Ms. Lukmai Anuwatmethi), an authorized director of Scene Bangkok Company Limited was responsible for the company's operations. Her failure to perform the required duty of her position resulted in the offence committed by Scene Bangkok Company Limited concerning the case that Scene Bangkok Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on December 2023, January 3, 2024, and February 1, 2024 to the SEC Office within the period specified by the SEC Office Notification, on three occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 116 | 08/08/2025 | Ocell Sport (Thailand) Company Limited | Section 57(6) / SEC Act | Ocell Sport (Thailand) Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 25, 2024
to the SEC Office later than the period specified by the SEC Office Notification, on two occasions.
| | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 117 | 08/08/2025 | Mr. Chanakit Jongsiriwat | 300 in conjunction with 57(6) / SEC Act | Mr. Chanakit Jongsiriwat, an authorized director of Ocell Sport (Thailand) Company Limited was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by Ocell Sport (Thailand) Company Limited concerning the case that Ocell Sport (Thailand) Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 25, 2024 to the SEC Office later than the period specified by the SEC Office Notification, on two occasions.
| | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 118 | 08/08/2025 | Mr.Viroj Patcharawattanakul | 242(1) in conjunction with section 244 (2) and (5) / SEC Act (the fifth amendment) | Mr.Viroj Patcharawattanakul is legally presumed to have knowledge or possession of inside information, and able to access inside information relating to the AAPICO Hitech Public Company Limited (AH) performance for Q3/2022 which would be significantly increased. Subsequently, during 9 November 2022 to 14 February 2022 prior to AH’s disclosure of such inside information to the public on 14 February 2022 at 6.03 pm, Mr.Viroj Patcharawattanakul alleged purchased AH shares by using such inside information through his securities trading accounts. | 188/2025 | Civil Sanction | 08/08/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 2,360,000.00 Baht
- a civil monetary penalty of 2,714,000.00 Baht
- a reimbursement of investigative expenses in an amount of 94,972.00 Baht | |
| 119 | 07/08/2025 | MRS. TEO LEE NGO | 242(1) in conjunction with Section 243 (1) and Section 244 (3) and (5) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | MRS. TEO LEE NGO is legally presumed to have knowledge or possession of inside information about AAPICO Hitech Public Company Limited (AH) performance for Q3/2022 which would be significantly increased. Subsequently, during 3 November 2022 to 14 February 2022 prior to AH’s disclosure of such inside information to the public on 14 February 2022 at 6.03 pm, MRS. TEO LEE NGO colluded with MR. KOH LIAN KING bought AH shares by using such inside information through MR. KOH LIAN KING’s securities trading accounts. | 188/2025 | Civil Sanction | 07/08/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 536,850.00 Baht
- a civil monetary penalty of 671,062.50 Baht
- a bar from serving as a director or executive in a securities issuing company between 07/08/2025 and 06/10/2026
- a bar from serving as a director or executive in a securities company between 07/08/2025 and 06/10/2026
- a reimbursement of investigative expenses in an amount of 94,972.50 Baht | |
| 120 | 06/08/2025 | Miss Piyapach Udomrat | 244/2 in conjunction with 244/1 / SEC Act | In 2023-2024, Miss Piyapach Udomrat colluded with Mr. Wisut Boonkasemsanti and Mrs. Nawinee Udomrat in a manner that is likely to cause a disadvantage to the mutual fund. Miss Piyapach, a dealer, possessed inside information related to trading orders of securities of fund and disclosed such information to Mr. Wisut, in which, Mr. Wisut placed trading orders of securities before the execution of Miss Piyapach’s order for the mutual fund was completed. Mrs. Nawinee was involved in the financial matters of the said actions. | 199/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 121 | 06/08/2025 | Mr. Wisut Boonkasemsanti | 244/2 in conjunction with 244/1 and 315 / SEC Act | In 2023-2024, Miss Piyapach Udomrat colluded with Mr. Wisut Boonkasemsanti and Mrs. Nawinee Udomrat in a manner that is likely to cause a disadvantage to the mutual fund. Miss Piyapach, a dealer, possessed inside information related to trading orders of securities of fund and disclosed such information to Mr. Wisut, in which, Mr. Wisut placed trading orders of securities before the execution of Miss Piyapach’s order for the mutual fund was completed. Mrs. Nawinee was involved in the financial matters of the said actions. | 199/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 122 | 06/08/2025 | Mrs. Nawinee Udomrat | 244/2 in conjunction with 244/1 and 315 / SEC Act | In 2023-2024, Miss Piyapach Udomrat colluded with Mr. Wisut Boonkasemsanti and Mrs. Nawinee Udomrat in a manner that is likely to cause a disadvantage to the mutual fund. Miss Piyapach, a dealer, possessed inside information related to trading orders of securities of fund and disclosed such information to Mr. Wisut, in which, Mr. Wisut placed trading orders of securities before the execution of Miss Piyapach’s order for the mutual fund was completed. Mrs. Nawinee was involved in the financial matters of the said actions. | 199/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 123 | 01/08/2025 | MR. KOH LIAN KING | 242 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 3 November 2022 to 14 February 2022, MR. KOH LIAN KING colluded with MRS. TEO LEE NGO, who is legally presumed to have knowledge or possession of inside information about AAPICO Hitech Public Company Limited (AH) performance for Q3/2022 which would be significantly increased, alleged purchased AH share by using such insider information through MR. KOH LIAN KING’s securities trading accounts, prior to AH’s disclosure of such inside information to the public on 14 February 2022 at 6.03 pm | 188/2025 | Civil Sanction | 01/08/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 100,750.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 01/08/2025 and 31/07/2026
- a bar from serving as a director or executive in a securities company between 01/08/2025 and 31/07/2026
- a reimbursement of investigative expenses in an amount of 94,972.00 Baht | |
| 124 | 22/07/2025 | Miss USA PULLKERD | | | 183/2025 | Administrative Orders | Revocation | Effective Date 22/07/2025 to 21/07/2035 |
| 125 | 21/07/2025 | Mr. Pongsak Lothongkam | 242(1) in conjunction with section 243(1)(2)(3) / SEC Act (the fifth amendment) | Mr. Pongsak Lothongkam knew or possessed positive material information about SVI Public Company Limited (SVI) Q3/2021 performance which would be significantly increase. Subsequently, during 27 September 2021 to 10 November 2021, Mr. Pongsak Lothongkam bought SVI’s shares by using such inside information prior to SVI’s disclosure of such inside information to the public on 10 November 2021, 7.09 p.m., | | Civil Sanction | 21/07/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 48,530,824.00 Baht
- a civil monetary penalty of 74,413,930.13 Baht
- a bar from serving as a director or executive in a securities issuing company between 21/07/2025 and 20/12/2027
- a bar from serving as a director or executive in a securities company between 21/07/2025 and 20/12/2027
- a reimbursement of investigative expenses in an amount of 392,839.87 Baht | |
| 126 | 18/07/2025 | 18 JULY Company Limited | Section 57(6) / SEC Act | 18 JULY Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 18, 2024 to the SEC Office within the period specified by the SEC Office Notification, on one occasion. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 127 | 18/07/2025 | Mr. Phisit Kaewwanich | 300 in conjunction with 57(6) / SEC Act | Mr. Phisit Kaewwanich, an authorized director of 18 JULY Company Limited was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by 18 JULY Company Limited concerning the case that 18 JULY Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 18, 2024 to the SEC Office within the period specified by the SEC Office Notification, on one occasion. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 128 | 18/07/2025 | Watchara Trading 2018 Company Limited | Section 57(6) / SEC Act | Watchara Trading 2018 Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 24, 2023 to the SEC Office within the period specified by the SEC Office Notification, on two occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 129 | 18/07/2025 | Lt. Watcharachai Sirimanakitrung | 300 in conjunction with 57(6) / SEC Act | Lt. Watcharachai Sirimanakitrung, at the time of the incident, the name was Lt. Watcharachai Sirimanakitrung, an authorized director of Watchara Trading 2018 Company Limited was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by Watchara Trading 2018 Company Limited concerning the case that Watchara Trading 2018 Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 24, 2023 to the SEC Office within the period specified by the SEC Office Notification, on two occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 130 | 18/07/2025 | Lim Champ Charoen Company Limited | Section 57(6) / SEC Act | Lim Champ Charoen Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 24, 2023 to the SEC Office within the period specified by the SEC Office Notification, on one occasion | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 131 | 18/07/2025 | Mr. Chanchai Chittamai | 300 in conjunction with 57(6) / SEC Act | Mr. Chanchai Chittamai, an authorized director of Lim Champ Charoen Company Limited was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by Lim Champ Charoen Company Limited concerning the case that Lim Champ Charoen Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 24, 2023 to the SEC Office within the period specified by the SEC Office Notification, on one occasion. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 132 | 18/07/2025 | Mr. Perajed Suwannapasri | 281/2 para.1 in conjunction with 89/7 / SEC Act (the fifth amendment) | Between 2019 and 2020, Mr. Perajed Suwannapasri, while serving as a director and executive of Gift Infinite Public Company Limited (“GIFT”) (now renamed as RSXYZ PUBLIC COMPANY LIMITED), instructed a group of former sales employees of GIFT to establish GLOOMMING GLOBAL COMPANY LIMITED (“GLOOMMING”) in order to operate a same business and in direct competition with GIFT. This resulted in a significant decline in GIFT’s performance and revenue. Furthermore, Mr. Perajed personally benefited from the operations of GLOOMMING | | Civil Sanction | 18/07/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 750,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 18/07/2025 and 17/01/2028
- a bar from serving as a director or executive in a securities company between 18/07/2025 and 17/01/2028
- a reimbursement of investigative expenses in an amount of 232,265.00 Baht | |
| 133 | 16/07/2025 | Mrs KINGKAND TIPPWAN | | | 175/2025 | Administrative Orders | Suspension | Effective Date 16/07/2025 to 02/03/2026 |
| 134 | 15/07/2025 | Miss Sunisa Chutinaton | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 26 February – 7 March 2016 and during 8 March – 18 April 2016, Miss Sunisa Chutinaton and Mrs. Vally Sungsiri colluded to manipulate the stock price of Thonburi Medical Centre Public Company Limited, by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 141/2025 | Civil Sanction | 15/07/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,917,937.50 Baht | |
| 135 | 14/07/2025 | Mr. Sathit Tourtripop | 300 in conjunction with 57(6) / SEC Act | Mr. Sathit Tourtripop, an authorized director of SS GLASCERA Company Limited was responsible for the company's operations. His failure to perform the required duty of her position resulted in the offence committed by SS GLASCERA Company Limited concerning the case that SS GLASCERA Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on February 8, 2024 to the SEC Office later than the period specified by the SEC Office Notification, on two occasions. | | Criminal Fine | imposing a fine of 23,120.00 Baht according to 94/2568 | |
| 136 | 14/07/2025 | SS GLASCERA Company Limited | Section 57(6) / SEC Act | SS GLASCERA Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on February 8, to the SEC Office later than the period specified by the SEC Office Notification, on two occasions. | | Criminal Fine | imposing a fine of 23,120.00 Baht according to 93/2568 | |
| 137 | 14/07/2025 | Mr. Nithiwat Mameesint | 94 in conjunction with 30 and 31 / DAB Act | Mr. Nithiwat Mameesint, a director of Bitkub Online Company Limited ("BO"), a digital asset exchange, who has been responsible for the operation of BO, shall be liable for BO’s failure to keep customers' digital assets in accordance with the notification of the SEC between July 14 and 17, 2024. In this regard, BO did not keep the assets in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 195,000.00 Baht according to 12/2568 | |
| 138 | 14/07/2025 | Mr. Thaweesap Rawan | 94 in conjunction with 30 and 31 / DAB Act | Mr. Thaweesap Rawan, a director of Bitkub Online Company Limited ("BO"), a digital asset exchange, who has been responsible for the operation of BO, shall be liable for BO’s failure to keep customers' digital assets in accordance with the notification of the SEC between July 14 and 17, 2024. In this regard, BO did not keep the assets in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 195,000.00 Baht according to 11/2568 | |
| 139 | 14/07/2025 | Bitkub Online Company Limited | 30 and 31 / DAB Act | Between July 14 and 17, 2024, Bitkub Online Company Limited ("BO"), a digital asset exchange, did not keep customers' digital assets in accordance with the notification of the SEC for 4 days. In this regard, BO did not keep the assets in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 243,750.00 Baht according to 10/2568 | |
| 140 | 09/07/2025 | JKN GLOBAL GROUP PUBLIC COMPANY LIMITED | 240 / SEC Act (the fifth amendment) | On 22 January 2024 at 14.00 hours, JKN, led by Jakkaphong | | Civil Sanction | 09/07/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 2,000,000.00 Baht
- a reimbursement of investigative expenses in an amount of 62,039.00 Baht | |
| 141 | 09/07/2025 | Mr. Jakkaphong Jakrajutatip | 300 in conjunction with 240 / SEC Act (the fifth amendment) | Jakkaphong, as a person responsible for the operations of the legal entity, caused JKN to commit the aforementioned offense. He is therefore subject to the same penalty. | | Civil Sanction | 09/07/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 2,000,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 09/07/2025 and 08/03/2030
- a bar from serving as a director or executive in a securities company between 09/07/2025 and 08/03/2030
- a reimbursement of investigative expenses in an amount of 62,039.00 Baht | |
| 142 | 01/07/2025 | TOP BY WORLD Company Limited | Section 57(6) / SEC Act | TOP BY WORLD Company Limited did note report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 17, 2023 and December 2023 to the SEC Office within the period specified by the SEC Office Notification, on two occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 143 | 01/07/2025 | Mr. Chomnath Chumsintiangtrong, At the time of the incident, th Company Limited | 300 in conjunction with 57(6) / SEC Act | Mr. Chomnath Chumsintiangtrong, At the time of the incident, the name was Mr. Natthanan Chumsintiangtrong, an authorized director of TOP BY WORLD Company Limited was responsible for the company's operations. His failure to perform the required duty of her position resulted in the offence committed by TOP BY WORLD Company Limited concerning the case that TOP BY WORLD Company Limited Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 17, 2023 and December 2023 to the SEC Office within the period specified by the SEC Office Notification, on two occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 144 | 01/07/2025 | Miss Pornpin Chivikrai | 244/3 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) / SEC Act (the fifth amendment) | During 13 March 2018 – 21 September 2018, Miss Pornpin Chivikrai colluded with 2 persons to manipulate the share price of Thai Capital Corporation Public Company Limited’s (TCC), by placing trading orders or trading TCC’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities. | | Civil Sanction | 01/07/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 01/07/2025 and 31/12/2025
- a bar from serving as a director or executive in a securities issuing company between 01/07/2025 and 30/06/2026
- a bar from serving as a director or executive in a securities company between 01/07/2025 and 30/06/2026
- a reimbursement of investigative expenses in an amount of 142,183.00 Baht | |
| 145 | 01/07/2025 | Miss Pornpin Chivikrai | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 September 2018 – 6 November 2018, Miss Pornpin Chivikrai colluded with 9 persons to manipulate the securities price of Thai Capital Corporation Public Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading TCC’s shares, TCC-W3 TCC-W4 and TCC-W5 in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | 01/07/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 16,239,595.00 Baht
- a civil monetary penalty of 24,359,392.50 Baht
- a suspension of securities and derivatives trading between 01/01/2026 and 31/05/2027
- a bar from serving as a director or executive in a securities issuing company between 01/07/2026 and 30/04/2029
- a bar from serving as a director or executive in a securities company between 01/07/2026 and 30/04/2029
- a reimbursement of investigative expenses in an amount of 42,654.50 Baht | |
| 146 | 26/06/2025 | GMO-Z com Securities (Thailand) Public Company Limited | 97 / SEC Act | GMO-Z com Securities (Thailand) Public Company Limited (“Z com Securities”) failed to maintain its net capital ratio (NCR) in accordance with the criteria prescribed by the Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 112,500.00 Baht according to 92/2568 | |
| 147 | 26/06/2025 | Mr. Jirawat Phuttitraisin | 300 in conjunction with 33 / SEC Act | Mr. Jirawat Phuttitraisin, Chairman of VILLA MEDICA (PHUKET) COMPANY LIMITED (“VILLA CO.,LTD”) , shall be liable for VILLA CO.,LTD’s offering for sale newly issued securities in the category of Private placement Between 20 June 2017 – 20 December 2017 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 91/2568 | |
| 148 | 26/06/2025 | VILLA MEDICA (PHUKET) COMPANY LIMITED | 33 / SEC Act | Between 20 June 2017 – 20 December 2017 VILLA MEDICA (PHUKET) COMPANY LIMITED. have offered newly issued securities in the category of Private placement (PP10) without the approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 90/2568 | |
| 149 | 26/06/2025 | Mr. Sithinant Manyati | 300 in conjunction with 57(6) / SEC Act | Mr. Sithinant Manyati, an authorized director of KEENBIZ Company Limited was responsible for the company's operations. His failure to perform the required duty of her position resulted in the offence committed by KEENBIZ Company Limited concerning the case that KEENBIZ Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 25, 2024 to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Fine | imposing a fine of 19,960.00 Baht according to 89/2568 | |
| 150 | 26/06/2025 | Mr. Sithinant Manyati | Section 57(6) / SEC Act | KEENBIZ Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 25, 2024, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Fine | imposing a fine of 19,960.00 Baht according to 88/2568 | |
| 151 | 26/06/2025 | Miss Louise Taechaubol | 59 / SEC Act | Miss Louise Taechaubol, a director of Triton Holding Public Company Limited (TRITN), has been in a common-law relationship with Mr. Pasu Wachirapong since May 6, 2022, as evidenced by photographs and media reports published across various outlets. As such, Mr. Pasu is considered a common-law marriage with Miss Louis, which is a person under applicable securities regulations.
The SEC found that Mr. Pasu traded shares of TRITN during the period from June 17,2022 to November 17, 2023. As a director, Miss Louise was obligated to report any changes in the securities holdings of her common-law marriage, Mr. Pasu, in accordance with the requirements set out in Form 59. However, Miss Louise failed to prepare and disclose the required reports within the timeframe specified by the SEC’s notification. | | Criminal Fine | imposing a fine of 301,600.00 Baht according to 87/2568 | |
| 152 | 26/06/2025 | Miss Louise Taechaubol | 59 / SEC Act | Miss Louise Taechaubol, a director of Global Consumer Public Company Limited (GLOCON), has been in a common-law relationship with Mr. Pasu Wachirapong since May 6, 2022, as evidenced by photographs and media reports published across various outlets. As such, Mr. Pasu is considered a common-law marriage with Miss Louis, which is a person under applicable securities regulations.
The SEC found that Mr. Pasu traded shares of GLOCON during the period from June 24, 2022, to October 27, 2023. As a director, Miss Louise was obligated to report any changes in the securities holdings of her common-law marriage, Mr. Pasu, in accordance with the requirements set out in Form 59. However, Miss Louise failed to prepare and disclose the required reports within the timeframe specified by the SEC’s notification. | | Criminal Fine | imposing a fine of 389,900.00 Baht according to 87/2568 | |
| 153 | 26/06/2025 | Mrs. Kannikar Chalitaporn | 59 / SEC Act | Mrs. Kannikar Chalitaporn, a former Chairman of Index Living Mall Public Company Limited, has changed her securities holding. In this regard, Mrs. Kannikar has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59) within November 25, 2020. However, Mrs. Kannikar prepared and disclosed the report (Form 59) to the SEC office on December 9, 2020. | | Criminal Fine | imposing a fine of 5,700.00 Baht according to 86/2568 | |
| 154 | 26/06/2025 | Mr. TAI CHONG YIH | 59 / SEC Act | Mr. TAI CHONG YIH, Director of Beyond Securities Public Company Limited has changed his securities holding. In this regard, Mr. TAI CHONG YIH has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within August 18, 2020. However, Mr. TAI CHONG YIH failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 5,050.00 Baht according to 85/2568 | |
| 155 | 26/06/2025 | Mr. TAI CHONG YIH | 59 / SEC Act | Mr. TAI CHONG YIH, Director of Tirathai Public Company Limited has changed his securities holding. In this regard, Mr. TAI CHONG YIH has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within February 14, 2022 and Octorber 4, 2023. However, Mr. TAI CHONG YIH failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 6,100.00 Baht according to 85/2568 | |
| 156 | 26/06/2025 | Mrs Kanjana Suwannapasri | 59 / SEC Act | Mrs Kanjana Suwannapasri, Deputy Managing Director of UNION PETROCHEMICAL PUBLIC COMPANY LIMITED has changed her securities holding. In this regard, Mrs Kanjana has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59) within August 26, 2020 and September 2,2020. However, Mrs Kanjana failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 523,700.00 Baht according to 84/2568 | |
| 157 | 26/06/2025 | Mr Phijit Wiriyamettakul | 59 / SEC Act | Mr Phijit Wiriyamettakul, Managing Director of VIBHAVADI MEDICAL CENTER PUBLIC COMPANY LIMITED has changed his securities holding. In this regard, Mr Phijit has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within December 23, 2021. However, Mr Phijit failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 5,600.00 Baht according to 83/2568 | |
| 158 | 26/06/2025 | Mr Praphol Milindachinla | 59 / SEC Act | Mr Praphol Milindachinla, Chairman of the Executive Committee of Beyond Securities Public Company Limited has changed his securities holding. In this regard, Mr Praphol has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within September 2, 2020. However, Mr Praphol failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 41,700.00 Baht according to 82/2568 | |
| 159 | 26/06/2025 | Mr. Tanon Tantisunthorn | 59 / SEC Act | Mr. Tanon Tantisunthorn, Deputy Chief Executive Officer of
Gulf Energy Development Public Company Limited (“GULF”) was required to prepare and submit a report on the change in securities holdings (Form 59) in accordance with the SEC’s regulations, as his spouse had conducted a transaction involving ARROW securities on 7 July 2020. However, Mr. Tanon failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC | | Criminal Fine | imposing a fine of 5,700.00 Baht according to 81/2568 | |
| 160 | 26/06/2025 | Mr. Lertchai Vongchaisit | 59 / SEC Act | Mr. Lertchai Vongchaisit, Director of
Arrow Syndicate Public Company Limited (“ARROW”) was required to prepare and submit a report on the change in securities holdings (Form 59) in accordance with the SEC’s regulations, as his spouse had conducted a transaction involving ARROW securities on 28 August 2020.. However, Mr. Lertchai failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC | | Criminal Fine | imposing a fine of 154,800.00 Baht according to 80/2568 | |
| 161 | 26/06/2025 | Mr. Thanakorn Thanawarith | 59 / SEC Act | Mr. Thanakorn Thanawarith, who, at the time of the incident, served as Chief Executive Officer of All Inspire Development Public Company Limited (“ALL”), had changes in his securities holdings in ALL during the period from 28 August 2020 to 3 January 2023, through transactions executed by himself as well as by his former spouse.
Accordingly, Mr. Thanakorn had the duty to prepare and disclose reports on the changes in his securities holdings (Form 59) to the SEC within the period from 2 September 2020 to 6 January 2023, as the case may be. However, he failed to prepare and disclose the Form 59 reports to the SEC within the period specified in the relevant SEC notification.
| | Criminal Fine | imposing a fine of 77,950.00 Baht according to 79/2568 | |
| 162 | 26/06/2025 | Miss Chawana Thanaphaphawarith | 59 / SEC Act | Miss Chawana Thanaphaphawarith, who, at the time of the incident, served as a director and Group Chief Management Officer of All Inspire Development Public Company Limited (“ALL”), had changes in her securities holdings in ALL during the period from 28 August 2020 to 27 August 2021, through transactions executed by herself as well as by her former spouse.
Accordingly, Miss Chawana had the duty to prepare and disclose reports on the changes in her securities holdings (Form 59) to the SEC within the period from 2 September 2020 to 1 September 2021, as the case may be. However, she submitted the Form 59 reports to the SEC during the period from 3 September 2020 to 3 September 2021, which was later than the deadlines prescribed in the relevant SEC notification | | Criminal Fine | imposing a fine of 40,500.00 Baht according to 78/2568 | |
| 163 | 26/06/2025 | Mr.Lertvit Pumipitak | 59 / SEC Act | Mr.Lertvit Pumipitak, Head of Property Management of CENTRAL PATTANA PUBLIC COMPANY LIMITED [“CPN”], has the duty to prepare and disclose a report regarding his holding securities and the changes to such holding [From 59] Purchase and sell CPN securities by himself and from Lertvit’s spouse on December 2, 2021 and During September 12, 2022 to March 2, 2023. However, Mr.Lertvit prepare and disclose a report [From 59] to the SEC office on March 30, 2023 which means Mr.Lertvit failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 40,500.00 Baht according to 77/2568 | |
| 164 | 26/06/2025 | Mr.Anya Khanthavit | 59 / SEC Act | Mr.Anya Khanthavit, Independent Director of Electricity Generating Public Company Limited [“EGCO”], has the duty to prepare and disclose a report regarding his holding securities and the changes to such holding [From 59] purchase EGCO securities from Anya’s spouse on August 28, 2020 and on September 18, 2020. However, Mr. Anya prepare and disclose a report [From 59] to the SEC office on February 19, 2025 which means Mr. Anya failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 154,900.00 Baht according to 76/2568 | |
| 165 | 26/06/2025 | Mr. Panya Boonyapiwat | 300 in conjunction with 56(4) / SEC Act | Mr. Panya Boonyapiwat, Chief Executive Officer, who is responsible for the operation of Begistics Public Company Limited ("B"), shall be liable for B’s failure to prepare and submit the key financial ratio for the year 2023 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 75/2568 | |
| 166 | 26/06/2025 | Mr. Panya Boonyapiwat | 300 in conjunction with 56(4) / SEC Act | Mr. Panya Boonyapiwat, Chief Executive Officer, who is responsible for the operation of Begistics Public Company Limited ("B"), shall be liable for B’s failure to prepare and submit the key financial ratio for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 45,450.00 Baht according to 75/2568 | |
| 167 | 26/06/2025 | Mr. Panya Boonyapiwat | 300 in conjunction with 56(4) / SEC Act | Mr. Panya Boonyapiwat, Chief Executive Officer, who is responsible for the operation of Begistics Public Company Limited ("B"), shall be liable for B’s failure to prepare and submit the financial highlight for Q2/2024 through the transmission system of the SEC Office within the period specified in the the notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 45,450.00 Baht according to 75/2568 | |
| 168 | 26/06/2025 | Mr. Panya Boonyapiwat | 300 in conjunction with 56(4) / SEC Act | Mr. Panya Boonyapiwat, Chief Executive Officer, who is responsible for the operation of Begistics Public Company Limited ("B"), shall be liable for B’s failure to prepare and submit the financial covenants for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 45,450.00 Baht according to 75/2568 | |
| 169 | 26/06/2025 | Begistics Public Company Limited | 56(4) / SEC Act | Begistics Public Company Limited ("B"), a securities issuer, failed to prepare and submit the key financial ratio for the year 2023 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on February 29, 2024. However, the key financial ratio for the year 2023 was later submitted through the transmission system of the SEC Office on March 1, 2024. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 74/2568 | |
| 170 | 26/06/2025 | Begistics Public Company Limited | 56(4) / SEC Act | Begistics Public Company Limited ("B"), a securities issuer, failed to prepare and submit the key financial ratio for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 15, 2024. However, the key financial ratio for Q2/2024 was later submitted through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 74/2568 | |
| 171 | 26/06/2025 | Begistics Public Company Limited | 56(4) / SEC Act | Begistics Public Company Limited ("B"), a securities issuer, failed to prepare and submit the financial highlight for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 15, 2024. However, the financial highlight for Q2 /2024 was later submitted through the transmission system of the SEC Office on August 16, 2024 | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 74/2568 | |
| 172 | 26/06/2025 | Begistics Public Company Limited | 56(4) / SEC Act | Begistics Public Company Limited ("B"), a securities issuer, failed to prepare and submit the financial covenants for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 15, 2024. However, the financial covenants for Q2/2024 was later submitted through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 74/2568 | |
| 173 | 26/06/2025 | Miss Saranya Vejakul | 300 in conjunction with 56(4) / SEC Act | Miss Saranya Vejakul, Chief Financial Strategy and Resources Management Officer, who is responsible for the operation of Krungthai Bank Public Company Limited ("KTB"), shall be liable for KTB’s failure to prepare and submit the accurate key financial ratio for year 2023 through the transmission system of the SEC Office as prescribed by the notification of the Capital Market Supervisory Board, due to her failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 84,300.00 Baht according to 73/2568 | |
| 174 | 26/06/2025 | Krungthai Bank Public Company Limited | 56(4) / SEC Act | Krungthai Bank Public Company Limited ("KTB"), a securities issuer, prepared and submitted the inaccurate key financial ratio for the year 2023 through the transmission system of the SEC Office as prescribed by the notification of the Capital Market Supervisory Board on Febraury 28, 2024. Later, the rectified key financial ratio for the year 2023 was filed through the transmission system of the SEC Office on May 15, 2024. | | Criminal Fine | imposing a fine of 84,300.00 Baht according to 72/2568 | |
| 175 | 26/06/2025 | Mr. Premchai Karnasuta | 300 in conjunction with 56(2) / SEC Act | Mr. Premchai Karnasuta, President of Italian-Thai Development Public Company Limited (“ITD”), shall be liable for ITD’s failure to prepare and submit a financial statement for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 108,600.00 Baht according to 71/2568 | |
| 176 | 26/06/2025 | Mr. Premchai Karnasuta | 300 in conjunction with 56(3)(4) / SEC Act | Mr. Premchai Karnasuta, President of Italian-Thai Development Public Company Limited (“ITD”), shall be liable for ITD’s failure to prepare and submit a Form 56-1 One Report for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 32,700.00 Baht according to 71/2568 | |
| 177 | 26/06/2025 | Mr. Premchai Karnasuta | 300 in conjunction with 56(4) / SEC Act | Mr. Premchai Karnasuta, President of Italian-Thai Development Public Company Limited (“ITD”), shall be liable for ITD’s failure to prepare and submit the Management Discussion and Analysis for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 108,600.00 Baht according to 71/2568 | |
| 178 | 26/06/2025 | Mr. Premchai Karnasuta | 300 in conjunction with 56(4) / SEC Act | Mr. Premchai Karnasuta, President of Italian-Thai Development Public Company Limited (“ITD”), shall be liable for ITD’s failure to prepare and submit a Key financial ratio for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 108,600.00 Baht according to 71/2568 | |
| 179 | 26/06/2025 | Italian-Thai Development Public Company Limited | 56(2) / SEC Act | Italian-Thai Development Public Company Limited
(“ITD”), a listed company, had duties to prepare and submit a financial statement for the year 2023 within the period specified by the Capital Market Supervisory Board which is within February 29, 2024. However, ITD submitted the financial statement for the year 2023 to the SET on March 28, 2024 later than the specified period. | | Criminal Fine | imposing a fine of 108,600.00 Baht according to 70/2568 | |
| 180 | 26/06/2025 | Italian-Thai Development Public Company Limited | 56(3)(4) / SEC Act | Italian-Thai Development Public Company Limited (“ITD”), a listed company, had duties to prepare and submit a form 56-1 One Report for the year 2023 within the period specified by the Capital Market Supervisory Board which is within April 1, 2024. However, ITD submitted form 56-1 One Report for the year 2023 to the SET on April 10, 2024, later than the specified period | | Criminal Fine | imposing a fine of 40,875.00 Baht according to 70/2568 | |
| 181 | 26/06/2025 | Italian-Thai Development Public Company Limited | 56(4) / SEC Act | Italian-Thai Development Public Company Limited (“ITD”), a listed company, had duties to prepare and submit the Management Discussion and Analysis for the year 2023 within the period specified by the Capital Market Supervisory Board which is within February 29, 2024. However, ITD submitted the Management Discussion and Analysis for the year 2023 to the SET on March 28, 2024 later than the specified period. | | Criminal Fine | imposing a fine of 135,750.00 Baht according to 70/2568 | |
| 182 | 26/06/2025 | Italian-Thai Development Public Company Limited | 56(4) / SEC Act | Italian-Thai Development Public Company Limited (“ITD”), a listed company, had duties to prepare and submit the Key financial ratio for the year 2023 within the period specified by the Capital Market Supervisory Board which is within February 29, 2024. However, ITD submitted the Key financial ratio for the year 2023 to the SET on March 28, 2024 later than the specified period. | | Criminal Fine | imposing a fine of 135,750.00 Baht according to 70/2568 | |
| 183 | 26/06/2025 | Apex Development Public Company Limited | 56(2)(3)(4) / SEC Act | Apex Development Public Company Limited (“APEX”) had duty to prepare and submit the annual financial statement for year 2023 and Form 56-1 One Report for year 2023 within 1 April 2024 which is the period specified by the Notification of the Capital Market Supervisory Board. However, APEX has not submitted the aforementioned financial statement and report to the SEC office. | | Criminal Complaints | | |
| 184 | 26/06/2025 | Mr. Pakorn Leesakul | 300 in conjunction with 56(2)(3)(4) / SEC Act | Mr. Pakorn Leesakul, chief executive officer of Apex Development Public Company Limited (“APEX”) during the time of incident, who was responsible for the operation of APEX, shall be liable for APEX’s failure to prepare and submit the annual financial statement for year 2023 and Form 56-1 One Report for year 2023 within the period specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Complaints | | |
| 185 | 26/06/2025 | Mr. Kavin Phongpandecha | 94 in conjunction with 30 / DAB Act | Mr. Kavin Phongpandecha, an authorized director of a digital asset broker called Bitazza Company Limited ("Bitazza") and an authorized person to certify the accuracy and completeness of the daily net liquidity fund calculation report form ("Form Dor Jor. 1") at the time of the incident, was responsible for the operation of Bitazza. His failure to perform the required duty of his position resulted in the offence committed by Bitazza concerning the case that Bitazza failed to calculate, prepare and submit Form Dor Jor. 1 for the period from June 26, 2024 to July 23, 2024 in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 277,500.00 Baht according to 9/2568 | |
| 186 | 26/06/2025 | Mr. Kavin Phongpandecha | 94 in conjunction with 30 / DAB Act | Mr. Kavin Phongpandecha, an authorized director of a digital asset broker called Bitazza Company Limited ("Bitazza") and an authorized person to certify the accuracy and completeness of the monthly net capital calculation report form ("Form Dor Jor. 2") at the time of the incident, was responsible for the operation of Bitazza. His failure to perform the required duty of his position resulted in the offence committed by Bitazza concerning the case that Bitazza failed to calculate, prepare and submit Form Dor Jor. 2 for the period of June 2024 in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 75,000.00 Baht according to 9/2568 | |
| 187 | 26/06/2025 | Bitazza Company Limited | 30 / DAB Act | Bitazza Company Limited, a digital asset broker, failed to calculate, prepare and submit the daily net capital report (Form Dor Jor. 1) for the period from June 26, 2024 to July 23, 2024 in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 277,500.00 Baht according to 8/2568 | |
| 188 | 26/06/2025 | Bitazza Company Limited | 30 / DAB Act | Bitazza Company Limited, a digital asset broker, failed to calculate, prepare and submit the monthly net capital calculation report (Form Dor Jor. 2) for the period of June 2024 in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 75,000.00 Baht according to 8/2568 | |
| 189 | 20/06/2025 | Mr PIYA PONGSAKONPAISAN | | Deficiencies in performing financial advisory duties | 156/2025 | Administrative Orders | Suspension | Effective Date 20/06/2025 to 19/06/2026 |
| 190 | 20/06/2025 | CAPITAL ONE PARTNERS CO.,LTD. | | Deficiencies in performing financial advisory duties | 156/2025 | Administrative Orders | Suspension | Effective Date 20/06/2025 to 19/06/2026 |
| 191 | 13/06/2025 | HOMMON Company Limited | Section 57(6) / SEC Act | HOMMON Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 26, 2023, December 26, 2023 and January 26, 2024 to the SEC Office later than the period specified by the SEC Office Notification, on three occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 192 | 13/06/2025 | Ms. Woraphonphak chaimat | 300 in conjunction with 57(6) / SEC Act | Ms. Woraphonphak chaimat, an authorized director of HOMMON Company Limited was responsible for the company's operations. Her failure to perform the required duty of her position resulted in the offence committed by HOMMON Company Limited concerning the case that HOMMON Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 26, 2023, December 26, 2023 and January 26, 2024 to the SEC Office later than the period specified by the SEC Office Notification, on three occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 193 | 12/06/2025 | BANFANG TRADING Company Limited | Section 57(6) / SEC Act | BANFANG TRADING Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 3, 2023 and November 17, 2023 to the SEC Office within the period specified by the SEC Office Notification, on two occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 194 | 12/06/2025 | Mr. Boonluea Srichana | 300 in conjunction with 57(6) / SEC Act | Mr. Boonluea Srichana, an authorized director of BANFANG TRADING Company Limited was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by BANFANG TRADING Company Limited concerning the case that BANFANG TRADING Company Limited did not reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 3, 2023 and November 17, 2023 to the SEC Office within the period specified by the SEC Office Notification, on two occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 195 | 12/06/2025 | MILLCON STEEL PUBLIC COMPANY LIMITED | 56(2) / SEC Act | MILLCON STEEL PUBLIC COMPANY LIMITED (“MILL”), a listed company, had duties to prepare and submit a financial statement for the year 2023 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 29, 2024. However, MILL submitted the financial statement for the year 2023 to the SET on March 15, 2024 later than the specified period. | | Criminal Complaints | | |
| 196 | 12/06/2025 | MILLCON STEEL PUBLIC COMPANY LIMITED | 56(4) / SEC Act | MILLCON STEEL PUBLIC COMPANY LIMITED (“MILL”), a listed company, had duties to prepare and submit an interim management discussion and analysis for the year 2023 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 29, 2024. However, MILL submitted the interim management discussion and analysis for the year 2022 to the SET on March 15, 2024 later than the specified period. | | Criminal Complaints | | |
| 197 | 12/06/2025 | Mr PRAVIT HORUNGRUANG | 300 in conjunction with 56(2) / SEC Act | Mr PRAVIT HORUNGRUANG, Chief executive officer for the operation of MILLCON STEEL PUBLIC COMPANY LIMITED (“MILL”), shall be liable for MILL’s failure to prepare and submit a financial statement for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Complaints | | |
| 198 | 12/06/2025 | Mr PRAVIT HORUNGRUANG | 300 in conjunction with 56(4) / SEC Act | Mr PRAVIT HORUNGRUANG, Chief executive officer for the operation of MILLCON STEEL PUBLIC COMPANY LIMITED (“MILL”), shall be liable for MILL’s failure to prepare and submit an interim management discussion and analysis for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Complaints | | |
| 199 | 12/06/2025 | KACHAVET Company Limited | Section 57(6) / SEC Act | KACHAVET Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 25, 2024, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 200 | 12/06/2025 | Ms. Walliya Kanchanaphongkit | 300 in conjunction with 57(6) / SEC Act | Ms. Walliya Kanchanaphongkit, an authorized director of KACHAVET Company Limited was responsible for the company's operations. Her failure to perform the required duty of her position resulted in the offence committed by KACHAVET Company Limited concerning the case that KACHAVET Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 25, 2024 to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 201 | 12/06/2025 | Ektech Corporation Company Limited | Section 57(6) / SEC Act | Ektech Corporation Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 30, 2023 and December 30, 2023, to the SEC Office within the period specified by the SEC Office Notification, on two occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 202 | 12/06/2025 | Mr. Atiwat Khetpiboolchai | 300 in conjunction with 57(6) / SEC Act | Mr. Atiwat Khetpiboolchai, an authorized director of Ektech Corporation Company Limited was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by Ektech Corporation Company Limited concerning the case that Ektech Corporation Company Limited did not reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 30, 2023 and December 30, 2023 to the SEC Office within the period specified by the SEC Office Notification, on two occasions. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 203 | 12/06/2025 | TAB Trading Company Limited | Section 57(6) / SEC Act | TAB Trading Company Limited did not report an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 24, 2023, to the SEC Office within the period specified by the SEC Office Notification, on one occasion. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 204 | 12/06/2025 | Ms. Nongnuch Saklong | Section 57(6) / SEC Act | Ms. Nongnuch Saklong, an authorized director of TAB Trading Company Limited was responsible for the company's operations. Her failure to perform the required duty of her position resulted in the offence committed by TAB Trading Company Limited concerning the case that TAB Trading Company Limited did not reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 24, 2023, to the SEC Office within the period specified by the SEC Office Notification, on one occasion. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 205 | 05/06/2025 | Mr. Jakkapong Jakrajutatip | 312 / SEC Act | Between 2023 and June 2024, Mr. Jakkapong Jakrajutatip, while serving as Managing Director and Chief Executive Officer of JKN Global Group Public Company Limited (“JKN”), and Ms. Pim-uma Jakrajutatip, while serving as Executive Director and Deputy Managing Director of Content at JKN, jointly instructed or engaged in the creation of fictitious creditor and debtor entries. These entries were recorded in the accounting books and financial statements for the fiscal year 2023, as well as in the accounting documents for the first quarter of 2024 and other related reports of JKN.
As a result, JKN’s financial statements reflected inflated revenue and liabilities. Additionally, it was found that royalty payables were recorded inaccurately, not corresponding to the actual accounting periods. These actions caused the 2023 financial statements to understate JKN’s liabilities and assets. However, the trade creditors were subsequently recorded in 2024 to mislead stakeholders into believing that JKN had an increase in trade creditors that year. These fictitious trade creditors were then used to exercise voting rights in the selection of JKN’s business rehabilitation planner. | 139/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 206 | 05/06/2025 | Ms. Pim-uma Jakrajutatip | 312 / SEC Act | Between 2023 and June 2024, Mr. Jakkapong Jakrajutatip, while serving as Managing Director and Chief Executive Officer of JKN Global Group Public Company Limited (“JKN”), and Ms. Pim-uma Jakrajutatip, while serving as Executive Director and Deputy Managing Director of Content at JKN, jointly instructed or engaged in the creation of fictitious creditor and debtor entries. These entries were recorded in the accounting books and financial statements for the fiscal year 2023, as well as in the accounting documents for the first quarter of 2024 and other related reports of JKN.
As a result, JKN’s financial statements reflected inflated revenue and liabilities. Additionally, it was found that royalty payables were recorded inaccurately, not corresponding to the actual accounting periods. These actions caused the 2023 financial statements to understate JKN’s liabilities and assets. However, the trade creditors were subsequently recorded in 2024 to mislead stakeholders into believing that JKN had an increase in trade creditors that year. These fictitious trade creditors were then used to exercise voting rights in the selection of JKN’s business rehabilitation planner. | 139/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 207 | 05/06/2025 | JKN Global Group Public Company Limited | 281/10 / SEC Act | JKN Global Group Public Company Limited (“JKN”) as a listed company, is obligated to disclose documents or information to the Securities and Exchange Commission or the Stock Exchange of Thailand. Such disclosures must not contain false statements or conceal material facts that should be disclosed. However, JKN disclosed and disseminated its financial statements for the year 2023 and its annual information disclosure/report (Form 56-1 One Report), which included false accounting entries related to accounts payable and accounts receivable, to the general public via the information system of the Stock Exchange of Thailand. | 139/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 208 | 05/06/2025 | Mr. Jakkapong Jakrajutatip | 300 in conjunction with 281/10 / SEC Act | Mr. Jakrapong Jakrajutatip, while serving as a director and Chief Executive Officer of JKN Global Group Public Company Limited (“JKN”), was responsible for overseeing the operations of JKN at the time of the incident. He failed to issue orders or take actions that were his duty to perform in the case where JKN, as a listed company, was obligated to disclose documents or information to the Securities and Exchange Commission or the Stock Exchange of Thailand. Such disclosures must not contain false statements or conceal material facts that should be disclosed. However, JKN disclosed and disseminated its financial statements for the year 2023 and its annual information disclosure/report (Form 56-1 One Report), which included false accounting entries related to accounts payable and accounts receivable, to the general public via the information system of the Stock Exchange of Thailand. | 139/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
| |
| 209 | 30/05/2025 | Mr. Santi Thananiran | 283 paragraph 1 and 117 / SEC Act | Mr. Santi Thananiran, a former Chief Investment Officer and Chairman of the Investment Committee of BBL Asset Management Company Limited ("BBL"), who is responsible for the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 112,500.00 Baht according to 69/2568 | |
| 210 | 30/05/2025 | Mr. Peerapong Jirasevijinda | 283 paragraph 1 and 117 / SEC Act | Mr Peerapong Jirasevijinda, a former Chief Executive Officer of BBL Asset Management Company Limited ("BBL") and the director of
the Investment Committee, who is responsible for the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 112,500.00 Baht according to 68/2568 | |
| 211 | 30/05/2025 | BBL Asset Management Company Limited | 117 / SEC Act | Between January 27, 2023 and October 28, 2024 BBL Asset Management Company Limited as a mutual fund management company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. | | Criminal Fine | imposing a fine of 2,091,750.00 Baht according to 67/2568 | |
| 212 | 30/05/2025 | Mr. Natthawut Chewatappasarn | 300 in conjunction with 33 / SEC Act | Mr. Natthawut Chewatappasarn, Authorized director of Yingyai Group Co., LTD, shall be liable for Yingyai Group Co., LTD’s offering for sale newly issued securities in the category of debenture without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 66/2568 | |
| 213 | 30/05/2025 | Yingyai Group Co., LTD | 33 / SEC Act | | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 65/2568 | |
| 214 | 30/05/2025 | Mr. Somsak Deekay, | Section 57(6) / SEC Act | Mr. Somsak Deekay, an authorized director of K2J MARKETING Company Limited, was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by K2J MARKKETING Company Limited concerning the case that K2J MARKETING Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 16, 2023, and
December 11, 2023 to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Fine | imposing a fine of 51,560.00 Baht according to 64/2568 | |
| 215 | 30/05/2025 | K2J MARKETING Company Limited | Section 57(6) / SEC Act | K2J MARKETING Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on November 16, 2023, and December 11, 2023 to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Fine | imposing a fine of 51,560.00 Baht according to 63/2568 | |
| 216 | 30/05/2025 | Mr. Sorasak Vongchinsrisakul | Section 57(6) / SEC Act | Mr. Sorasak Vongchinsrisakul, an authorized director of S GENIX Company Limited. (at the time of the incident, the company name was Generation S Company Limited), was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by Generation S Company Limited concerning the case that Generation S Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 14, 2024, and February 14, 2024 to the SEC Office later than the period specified by the SEC Office Notification, on two occasions. | | Criminal Fine | imposing a fine of 34,160.00 Baht according to 62/2568 | |
| 217 | 30/05/2025 | S GENIX Company Limited | Section 57(6) / SEC Act | S GENIX Company Limited (at the time of the incident, the company name was Generation S Company Limited) reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 14, 2024, and February 14, 2024 to the SEC Office later than the period specified by the SEC Office Notification, on two occasions. | | Criminal Fine | imposing a fine of 34,160.00 Baht according to 61/2568 | |
| 218 | 30/05/2025 | Mr. Thakol Nunthirapakorn | 59 / SEC Act | Mr. Thakol Nunthirapakorn, a former Chairman of the Audit Committee and Independent Director of Ratchthani Leasing Public Company Limited, has changed his securities holding. In this regard, Mr. Thakol has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within April 26, 2021. However, Mr. Thakol prepared and disclosed the report (Form 59) to the SEC office on May 21, 2021 | | Criminal Fine | imposing a fine of 6,250.00 Baht according to 60/2568 | |
| 219 | 30/05/2025 | Mrs. Malee Tangjaisanong | 59 / SEC Act | Mrs. Malee Tangjaisanong, Board Advisor and Assistant Executive Director of President Bakery Public Company Limited (“PB”) has changed her securities holding. In this regard, Mrs Malee has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59) within September 29, 2020 and Demcember 9, 2020. However, Mrs Malee failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 144,900.00 Baht according to 59/2568 | |
| 220 | 30/05/2025 | Miss Karaveag Chokmaneenuch | 59 / SEC Act | Miss Karaveag Chokmaneenuch, Deputy Managing Director of Accounting, Finance, and Administration Division of Professional Waste Technology (1999) Public Company Limited (“PRO”) has changed her securities holding. In this regard, Miss Karaveag has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59) within July 30, 2020. However, Miss Karaveag failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 116,400.00 Baht according to 58/2568 | |
| 221 | 30/05/2025 | Mr. Wutthiphum Jurangkool | 300 in conjunction with 56(2) / SEC Act | Mr. Wutthiphum Jurangkool, Chief executive officer for the operation of Nok Airlines Public Company Limited (“NOK”), shall be liable for NOK’s failure to prepare and submit a financial statement for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 59,250.00 Baht according to 57/2568 | |
| 222 | 30/05/2025 | Mr. Wutthiphum Jurangkool | 300 in conjunction with 56(3)(4) / SEC Act | Mr. Wutthiphum Jurangkool, Chief executive officer for the operation of Nok Airlines Public Company Limited (“NOK”), shall be liable for NOK’s failure to prepare and submit a Form 56-1 One Report for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 82,875.00 Baht according to 57/2568 | |
| 223 | 30/05/2025 | Mr. Wutthiphum Jurangkool | 300 in conjunction with 56(4) / SEC Act | Mr. Wutthiphum Jurangkool, Chief executive officer for the operation of Nok Airlines Public Company Limited (“NOK”), shall be liable for NOK’s failure to prepare and submit the Management Discussion and Analysis for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 59,250.00 Baht according to 57/2568 | |
| 224 | 30/05/2025 | Nok Airlines Public Company Limited | 56(2) / SEC Act | Nok Airlines Public Company Limited (“NOK”), a listed company, had duties to prepare and submit a financial statement for the year 2023 within the period specified by the Capital Market Supervisory Board which is within April 1, 2024. However, NOK submitted the financial statement for the year 2023 to the SET on May 29, 2024 later than the specified period. | | Criminal Fine | imposing a fine of 59,250.00 Baht according to 56/2568 | |
| 225 | 30/05/2025 | Nok Airlines Public Company Limited | 56(3)(4) / SEC Act | Nok Airlines Public Company Limited (“NOK”), a listed company, had duties to prepare and submit a form 56-1 One Report for the year 2023 within the period specified by the Capital Market Supervisory Board which is within April 1, 2024. However, NOK submitted form 56-1 One Report for the year 2023 to the SET on July 31, 2024 later than the specified period | | Criminal Fine | imposing a fine of 82,875.00 Baht according to 56/2568 | |
| 226 | 30/05/2025 | Nok Airlines Public Company Limited | 56(4) / SEC Act | Nok Airlines Public Company Limited (“NOK”), a listed company, had duties to prepare and submit the Management Discussion and Analysis for the year 2023 within the period specified by the Capital Market Supervisory Board which is within April 1, 2024. However, NOK submitted the Management Discussion and Analysis for the year 2023 to the SET on July 31, 2024 later than the specified period. | | Criminal Fine | imposing a fine of 59,250.00 Baht according to 56/2568 | |
| 227 | 30/05/2025 | Mr.Chatree Chuensuksinsup | 300 in conjunction with 56(2) / SEC Act | Mr.Chatree Chuensuksinsup, Authorized director who is responsible for the operation of Max Metal Corporation Public Company Limited ("MAX"), did not order or act in accordance with the duties of responsible person regarding MAX failure to prepare and submit the financial statement for the year 2023 within the period as specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 97,500.00 Baht according to 55/2568 | |
| 228 | 30/05/2025 | Mr.Chatree Chuensuksinsup | 300 in conjunction with 56(3) / SEC Act | Mr.Chatree Chuensuksinsup, Authorized director who is responsible for the operation of Max Metal Corporation Public Company Limited ("MAX"), did not order or act in accordance with the duties of responsible person regarding MAX failure to prepare and submit the annual report for the year 2023 (Form 56-2) within the period as specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 97,500.00 Baht according to 55/2568 | |
| 229 | 30/05/2025 | Mr.Wutthilers Meeprathom | 300 in conjunction with 56(2) / SEC Act | Mr.Wutthilers Meeprathom, Authorized director who is responsible for the operation of Max Metal Corporation Public Company Limited ("MAX"), did not order or act in accordance with the duties of responsible person regarding MAX failure to prepare and submit the financial statement for the year 2023 within the period as specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 78,000.00 Baht according to 54/2568 | |
| 230 | 30/05/2025 | Mr.Wutthilers Meeprathom | 300 in conjunction with 56(3) / SEC Act | Mr.Wutthilers Meeprathom, Authorized director who is responsible for the operation of Max Metal Corporation Public Company Limited ("MAX"), did not order or act in accordance with the duties of responsible person regarding MAX failure to prepare and submit the annual report for the year 2023 (Form 56-2) within the period as specified by the notification of the Capital Market Supervisory Board | | Criminal Fine | imposing a fine of 78,000.00 Baht according to 54/2568 | |
| 231 | 30/05/2025 | Max Metal Corporation Public Company Limited | 56(2) / SEC Act | Max Metal Corporation Public Company Limited ("MAX"), a listed company, failed to prepare and submit the audited financial statements for the year 2023 through the transmission system of the SEC office within the period specified in the notification. However, the audited financial statements for the year 2023 were later filed with the SEC on Novemver 7, 2024 | | Criminal Fine | imposing a fine of 117,000.00 Baht according to 53/2568 | |
| 232 | 30/05/2025 | Max Metal Corporation Public Company Limited | 56(3) / SEC Act | Max Metal Corporation Public Company Limited ("MAX"), a listed company, failed to prepare and submit the annual report (Form 56-2) for the year 2023 through the transmission system of the SEC office within the period specified in the notification. However, the annual report for the year 2023 (Form 56-2) were later filed with the SEC on Novemver 7, 2024 | | Criminal Fine | imposing a fine of 117,000.00 Baht according to 53/2568 | |
| 233 | 30/05/2025 | Miss Sineemas Sotpiparpnukul | 300 in conjunction with 56(3)(4) / SEC Act | Miss Sineemas Sotpiparpnukul, as Chief Executive Officer, responsible for the operation of AGRIPURE HOLDINGS PUBLIC COMPANY LIMITED (“APURE”) shall be liable for APURE’s failure to prepare and submit the accurate financial statement for year 2022 in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. Later, APURE submitted the rectified financial statement year 2022 on August 15, 2023. | | Criminal Fine | imposing a fine of 138,900.00 Baht according to 52/2568 | |
| 234 | 30/05/2025 | Miss Sineemas Sotpiparpnukul | 300 in conjunction with 56(3)(4) / SEC Act | Miss Sineemas Sotpiparpnukul, Chief Executive Officer, responsible for the operation of AGRIPURE HOLDINGS PUBLIC COMPANY LIMITED (“APURE”) shall be liable for APURE’s failure to prepare and submit the accurate the annual registration statement / annual report (Form 56-1 One Report) for the year 2022 in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. Later, APURE submitted the rectified the Form 56-1 One Report for the year 2022 on September 9, 2024. | | Criminal Fine | imposing a fine of 354,900.00 Baht according to 52/2568 | |
| 235 | 30/05/2025 | AGRIPURE HOLDINGS PUBLIC COMPANY LIMITED | 56(2) / SEC Act | AGRIPURE HOLDINGS PUBLIC COMPANY LIMITED (“APURE”), a securities issuer, prepared and submitted the inaccurate the audited financial statements for the year 2022 through the transmission system as prescribed by the Stock Exchange of Thailand. Later, the rectified was filed on August 15, 2023 | | Criminal Fine | imposing a fine of 138,900.00 Baht according to 51/2568 | |
| 236 | 30/05/2025 | AGRIPURE HOLDINGS PUBLIC COMPANY LIMITED | 56(3)(4) / SEC Act | AGRIPURE HOLDINGS PUBLIC COMPANY LIMITED (“APURE”), a securities issuer, prepared and submitted the inaccurate the annual registration statement / annual report (Form 56-1 One Report) for the year 2022 through the transmission system as prescribed by the Stock Exchange of Thailand. Later, the rectified was filed on September 9, 2024. | | Criminal Fine | imposing a fine of 354,900.00 Baht according to 51/2568 | |
| 237 | 30/05/2025 | Miss Wanichaya Paksaranuwat | 94 in conjunction with 30 / DAB Act | Miss Wanichaya Paksaranuwat, a director of a cryptocurrency broker and dealer called Coins TH Company Limited ("Coins TH") at the time of the incident, was responsible for the operation of Coins TH. Her failure to perform the required duties of her position resulted in the offence committed by Coins TH concerning the case that on September 7, 2024, Coins TH failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Coins TH distributed advertising materials promoting its products without the clear and visible cautionary statements on such ads. | | Criminal Fine | imposing a fine of 229,000.00 Baht according to 7/2568 | |
| 238 | 30/05/2025 | Miss Wanichaya Paksaranuwat | 94 in conjunction with 30 / DAB Act | Miss Wanichaya Paksaranuwat, a director of a cryptocurrency broker and dealer called Coins TH Company Limited ("Coins TH") at the time of the incident, was responsible for the operation of CoinsTH. Her failure to perform the required duties of her position resulted in the offence committed by CoinsTH concerning the case that on September 7, 2024, Coins TH failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Coins TH arranged a sales promotion activity encouraging customers to subscribe to its membership program and engage in trading activities on the same day to qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising material of such campaign without the clear and visible cautionary statements on such ads. | | Criminal Fine | imposing a fine of 229,000.00 Baht according to 7/2568 | |
| 239 | 30/05/2025 | Coins TH Company Limited | 30 / DAB Act | On September 7, 2024, Coins TH Company Limited ("Coins TH") as a cryptocurrency broker and dealer, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Coins TH distributed advertising materials promoting its products without the clear and visible cautionary statements on such ads. | | Criminal Fine | imposing a fine of 229,000.00 Baht according to 6/2568 | |
| 240 | 30/05/2025 | Coins TH Company Limited | 30 / DAB Act | On September 7, 2024, Coins TH Company Limited ("Coins TH") as a cryptocurrency broker and dealer, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Coins TH arranged a sales promotion activity encouraging customers to subscribe to its membership program and engage in trading activities on the same day to qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising material of such campaign without the clear and visible cautionary statements on such ads. | | Criminal Fine | imposing a fine of 229,000.00 Baht according to 6/2568 | |
| 241 | 22/05/2025 | Mrs. Wannee Chourkittisopon | 59 / SEC Act | During 1 March 2021 to 21 March 2024, Mrs. Wannee Chourkittisopon, a director of Home Pottery public company limited (HPT), has changed her securities holding. In this regard, Mrs. Wannee has the duty to prepare and disclose reports regarding her holding securities and the changes to such holdings (Form 59-2) include 184 changes, within (1) Year 2021, by 4 March 2021 (2) Year 2022, from 22 March 2022 to 23 December 2022 (3) Year 2023, from 4 January 2023 to 30 May 2023 and (4) Year 2024, by 26 March 2024 respectively. However, Mrs. Wannee prepared and disclosed the reports (Form 59-2) to the SEC office on 10 March 2021, 5 April 2023, 14 June 2023 and 28 March 2024 respectively, which means Mrs. Wannee failed to prepare and disclose the reports within the period specified in the notification of the Office of the Securities and Exchange Commission. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 242 | 22/05/2025 | Mr. Niran Chourkittisopon | 59 / SEC Act | Mr. Niran Chourkittisopon, a CEO, chairman of risk management committee, director and managing director of Home Pottery public company limited (HPT), has the duty to prepare and disclose reports regarding his spouse: Mrs. Wannee Chourkittisopon holding securities and the changes to such holdings (Form 59-2) within (1) Year 2021, by 4 March 2021 (2) Year 2022, from 22 March 2022 to 23 December 2022 (3) Year 2023, from 4 January 2023 to 30 May 2023 and (4) Year 2024, by 26 March 2024 respectively, regarding Mrs. Wannee has made 184 changes to her securities holding (1 March 2021 - 21 March 2024). However, Mr. Niran prepared and disclosed the report (Form 59-2) to the SEC office on 10 March 2021, 5 April 2023, 14 June 2023 and 28 March 2024 respectively, which means Mr. Niran failed to prepare and disclose the report within the period specified in the notification of the Office of the Securities and Exchange Commission. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 243 | 22/05/2025 | KGI SECURITIES (THAILAND) PUBLIC CO.,LTD. | | Deficiencies in performing financial advisory duties | 125/2025 | Administrative Orders | Suspension | Effective Date 22/05/2025 to 21/05/2026 |
| 244 | 22/05/2025 | Miss SUWIMOL SRISOPHACHIT | | Deficiencies in performing advisory duties | 125/2025 | Administrative Orders | Suspension | Effective Date 22/05/2025 to 21/05/2026 |
| 245 | 22/05/2025 | Mrs SIRIPORN LAORATANAKUL | | Deficiencies in performing financial advisory duties | 125/2025 | Administrative Orders | Suspension | Effective Date 22/05/2025 to 21/05/2026 |
| 246 | 06/05/2025 | Nex Point Public Company Limited | 281/10 / SEC Act (the fifth amendment) | Nex Point Public Company Limited ("NEX") had the duty to disclose information regarding the company's related party transactions through the information dissemination system of the Stock Exchange of Thailand. However, on 17-18 June 2024, NEX, which was authorized by Mr. Khanist Srivajiraprabha, disclosed such information with historical data showing the shareholding proportion of Mr. Khanist that was not current. Accordingly, NEX disclosed information by concealing the facts that should be stated regarding the proportion of NEX's shares held by Mr. Khanist. | 108/2025 | Civil Sanction | 06/05/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 35,361.00 Baht | 06/05/2568 agreed to comply with civil sanctions determined by the Civil Sanction Committee as follows :
- a civil penalty in an amount of 500,000 Baht
- a reimbursement of investigative expenses in an amount of 35,361 Baht |
| 247 | 06/05/2025 | Mr. Khanist Srivajiraprabha | 300 in conjunction with 281/10 / SEC Act (the fifth amendment) | An offence of Nex Point Public Company Limited ("NEX") for disclosing information by concealing material facts that should be stated, in accordance with Section 281/10 of the Securities Act, resulted from the action of Mr. Khanist Srivajiraprabha, who has been the Chief Executive Officer, Vice Chairman and Authorized Person to Disclose Information of NEX. Accordingly, Mr. Khanist shall be liable to the civil sanctions specified for NEX as well. | 108/2025 | Civil Sanction | 06/05/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 35,361.00 Baht | 06/05/2568 agreed to comply with civil sanctions determined by the Civil Sanction Committee as follows :
- a civil penalty in an amount of 500,000 Baht
- a reimbursement of investigative expenses in an amount of 35,361 Baht |
| 248 | 28/04/2025 | Mrs. Kaesorn Sithivaraporn | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 September 2018 – 6 November 2018, Mrs. Kaesorn Sithivaraporn colluded with 9 persons to manipulate the securities price of Thai Capital Corporation Public Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading TCC’s shares, TCC-W3 TCC-W4 and TCC-W5 in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | 28/04/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 999,839.00 Baht
- a civil monetary penalty of 1,499,758.50 Baht
- a suspension of securities and derivatives trading between 28/04/2025 and 27/06/2026
- a bar from serving as a director or executive in a securities issuing company between 28/04/2025 and 27/08/2027
- a bar from serving as a director or executive in a securities company between 28/04/2025 and 27/08/2027
- a reimbursement of investigative expenses in an amount of 42,654.50 Baht | |
| 249 | 28/04/2025 | Mr. Virach Sithivaraporn | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 September 2018 – 6 November 2018, Mr. Virach Sithivaraporn colluded with 9 persons to manipulate the securities price of Thai Capital Corporation Public Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading TCC’s shares, TCC-W3 TCC-W4 and TCC-W5 in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | 28/04/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 28/04/2025 and 27/06/2026
- a bar from serving as a director or executive in a securities issuing company between 28/04/2025 and 27/08/2027
- a bar from serving as a director or executive in a securities company between 28/04/2025 and 27/08/2027
- a reimbursement of investigative expenses in an amount of 42,655.00 Baht | |
| 250 | 28/04/2025 | Mr. Vichai Sithivaraporn | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 September 2018 – 6 November 2018, Mr. Vichai Sithivaraporn colluded with 9 persons to manipulate the securities price of Thai Capital Corporation Public Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading TCC’s shares, TCC-W3 TCC-W4 and TCC-W5 in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | 28/04/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 634,017.00 Baht
- a civil monetary penalty of 951,025.50 Baht
- a suspension of securities and derivatives trading between 28/04/2025 and 27/06/2026
- a bar from serving as a director or executive in a securities issuing company between 28/04/2025 and 27/08/2027
- a bar from serving as a director or executive in a securities company between 28/04/2025 and 27/08/2027
- a reimbursement of investigative expenses in an amount of 42,654.50 Baht | |
| 251 | 28/04/2025 | Mrs. Darunet Sithivaraporn | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 September 2018 – 6 November 2018, Mrs. Darunet Sithivaraporn colluded with 9 persons to manipulate the securities price of Thai Capital Corporation Public Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading TCC’s shares, TCC-W3 TCC-W4 and TCC-W5 in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | 28/04/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 8,788.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 28/04/2025 and 27/06/2026
- a bar from serving as a director or executive in a securities issuing company between 28/04/2025 and 27/08/2027
- a bar from serving as a director or executive in a securities company between 28/04/2025 and 27/08/2027
- a reimbursement of investigative expenses in an amount of 42,655.00 Baht | |
| 252 | 25/04/2025 | Ms. Wanliya Kanjanapongkit | Section 57(6) / SEC Act | Ms. Wanliya Kanjanapongkit, an authorized director of KACHAVET Company Limited, was responsible for the company's operations. Her failure to perform the required duty of her position resulted in the offence committed by KACHAVET Company Limited concerning the case that KACHAVET Company Limited reported an incident in which the Company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 25, 2024, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Fine | imposing a fine of 19,000.00 Baht according to 50/2568 | |
| 253 | 25/04/2025 | KACHAVET Company Limited | Section 57(6) / SEC Act | KACHAVET Company Limited reported an incident in which the company breached the debt repayment agreement for the crowdfunding debentures, which were due on January 25, 2024, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Fine | imposing a fine of 19,000.00 Baht according to 49/2568 | |
| 254 | 25/04/2025 | Mr. Natpakal Klahan | 300 in conjunction with 57(6) / SEC Act | Mr. Natpakal Klahan, an authorized director of BSC SERVICE 2018 Company Limited, was responsible for the company's operations. His failure to perform the required duty of his position resulted in the offence committed by BSC SERVICE 2018 Company Limited concerning the case that BSC SERVICE 2018 Company Limited reported an incident in which the company breached the debt repayment agreement for the crowdfunding debentures, which were due on December 8, 2023, to the SEC Office later than the period specified by the SEC Office Notification, on two occasions.
| | Criminal Fine | imposing a fine of 33,440.00 Baht according to 48/2568 | |
| 255 | 25/04/2025 | BSC SERVICE 2018 Company Limited | Section 57(6) / SEC Act | BSC SERVICE 2018 Company Limited reported an incident in which the company breached the debt repayment agreement for the crowdfunding debentures, which were due on December 8, 2023, to the SEC Office later than the period specified by the SEC Office Notification, on two occasions. | | Criminal Fine | imposing a fine of 33,440.00 Baht according to 47/2568 | |
| 256 | 25/04/2025 | Mrs. Nuntip Soisri | 300 in conjunction with 57(6) / SEC Act | Mrs. Nuntip Soisri is an authorized director of SAI BURAPHA Company Limited, was responsible for the company's operations. Her failure to perform the required duty of her position resulted in the offence committed by
SAI BURAPHA Company Limted concerning the case that SAI BURAPHA Company Limted reported an incident in which the company breached the debt repayment agreement for the crowdfunding debentures, which were due on December 4, 2023, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Fine | imposing a fine of 25,120.00 Baht according to 46/2568 | |
| 257 | 25/04/2025 | SAI BURAPHA Company Limited | Section 57(6) / SEC Act | SAI BURAPHA Company Limited reported an incident in which the company breached the debt repayment agreement for the crowdfunding debentures, which were due on December 4, 2023, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Fine | imposing a fine of 25,120.00 Baht according to 45/2568 | |
| 258 | 25/04/2025 | Ms. Nongnuch Saklong | 300 in conjunction with 57(6) / SEC Act | Ms. Nongnuch Saklong, an authorized director of TAB Trading Company Limited, was responsible for the company's operations. Her failure to perform the required duty of her position resulted in the offence committed by TAB Trading Company Limited concerning the case that TAB Trading Company Limited reported an incident in which the company breached the debt repayment agreement for the crowdfunding debentures, which were due on February 8, 2024, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Fine | imposing a fine of 17,560.00 Baht according to 44/2568 | |
| 259 | 25/04/2025 | TAB TRADING Company Limited. | Section 57(6) / SEC Act | TAB Trading Company Limited reported an incident in which the company breached the debt repayment agreement for the crowdfunding debentures, which were due on February 8, 2024, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. | | Criminal Fine | imposing a fine of 17,560.00 Baht according to 43/2568 | |
| 260 | 25/04/2025 | KRUNGTHAI XSPRING SECURITIES COMPANY LIMITED | 113 / SEC Act | Between July 1 , 2021 to June 30, 2024, KRUNGTHAI XSPRING SECURITIES COMPANY LIMITED, a company licensed Securities Brokerage, failed to comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and retention of the source of securities trading orders. | | Criminal Fine | imposing a fine of 2,342,000.00 Baht according to 42/2568 | |
| 261 | 25/04/2025 | Mr. Kanchit Sukjaimitr | 300 in conjunction with 33 / SEC Act | Mr. Kanchit Sukjaimitr, Authorized director of Small Enterprise Development Co., Ltd ("SED"), shall be liable for SED’s offering for sale newly issued securities in the category of Private placement between Between 24 – 26 May 17, 2023 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 41/2568 | |
| 262 | 25/04/2025 | Small Enterprise Development Co., Ltd | 33 / SEC Act | Between 24 – 26 May 17, 2023, Small Enterprise Development Co., Ltd. have offered newly issued securities in the category of Private placement (PP10) without the approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 40/2568 | |
| 263 | 25/04/2025 | Mr Tim Noparumpa | 246 / SEC Act | Mr Tim NOPARUMPA failed to report the acquisition of ENERGY ABSOLUTE PUBLIC COMPANY LIMITED (“EA”) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after Mr.Tim had acquired EA shares so that the acquisition or disposal of such shares caused Mr. Tim aggregate holding of EA shares held by itself, and persons under section 258 to reach or pass a multiple of five percent of total number of voting rights of the business. | | Criminal Fine | imposing a fine of 385,400.00 Baht according to 39/2568 | |
| 264 | 25/04/2025 | Miss Inthira Chuagsanit | 59 / SEC Act | Between May 18, 2024 and June 13, 2024 Miss Inthira Chuagsanit a director or executive of Nex Point public company limited (NEX), has changed her securities holding. And Mr. Khanist Srivajiraprabha a cohabiting couple of Miss Inthira has changed his securities holding. In this regard Miss Inthira has the duty to prepare and disclose reports regarding her and her cohabiting couple holding securities and the changes to such holdings (Form 59-2) to the SEC office within the period specified in the notification of SEC. However Miss Inthira failed to prepared and disclosed the report (Form 59-2) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 77,850.00 Baht according to 38/2568 | |
| 265 | 25/04/2025 | Miss Inthira Chuagsanit | 246 / SEC Act | Miss Inthira Chuagsanit, failed to report the acquisition or disposal of Nex Point public company limited (NEX), shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after Miss Inthira had sold NEX shares so that the acquisition or disposal of such shares caused Miss Inthira holding of NEX shares to reach or pass a multiple of five percent of total number of voting rights of the business. | | Criminal Fine | imposing a fine of 9,500.00 Baht according to 38/2568 | |
| 266 | 25/04/2025 | Mr. Khanist Srivajiraprabha | 59 / SEC Act | Between May 18, 2024 and June 13, 2024 Mr. Khanist Srivajiraprabha, a director or executive of Nex Point public company limited (NEX), has changed his securities holding. And Miss Inthira Chuagsanit a cohabiting couple of Mr. Khanist has changed her securities holding. In this regard, Mr. Khanist has the duty to prepare and disclose reports regarding his and and his cohabiting couple holding securities and the changes to such holdings (Form 59-2) to the SEC office within the period specified in the notification of SEC. However Mr. Khanist failed to prepared and disclosed the report (Form 59-2) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 77,850.00 Baht according to 37/2568 | |
| 267 | 25/04/2025 | Mr. Khanist Srivajiraprabha | 246 / SEC Act | Mr. Khanist Srivajiraprabha, failed to report the acquisition or disposal of Nex Point public company limited (NEX), shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after Mr. Khanist had sold NEX shares so that the acquisition or disposal of such shares caused Mr. Khanist holding of NEX shares to reach or pass a multiple of five percent of total number of voting rights of the business. | | Criminal Fine | imposing a fine of 31,150.00 Baht according to 37/2568 | |
| 268 | 25/04/2025 | Mr. Pichet Supakijjanusan | 59 / SEC Act | Mr. Pichet Supakijjanusan, former Director of L.P.N. Development Public Company Limited has changed his securities holding. In this regard, Mr. Pichet has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within 11 November 2020. However, Mr. Pichet failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 1,089,375.00 Baht according to 36/2568 | |
| 269 | 25/04/2025 | Mr. Surawut Sukcharoensin | 59 / SEC Act | Mr. Surawut Sukcharoensin, former Director of L.P.N. Development Public Company Limited has changed his securities holding. In this regard, Mr. Surawut has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within 11 November 2020. However, Mr. Surawut failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 1,089,375.00 Baht according to 35/2568 | |
| 270 | 25/04/2025 | Mr. Vudhiphol Suriyabhivadh | 59 / SEC Act | Mr. Vudhiphol Suriyabhivadh, former Independent Director, Chairman of the audit committee and vice chairman of the board of directors of L.P.N. Development Public Company Limited has changed his securities holding. In this regard, Mr. Vudhiphol has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within 28 May 2020. However, Mr. Vudhiphol failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 1,196,250.00 Baht according to 34/2568 | |
| 271 | 25/04/2025 | Mr. Tikhamporn Plengsrisuk | 59 / SEC Act | Mr. Tikhamporn Plengsrisuk, former Vice Chairman of L.P.N. Development Public Company Limited has changed his securities holding. In this regard, Mr. Tikhamporn has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within 19 May, 9 June and 22 December 2020. However, Mr. Tikhamporn failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 1,203,125.00 Baht according to 33/2568 | |
| 272 | 25/04/2025 | Mr. Suppasin Suriya | 59 / SEC Act | Mr. Suppasin Suriya, Independent Director of R&B FOOD SUPPLY PUBLIC COMPANY LIMITED has changed his securities holding. In this regard, Mr. Suppasin has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within January 5, 2020. However, Mr. Suppasin failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 45,200.00 Baht according to 32/2568 | |
| 273 | 25/04/2025 | Mr. Subhasiddhi Rakkasikorn | 59 / SEC Act | Mr. Subhasiddhi Rakkasikorn, Director of Nex Point Public Company Limited has changed his securities holding. In this regard, Mr. Subhasiddhi has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within July 14, 2020. However, Mr. Subhasiddhi failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 5,400.00 Baht according to 31/2568 | |
| 274 | 25/04/2025 | Mr. Cheng-Yung Lin | 59 / SEC Act | Mr. Cheng-Yung Lin, Independent Director of Hwa Fong Rubber (Thailand) Public Company Limited has changed his securities holding. In this regard, Mr. Cheng-Yung Lin has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within June 5, 2020. However, Mr. Cheng-Yung Lin failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 40,800.00 Baht according to 30/2568 | |
| 275 | 25/04/2025 | Miss Suttirat Leeswadtrakul | 59 / SEC Act | Miss Suttirat Leeswadtrakul, Director of Millcon Steel Public Company Limited [“MILL”] has changed her securities holding. In this regard, Miss Suttirat has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59) within June 1, 2020. However, Miss Suttirat failed to prepared and disclosed the report (Form 59) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 42,900.00 Baht according to 29/2568 | |
| 276 | 25/04/2025 | Mr.Kasem Sanidvongs na Ayudhya | 59 / SEC Act | Mr.Kasem Sanidvongs na Ayudhya, Independent Director and Chairman of the audit committee of GULF Development Public Company Limited [“GULF”], has the duty to prepare and disclose a report regarding his holding securities and the changes to such holding [From 59] sold GOLF securities from Kasem’s spouse on June 18, 2020 and on August 24, 2021. However, Mr. Kasem prepare and disclose a report [From 59] to the SEC office on July 30, 2020 and on October 14, 2021 which means Mr. Kasem failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 20,300.00 Baht according to 28/2568 | |
| 277 | 25/04/2025 | Mr. Jen Wei Fong | 94 in conjunction with 30 / DAB Act | Mr. Jen Wei Fong, a Chief Experience Officer of a digital asset broker called Bitazza Company Limited ("Bitazza"), was responsible for the operation of Know Your Customer and Customer Due Diligence system (“KYC/CDD”). His failure to perform the required duty of his position resulted in the offence committed by Bitazza concerning the case that between April 25, 2024 and November 25, 2024, Bitazza failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Bitazza insufficiently provided the KYC/CDD system to ensure that Bitazza could know and verify the true identity of its customers, including acquiring adequate information for customers’ risk assessment. | | Criminal Fine | imposing a fine of 1,085,000.00 Baht according to 5/2568 | |
| 278 | 25/04/2025 | Bitazza Company Limited | 30 / DAB Act | Between April 25, 2024 and November 25, 2024, Bitazza Company Limited ("Bitazza") as a digital asset broker, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Bitazza insufficiently provided the system to ensure that Bitazza could know and verify the true identity of its customers, including acquiring adequate information for customers’ risk assessment (Know Your Customer and Customer Due Diligence system (KYC/CDD)). | | Criminal Fine | imposing a fine of 1,085,000.00 Baht according to 4/2568 | |
| 279 | 25/04/2025 | Mr. Thannagon Hariwongsanupap | 244/3 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) / SEC Act (the fifth amendment) | During 13 March 2018 – 21 September 2018, Mr. Thannagon Hariwongsanupap colluded with 2 persons to manipulate the share price of Thai Capital Corporation Public Company Limited’s (TCC), by placing trading orders or trading TCC’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities. | | Civil Sanction | 25/04/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 25/04/2025 and 24/10/2025
- a bar from serving as a director or executive in a securities issuing company between 25/04/2025 and 24/04/2026
- a bar from serving as a director or executive in a securities company between 25/04/2025 and 24/04/2026
- a reimbursement of investigative expenses in an amount of 142,183.00 Baht | |
| 280 | 25/04/2025 | Mr. Thannagon Hariwongsanupap | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 September 2018 – 6 November 2018, Mr. Thannagon Hariwongsanupap colluded with 9 persons to manipulate the securities price of Thai Capital Corporation Public Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading TCC’s shares, TCC-W3 TCC-W4 and TCC-W5 in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | 25/04/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 25/10/2025 and 24/12/2026
- a bar from serving as a director or executive in a securities issuing company between 25/04/2026 and 24/08/2028
- a bar from serving as a director or executive in a securities company between 25/04/2026 and 24/08/2028
- a reimbursement of investigative expenses in an amount of 42,655.00 Baht | |
| 281 | 25/04/2025 | Mr. Chanon Wangtal | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Mr. Chanon Wangtal colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 25/04/2025 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 282 | 25/04/2025 | Mr. Natpapat Keschaimongkol | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Mr. Natpapat Keschaimongkol colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 25/04/2025 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 283 | 23/04/2025 | Three Sixty Five Public Company Limite | 56 / SEC Act | Three Sixty Five Public Company Limite, failed to prepare and submit (1) the audited financial statements for the year 2023, (2) the annual report for the year 2023 (Form 56-2, 2023) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 284 | 23/04/2025 | Mr. Jesada Supasai | 300 / SEC Act | Mr. Jesada Supasai, Director responsible for the operation of Three Sixty Five Public Company Limite ("TSF"), failed to supervise TSF to prepare and submit (1) the audited financial statements for the year 2023 and (2) the annual report for the year 2023 (Form 56-2, 2023) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 285 | 18/04/2025 | Rich Asia Corporation Public Company Limited | 56(2) / SEC Act | Rich Asia Corporation Public Company Limited, a securities issuer, failed to prepare and submit the audited financial statements for the year 2023 through the transmission system of the SEC Office within the period specified in the notification of Capital Market Supervisory Board. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 286 | 18/04/2025 | Miss Vachira Chobchoopol | 300 in conjunction with 56(2) / SEC Act | Miss Vachira Chobchoopol, the authorized director who is responsible for the operation of Global Group Public Company Limited ("RICH"), shall be liable for RICH’s failure to prepare and submit the audited financial statements for the year 2023 through the transmission system of the SEC Office within the period specified in the notification of Capital Market Supervisory Board, due to her failure to order or act in accordance with duties required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 287 | 11/04/2025 | Mr. Boon Vanasin | 240 / SEC Act | | 088/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 288 | 11/04/2025 | CL Fund Management Limited | 113 / SEC Act | Between August 31, 2021 and December 1, 2022, CL Fund Management Limited ("CL") —at the time of the wrongful act, the company was operating under the name Asia Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, the CL's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the accurate information was in place to ensure the status of qualified customers as high net worth investors. | | Criminal Complaints | On May 30, 2025, the Criminal Fining Committee issued special order no. 2/2025 imposing a fine on FL 2024 CO., LTD. as the inquiry official requested the case to be settled by the Criminal Fining Committee. Case is settled. | |
| 289 | 11/04/2025 | CL Fund Management Limited | 100 in conjunction with 113 / SEC Act | Between August 10, 2021 and December 1, 2022, CL Fund Management Limited ("CL") —at the time of the wrongful act, the company was operating under the name Asia Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, there were deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned scope of work. In addition, CL did not inform the SEC about the outsourcing. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 290 | 10/04/2025 | JKN Global Group Public Company Limited | 56(1) / SEC Act | JKN Global Group Public Company Limited, a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Board. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 291 | 10/04/2025 | Mr. Jakkaphong Jakrajutatip | 300 in conjunction with 56(1) / SEC Act | Mr. Jakkaphong Jakrajutatip, the Chief Executive Officer who is responsible for the operation of JKN Global Group Public Company Limited ("JKN"), shall be liable for JKN’s failure to prepare and submit the reviewed financial statements for Q1/2024 through the transmission system within the period specified in the notification of the Capital Market Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 292 | 10/04/2025 | Stark Corporation Public Company Limited | 56(1)(4) / SEC Act | Stark Corporation Public Company Limited, a securities issuer, failed to prepare and submit (1) the reviewed financial statements for Q1/2023 and (2) the financial report for the first half of the fiscal year of 2023 together with an interim management discussion and analysis through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 293 | 10/04/2025 | Mr. Vonnarat Tangkaravakoon | 300 in conjunction with 56(1) / SEC Act | Mr. Vonnarat Tangkaravakoon , a former acting Chief Executive Officer who is responsible for the operation of Stark Corporation Public Company Limited ("STARK"), shall be liable for STARK’s failure to prepare and submit the reviewed financial statements for Q1/2023 to the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 294 | 02/04/2025 | Zipmex Company Limited | 30 / DAB Act | Zipmex Company Limited ("Zipmex"), a digital asset exchange and broker, did not submit reports of IT usage capacity for the period of April 2024, nor did it submit or disclose the service quality information on Zipmex's website within the specified period in accordance with the notification. | | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 295 | 02/04/2025 | Zipmex Company Limited | 30 / DAB Act | Between November 9, 2023 and May 27, 2024, Zipmex Company Limited ("Zipmex"), a digital asset exchange and broker, failed to provide effective systems for selecting digital assets to be offered for trading, including the delisting of digital assets. Moreover, Zipmex failed to perform its duties with due care as the professional should exercise in accordance with standards or practices. | | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 296 | 02/04/2025 | Zipmex Company Limited | 30 and 31 / DAB Act | Between April 10, 2024 and May 27, 2024, Zipmex Company Limited ("Zipmex"), a digital asset exchange and broker, did not keep customers' digital assets in accordance with the notification of the SEC. In this regard, Zipmex did not deposit customers' digital assets with digital asset depository service providers and keep them in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 297 | 21/03/2025 | Aux Cayes FinTech Co. Ltd. | 26 / DAB Act | Aux Cayes FinTech Co. Ltd. ("OKX") operates https://www.okx.com/th, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. It was discovered that OKX solicited in Thai-language to use its services via its website, Twitter (X) : OKX Thai Community, Telegram : OKX TH and Line OpenChat : Thai Community. Additionally, OKX was assisted or facilitated to OKX in publicize its services and promotion by 9 individuals as follow :
(1) Mr. Sarun Boonmesrisanga via Facebook Fanpage : ลองลงทุน, Youtube : ลองลงทุน and Discord Server : LONGLONGTHUN Community
(2) Mr. Nut Joongwong via Facebook Fanpage : พ่อบ้านคริปโต, Youtube : พ่อบ้านคริปโต, Discord Server : Moonstation and Line OpenChat : Exclusive MoonStation
(3) Mr. Kritsana Kritsananuwat via Facebook Fanpage : Srisiam and Youtube : Srisiam
(4) Mr. Smithi Charoenmin via Facebook Fanpage : น้ายามพาเทรด and Youtube : น้ายามพาเทรด
(5) Mr. Kittithat Benchacharoenpat via Facebook Fanpage : I Learn A Lot : แชร์มุมมองด้านการลงทุน, Youtube : I Learn A Lot and Line OpenChat : Exclusive Wave125i
(6) Mr. Saurawit Sanguanphokai via Facebook Fanpage : Art of Crypto, Youtube : Art of Crypto and Telegram : Art of Crypto
(7) Mr. Akarawath Rujiruangchai via Facebook Fanpage : Crypto Teller : บอกกล่าวเล่าคริปโต, Youtube : cryptoteller007 and Discord Server : Mookata Trader Community
(8) Mr. Rachata Chuesaibua via Facebook Fanpage : กราฟฟิ้ววว, Line OpenChat : กราฟฟิ้ววว เดอะ คอมมูนิตี้ and Discord Server : ห้องลับจับคลื่น
(9) Mr. Varut Vanichayakosol via Facebook Fanpage : Insight On-Chain : ส่องข้อมูลออนเชน and Line OpenChat : Insight On-Chain มาคุยกัน
The aforementioned actions by OKX are deemed to be conducting digital asset business without a license, with the 9 individuals as mentioned above supporting this activity. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 298 | 21/03/2025 | Mr. Sarun Boonmesrisanga | 26 and Section 86 of Penal Code / DAB Act | Aux Cayes FinTech Co. Ltd. ("OKX") operates https://www.okx.com/th, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. It was discovered that OKX solicited in Thai-language to use its services via its website, Twitter (X) : OKX Thai Community, Telegram : OKX TH and Line OpenChat : Thai Community. Additionally, OKX was assisted or facilitated to OKX in publicize its services and promotion by 9 individuals as follow :
(1) Mr. Sarun Boonmesrisanga via Facebook Fanpage : ลองลงทุน, Youtube : ลองลงทุน and Discord Server : LONGLONGTHUN Community
(2) Mr. Nut Joongwong via Facebook Fanpage : พ่อบ้านคริปโต, Youtube : พ่อบ้านคริปโต, Discord Server : Moonstation and Line OpenChat : Exclusive MoonStation
(3) Mr. Kritsana Kritsananuwat via Facebook Fanpage : Srisiam and Youtube : Srisiam
(4) Mr. Smithi Charoenmin via Facebook Fanpage : น้ายามพาเทรด and Youtube : น้ายามพาเทรด
(5) Mr. Kittithat Benchacharoenpat via Facebook Fanpage : I Learn A Lot : แชร์มุมมองด้านการลงทุน, Youtube : I Learn A Lot and Line OpenChat : Exclusive Wave125i
(6) Mr. Saurawit Sanguanphokai via Facebook Fanpage : Art of Crypto, Youtube : Art of Crypto and Telegram : Art of Crypto
(7) Mr. Akarawath Rujiruangchai via Facebook Fanpage : Crypto Teller : บอกกล่าวเล่าคริปโต, Youtube : cryptoteller007 and Discord Server : Mookata Trader Community
(8) Mr. Rachata Chuesaibua via Facebook Fanpage : กราฟฟิ้ววว, Line OpenChat : กราฟฟิ้ววว เดอะ คอมมูนิตี้ and Discord Server : ห้องลับจับคลื่น
(9) Mr. Varut Vanichayakosol via Facebook Fanpage : Insight On-Chain : ส่องข้อมูลออนเชน and Line OpenChat : Insight On-Chain มาคุยกัน
The aforementioned actions by OKX are deemed to be conducting digital asset business without a license, with the 9 individuals as mentioned above supporting this activity. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 299 | 21/03/2025 | Mr. Nut Joongwong | 26 and Section 86 of Penal Code / DAB Act | Aux Cayes FinTech Co. Ltd. ("OKX") operates https://www.okx.com/th, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. It was discovered that OKX solicited in Thai-language to use its services via its website, Twitter (X) : OKX Thai Community, Telegram : OKX TH and Line OpenChat : Thai Community. Additionally, OKX was assisted or facilitated to OKX in publicize its services and promotion by 9 individuals as follow :
(1) Mr. Sarun Boonmesrisanga via Facebook Fanpage : ลองลงทุน, Youtube : ลองลงทุน and Discord Server : LONGLONGTHUN Community
(2) Mr. Nut Joongwong via Facebook Fanpage : พ่อบ้านคริปโต, Youtube : พ่อบ้านคริปโต, Discord Server : Moonstation and Line OpenChat : Exclusive MoonStation
(3) Mr. Kritsana Kritsananuwat via Facebook Fanpage : Srisiam and Youtube : Srisiam
(4) Mr. Smithi Charoenmin via Facebook Fanpage : น้ายามพาเทรด and Youtube : น้ายามพาเทรด
(5) Mr. Kittithat Benchacharoenpat via Facebook Fanpage : I Learn A Lot : แชร์มุมมองด้านการลงทุน, Youtube : I Learn A Lot and Line OpenChat : Exclusive Wave125i
(6) Mr. Saurawit Sanguanphokai via Facebook Fanpage : Art of Crypto, Youtube : Art of Crypto and Telegram : Art of Crypto
(7) Mr. Akarawath Rujiruangchai via Facebook Fanpage : Crypto Teller : บอกกล่าวเล่าคริปโต, Youtube : cryptoteller007 and Discord Server : Mookata Trader Community
(8) Mr. Rachata Chuesaibua via Facebook Fanpage : กราฟฟิ้ววว, Line OpenChat : กราฟฟิ้ววว เดอะ คอมมูนิตี้ and Discord Server : ห้องลับจับคลื่น
(9) Mr. Varut Vanichayakosol via Facebook Fanpage : Insight On-Chain : ส่องข้อมูลออนเชน and Line OpenChat : Insight On-Chain มาคุยกัน
The aforementioned actions by OKX are deemed to be conducting digital asset business without a license, with the 9 individuals as mentioned above supporting this activity. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 300 | 21/03/2025 | Mr. Smithi Charoenmin | 26 and Section 86 of Penal Code / DAB Act | Aux Cayes FinTech Co. Ltd. ("OKX") operates https://www.okx.com/th, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. It was discovered that OKX solicited in Thai-language to use its services via its website, Twitter (X) : OKX Thai Community, Telegram : OKX TH and Line OpenChat : Thai Community. Additionally, OKX was assisted or facilitated to OKX in publicize its services and promotion by 9 individuals as follow :
(1) Mr. Sarun Boonmesrisanga via Facebook Fanpage : ลองลงทุน, Youtube : ลองลงทุน and Discord Server : LONGLONGTHUN Community
(2) Mr. Nut Joongwong via Facebook Fanpage : พ่อบ้านคริปโต, Youtube : พ่อบ้านคริปโต, Discord Server : Moonstation and Line OpenChat : Exclusive MoonStation
(3) Mr. Kritsana Kritsananuwat via Facebook Fanpage : Srisiam and Youtube : Srisiam
(4) Mr. Smithi Charoenmin via Facebook Fanpage : น้ายามพาเทรด and Youtube : น้ายามพาเทรด
(5) Mr. Kittithat Benchacharoenpat via Facebook Fanpage : I Learn A Lot : แชร์มุมมองด้านการลงทุน, Youtube : I Learn A Lot and Line OpenChat : Exclusive Wave125i
(6) Mr. Saurawit Sanguanphokai via Facebook Fanpage : Art of Crypto, Youtube : Art of Crypto and Telegram : Art of Crypto
(7) Mr. Akarawath Rujiruangchai via Facebook Fanpage : Crypto Teller : บอกกล่าวเล่าคริปโต, Youtube : cryptoteller007 and Discord Server : Mookata Trader Community
(8) Mr. Rachata Chuesaibua via Facebook Fanpage : กราฟฟิ้ววว, Line OpenChat : กราฟฟิ้ววว เดอะ คอมมูนิตี้ and Discord Server : ห้องลับจับคลื่น
(9) Mr. Varut Vanichayakosol via Facebook Fanpage : Insight On-Chain : ส่องข้อมูลออนเชน and Line OpenChat : Insight On-Chain มาคุยกัน
The aforementioned actions by OKX are deemed to be conducting digital asset business without a license, with the 9 individuals as mentioned above supporting this activity. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 301 | 21/03/2025 | Mr. Kittithat Benchacharoenpat | 26 and Section 86 of Penal Code / DAB Act | Aux Cayes FinTech Co. Ltd. ("OKX") operates https://www.okx.com/th, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. It was discovered that OKX solicited in Thai-language to use its services via its website, Twitter (X) : OKX Thai Community, Telegram : OKX TH and Line OpenChat : Thai Community. Additionally, OKX was assisted or facilitated to OKX in publicize its services and promotion by 9 individuals as follow :
(1) Mr. Sarun Boonmesrisanga via Facebook Fanpage : ลองลงทุน, Youtube : ลองลงทุน and Discord Server : LONGLONGTHUN Community
(2) Mr. Nut Joongwong via Facebook Fanpage : พ่อบ้านคริปโต, Youtube : พ่อบ้านคริปโต, Discord Server : Moonstation and Line OpenChat : Exclusive MoonStation
(3) Mr. Kritsana Kritsananuwat via Facebook Fanpage : Srisiam and Youtube : Srisiam
(4) Mr. Smithi Charoenmin via Facebook Fanpage : น้ายามพาเทรด and Youtube : น้ายามพาเทรด
(5) Mr. Kittithat Benchacharoenpat via Facebook Fanpage : I Learn A Lot : แชร์มุมมองด้านการลงทุน, Youtube : I Learn A Lot and Line OpenChat : Exclusive Wave125i
(6) Mr. Saurawit Sanguanphokai via Facebook Fanpage : Art of Crypto, Youtube : Art of Crypto and Telegram : Art of Crypto
(7) Mr. Akarawath Rujiruangchai via Facebook Fanpage : Crypto Teller : บอกกล่าวเล่าคริปโต, Youtube : cryptoteller007 and Discord Server : Mookata Trader Community
(8) Mr. Rachata Chuesaibua via Facebook Fanpage : กราฟฟิ้ววว, Line OpenChat : กราฟฟิ้ววว เดอะ คอมมูนิตี้ and Discord Server : ห้องลับจับคลื่น
(9) Mr. Varut Vanichayakosol via Facebook Fanpage : Insight On-Chain : ส่องข้อมูลออนเชน and Line OpenChat : Insight On-Chain มาคุยกัน
The aforementioned actions by OKX are deemed to be conducting digital asset business without a license, with the 9 individuals as mentioned above supporting this activity. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 302 | 21/03/2025 | Mr. Saurawit Sanguanphokai | 26 and Section 86 of Penal Code / DAB Act | Aux Cayes FinTech Co. Ltd. ("OKX") operates https://www.okx.com/th, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. It was discovered that OKX solicited in Thai-language to use its services via its website, Twitter (X) : OKX Thai Community, Telegram : OKX TH and Line OpenChat : Thai Community. Additionally, OKX was assisted or facilitated to OKX in publicize its services and promotion by 9 individuals as follow :
(1) Mr. Sarun Boonmesrisanga via Facebook Fanpage : ลองลงทุน, Youtube : ลองลงทุน and Discord Server : LONGLONGTHUN Community
(2) Mr. Nut Joongwong via Facebook Fanpage : พ่อบ้านคริปโต, Youtube : พ่อบ้านคริปโต, Discord Server : Moonstation and Line OpenChat : Exclusive MoonStation
(3) Mr. Kritsana Kritsananuwat via Facebook Fanpage : Srisiam and Youtube : Srisiam
(4) Mr. Smithi Charoenmin via Facebook Fanpage : น้ายามพาเทรด and Youtube : น้ายามพาเทรด
(5) Mr. Kittithat Benchacharoenpat via Facebook Fanpage : I Learn A Lot : แชร์มุมมองด้านการลงทุน, Youtube : I Learn A Lot and Line OpenChat : Exclusive Wave125i
(6) Mr. Saurawit Sanguanphokai via Facebook Fanpage : Art of Crypto, Youtube : Art of Crypto and Telegram : Art of Crypto
(7) Mr. Akarawath Rujiruangchai via Facebook Fanpage : Crypto Teller : บอกกล่าวเล่าคริปโต, Youtube : cryptoteller007 and Discord Server : Mookata Trader Community
(8) Mr. Rachata Chuesaibua via Facebook Fanpage : กราฟฟิ้ววว, Line OpenChat : กราฟฟิ้ววว เดอะ คอมมูนิตี้ and Discord Server : ห้องลับจับคลื่น
(9) Mr. Varut Vanichayakosol via Facebook Fanpage : Insight On-Chain : ส่องข้อมูลออนเชน and Line OpenChat : Insight On-Chain มาคุยกัน
The aforementioned actions by OKX are deemed to be conducting digital asset business without a license, with the 9 individuals as mentioned above supporting this activity. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 303 | 21/03/2025 | Mr. Akarawath Rujiruangchai | 26 and Section 86 of Penal Code / DAB Act | Aux Cayes FinTech Co. Ltd. ("OKX") operates https://www.okx.com/th, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. It was discovered that OKX solicited in Thai-language to use its services via its website, Twitter (X) : OKX Thai Community, Telegram : OKX TH and Line OpenChat : Thai Community. Additionally, OKX was assisted or facilitated to OKX in publicize its services and promotion by 9 individuals as follow :
(1) Mr. Sarun Boonmesrisanga via Facebook Fanpage : ลองลงทุน, Youtube : ลองลงทุน and Discord Server : LONGLONGTHUN Community
(2) Mr. Nut Joongwong via Facebook Fanpage : พ่อบ้านคริปโต, Youtube : พ่อบ้านคริปโต, Discord Server : Moonstation and Line OpenChat : Exclusive MoonStation
(3) Mr. Kritsana Kritsananuwat via Facebook Fanpage : Srisiam and Youtube : Srisiam
(4) Mr. Smithi Charoenmin via Facebook Fanpage : น้ายามพาเทรด and Youtube : น้ายามพาเทรด
(5) Mr. Kittithat Benchacharoenpat via Facebook Fanpage : I Learn A Lot : แชร์มุมมองด้านการลงทุน, Youtube : I Learn A Lot and Line OpenChat : Exclusive Wave125i
(6) Mr. Saurawit Sanguanphokai via Facebook Fanpage : Art of Crypto, Youtube : Art of Crypto and Telegram : Art of Crypto
(7) Mr. Akarawath Rujiruangchai via Facebook Fanpage : Crypto Teller : บอกกล่าวเล่าคริปโต, Youtube : cryptoteller007 and Discord Server : Mookata Trader Community
(8) Mr. Rachata Chuesaibua via Facebook Fanpage : กราฟฟิ้ววว, Line OpenChat : กราฟฟิ้ววว เดอะ คอมมูนิตี้ and Discord Server : ห้องลับจับคลื่น
(9) Mr. Varut Vanichayakosol via Facebook Fanpage : Insight On-Chain : ส่องข้อมูลออนเชน and Line OpenChat : Insight On-Chain มาคุยกัน
The aforementioned actions by OKX are deemed to be conducting digital asset business without a license, with the 9 individuals as mentioned above supporting this activity. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 304 | 21/03/2025 | Mr. Rachata Chuesaibua | 26 and Section 86 of Penal Code / DAB Act | Aux Cayes FinTech Co. Ltd. ("OKX") operates https://www.okx.com/th, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. It was discovered that OKX solicited in Thai-language to use its services via its website, Twitter (X) : OKX Thai Community, Telegram : OKX TH and Line OpenChat : Thai Community. Additionally, OKX was assisted or facilitated to OKX in publicize its services and promotion by 9 individuals as follow :
(1) Mr. Sarun Boonmesrisanga via Facebook Fanpage : ลองลงทุน, Youtube : ลองลงทุน and Discord Server : LONGLONGTHUN Community
(2) Mr. Nut Joongwong via Facebook Fanpage : พ่อบ้านคริปโต, Youtube : พ่อบ้านคริปโต, Discord Server : Moonstation and Line OpenChat : Exclusive MoonStation
(3) Mr. Kritsana Kritsananuwat via Facebook Fanpage : Srisiam and Youtube : Srisiam
(4) Mr. Smithi Charoenmin via Facebook Fanpage : น้ายามพาเทรด and Youtube : น้ายามพาเทรด
(5) Mr. Kittithat Benchacharoenpat via Facebook Fanpage : I Learn A Lot : แชร์มุมมองด้านการลงทุน, Youtube : I Learn A Lot and Line OpenChat : Exclusive Wave125i
(6) Mr. Saurawit Sanguanphokai via Facebook Fanpage : Art of Crypto, Youtube : Art of Crypto and Telegram : Art of Crypto
(7) Mr. Akarawath Rujiruangchai via Facebook Fanpage : Crypto Teller : บอกกล่าวเล่าคริปโต, Youtube : cryptoteller007 and Discord Server : Mookata Trader Community
(8) Mr. Rachata Chuesaibua via Facebook Fanpage : กราฟฟิ้ววว, Line OpenChat : กราฟฟิ้ววว เดอะ คอมมูนิตี้ and Discord Server : ห้องลับจับคลื่น
(9) Mr. Varut Vanichayakosol via Facebook Fanpage : Insight On-Chain : ส่องข้อมูลออนเชน and Line OpenChat : Insight On-Chain มาคุยกัน
The aforementioned actions by OKX are deemed to be conducting digital asset business without a license, with the 9 individuals as mentioned above supporting this activity. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 305 | 21/03/2025 | Mr. Varut Vanichayakosol | 26 and Section 86 of Penal Code / DAB Act | Aux Cayes FinTech Co. Ltd. ("OKX") operates https://www.okx.com/th, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. It was discovered that OKX solicited in Thai-language to use its services via its website, Twitter (X) : OKX Thai Community, Telegram : OKX TH and Line OpenChat : Thai Community. Additionally, OKX was assisted or facilitated to OKX in publicize its services and promotion by 9 individuals as follow :
(1) Mr. Sarun Boonmesrisanga via Facebook Fanpage : ลองลงทุน, Youtube : ลองลงทุน and Discord Server : LONGLONGTHUN Community
(2) Mr. Nut Joongwong via Facebook Fanpage : พ่อบ้านคริปโต, Youtube : พ่อบ้านคริปโต, Discord Server : Moonstation and Line OpenChat : Exclusive MoonStation
(3) Mr. Kritsana Kritsananuwat via Facebook Fanpage : Srisiam and Youtube : Srisiam
(4) Mr. Smithi Charoenmin via Facebook Fanpage : น้ายามพาเทรด and Youtube : น้ายามพาเทรด
(5) Mr. Kittithat Benchacharoenpat via Facebook Fanpage : I Learn A Lot : แชร์มุมมองด้านการลงทุน, Youtube : I Learn A Lot and Line OpenChat : Exclusive Wave125i
(6) Mr. Saurawit Sanguanphokai via Facebook Fanpage : Art of Crypto, Youtube : Art of Crypto and Telegram : Art of Crypto
(7) Mr. Akarawath Rujiruangchai via Facebook Fanpage : Crypto Teller : บอกกล่าวเล่าคริปโต, Youtube : cryptoteller007 and Discord Server : Mookata Trader Community
(8) Mr. Rachata Chuesaibua via Facebook Fanpage : กราฟฟิ้ววว, Line OpenChat : กราฟฟิ้ววว เดอะ คอมมูนิตี้ and Discord Server : ห้องลับจับคลื่น
(9) Mr. Varut Vanichayakosol via Facebook Fanpage : Insight On-Chain : ส่องข้อมูลออนเชน and Line OpenChat : Insight On-Chain มาคุยกัน
The aforementioned actions by OKX are deemed to be conducting digital asset business without a license, with the 9 individuals as mentioned above supporting this activity. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 306 | 21/03/2025 | www.xt.com | 26 / DAB Act | From 2022, the digital asset exchange platform provider on the website www.xt.com ("XT.COM") has been providing a platform for trading or exchanging digital assets, which operates by matching orders or arranging for the counterparty or providing the system or facilitating a person who wishes to trade or exchange digital assets to be able to enter into an agreement or match the order through XT.COM. XT.COM charges fees for these services. Moreover, XT.COM induced Thai people and investors to use its services by promoting via Facebook, Telegram, and YouTube, as well as participating in Thailand Crypto Expo 2022. The aforementioned actions by XT.COM are deemed to be conducting digital asset business without a license. | 064/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 307 | 20/03/2025 | SMC Power Public Company Limited | 56(2)(4) / SEC Act | SMC Power Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2023 and (2) the annual report for the year 2023 (Form 56-2, 2023) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 308 | 20/03/2025 | Mr. Songrit Butrngam | 300 in conjunction with 56(2)(4) / SEC Act | Mr. Songrit Butrngam, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2023 and (2) the annual report for the year 2023 (Form 56-2, 2023) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 309 | 20/03/2025 | Mr. Paiwan Butrsa | 300 in conjunction with 56(2)(4) / SEC Act | Mr. Paiwan Butrsa, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2023 and (2) the annual report for the year 2023 (Form 56-2, 2023) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 310 | 18/03/2025 | Mr. Vudhiphol Suriyabhivadh | Section 242(1), in conjunction with Section 243(1) and in conjunction with Section 83 of the Criminal Code / SEC Act (the fifth amendment) | Mr. Vudhiphol Suriyabhivadh as the vice chairman of the board of directors of L.P.N. Development Public Company Limited ("LPN"), chairman of the Audit Committee, and Independent Director of LPN, knew or possessed inside information regarding the announcement of Special Interim Dividend Payment at the rate of 1 baht per share, which is material to the change of price or the value of the share. Subsequently, Mr. Vudhiphol in collaboration with his son (Mr. Arthit Suriyabhivadh) purchased LPN’s shares through Mr. Arthit’s securities trading account between 7 - 18 May 2020, before LPN disclosed such inside information to the public on May 22, 2020, at 12:57 PM.
| 47/2025 | Civil Sanction | 18/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,167,562.00 Baht
- a civil monetary penalty of 1,459,452.50 Baht
- a reimbursement of investigative expenses in an amount of 37,849.50 Baht | |
| 311 | 18/03/2025 | Mr. Arthit Suriyabhivadh | 242 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | Mr. Arthit Suriyabhivadh in collaboration with his father (Mr. Vudhiphol Suriyabhivadh, the vice chairman of the board of directors of L.P.N. Development Public Company Limited ("LPN"), who knew or possessed inside information regarding the announcement of Special Interim Dividend Payment at the rate of 1 baht per share, which is material to the change of price or the value of the share) purchased LPN’s shares through his securities trading account between 7 - 18 May 2020 before LPN disclosed such inside information to the public on May 22, 2020, at 12:57 PM. | 47/2025 | Civil Sanction | 18/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,167,562.00 Baht
- a civil monetary penalty of 1,459,452.50 Baht
- a reimbursement of investigative expenses in an amount of 37,849.50 Baht | |
| 312 | 14/03/2025 | Mr. Jakchai Sakunekphaisan | 244/3(1)(2) in conjunction with section 244/5(4) / SEC Act | During 10 – 13 May 2024, Mr. Jakchai Sakunekphaisan manipulated the price and/or trading volumes of Prosper Engineering Public Company Limited (PROS) stocks. His activities included (1) driving the PROS stock price upward , (2) obstructing others' purchase orders by placing orders at multiple price levels and (3) driving up the opening or the closing prices by placed orders before market opened or closed, consequently misleading the public regarding the price or trading volumes of PROS stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 059/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 313 | 14/03/2025 | Mr. Jakchai Sakunekphaisan | 244/3(1)(2) in conjunction with section 244/5(4) / SEC Act | During 24 – 25 April 2024, Mr. Jakchai Sakunekphaisan manipulated the price and/or trading volumes of T.Krungthai Industries Public Company Limited (TKT) stocks. His activities included (1) driving the TKT stock price upward and (2) obstructing others' purchase orders by by placing orders at multiple price levels, consequently misleading the public regarding the price or trading volumes of TKT stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 059/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 314 | 14/03/2025 | Mr. Jakchai Sakunekphaisan | 244/3(1)(2) in conjunction with section 244/5(4) / SEC Act | During 10 – 11 April 2024, Mr. Jakchai Sakunekphaisan manipulated the price and/or trading volumes of Patkol Public Company Limited (“PK”) stocks. His activities included (1) driving the PK stock price upward, (2) obstructing others' purchase orders by placing orders at multiple price levels and (3) driving up the opening or the closing prices by placed orders before market opened or closed, consequently misleading the public regarding the price or trading volumes of PK stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 059/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 315 | 13/03/2025 | Group Lease Public Company Limited | 56(1)(2)(3)(4) / SEC Act | Group Lease Public Company Limited, a securities issuer, failed to prepare and submit (1) the audited financial statements for the year 2023 (2) the annual registration statement for the year/annual report for the year 2023 (Form 56-1 One report) and (3) the reviewed financial statements for Q1/2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Board. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 316 | 13/03/2025 | Mr. Riki Ishigami | 300 / SEC Act | Mr. Riki Ishigami, a Chief Executive Officer who is responsible for the operation of Group Lease Public Company Limited ("GL") Limited, shall be liable for GL’s failure to prepare and submit (1) the audited financial statements for the year 2023 (2) the annual registration statement for the year/annual report for the year 2023 (Form 56-1 One report) and (3) the reviewed financial statements for Q1/2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 317 | 13/03/2025 | Pace Development Corporation Public Company Limited | 56(2)(3)(4) / SEC Act | Pace Development Corporation Public Company Limited, a securities issuer, failed to prepare and submit (1) the audited financial statements for the year 2023 and (2) the annual registration statement for the year/annual report for the year 2023 (Form 56-1 One report) through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 318 | 13/03/2025 | Mr. Sorapoj Techakraisri | 300 / SEC Act | Mr. Sorapoj Techakraisri, a Chief Executive Officer who is responsible for the operation of Pace Development Corporation Public Company Limited ("PACE"), shall be liable for PACE’s failure to prepare and submit (1) the audited financial statements for the year 2023 and (2) the annual registration statement for the year/annual report for the year 2023 (Form 56-1 One report) through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 319 | 13/03/2025 | Mr. Tikhamporn Plengsrisuk | Section 242(1), in conjunction with Section 243(1), and Section 297, paragraph two and in conjunction with Section 90 of the Criminal Code / SEC Act (the fifth amendment) | Mr. Tikhamporn Plengsrisuk while serving as the vice chairman of the board of directors of L.P.N. Development Public Company Limited ("LPN"), knew or possessed inside information regarding the announcement of Special Interim Dividend Payment at the rate of 1 baht per share, which is material to the change of price or the value of the share. Subsequently, on 14 May 2020, Mr. Tikhamporn bought LPN’s shares by using Mr. Tanat Plengsrisuk’s securities trading account prior to LPN’s disclosure of such inside information to the public on 22 May 2020, at 12:57 PM | 47/2025 | Civil Sanction | 13/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,921,788.00 Baht
- a civil monetary penalty of 2,402,235.00 Baht
- a reimbursement of investigative expenses in an amount of 37,849.00 Baht | |
| 320 | 13/03/2025 | Mr. Tanat Plengsrisuk | 297 para.1 / SEC Act (the fifth amendment) | Mr. Tanat Plengsrisuk allowed Mr. Tikhamporn Plengsrisuk (his father), to use his securities trading account to conceal identity of Mr. Tikamporn on 14 May 2020 who was knew or possessed inside information regarding the announcement of Special Interim Dividend Payment at the rate of 1 baht per share, which is material to the change of price or the value of the share | 47/2025 | Civil Sanction | 13/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 100,000.00 Baht
- a reimbursement of investigative expenses in an amount of 37,849.00 Baht | |
| 321 | 13/03/2025 | Mr. Surawut Sukcharoensin | Section 242(1), in conjunction with Section 243(1) and in conjunction with Section 83 of the Criminal Code / SEC Act (the fifth amendment) | Mr. Surawut Sukcharoensin while serving as Director, Executive Director, and Chief Strategy Officer of L.P.N. Development Public Company Limited (“LPN”), knew or possessed inside information regarding the announcement of a special interim dividend payment at the rate of 1 baht per share, which was material to the change in price or value of LPN shares.
Subsequently, Mr. Surawut in collaboration with his sister (Miss Nawarat Sukcharoensin) purchased LPN’s shares through Miss Nawarat’s securities trading account between 7 – 21 May 2020 ,before LPN’s disclosure of such inside information to the public on 22 May 2020
| 47/2025 | Civil Sanction | 13/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,015,720.00 Baht
- a civil monetary penalty of 1,269,650.00 Baht
- a reimbursement of investigative expenses in an amount of 37,849.00 Baht | |
| 322 | 13/03/2025 | Miss Nawarat Sukcharoensin | 242 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | Miss Nawarat Sukcharoensin, in collaboration with her brother (Mr. Surawut Sukcharoensin who was Director, Executive Director, and Chief Strategy Officer of L.P.N. Development Public Company Limited (“LPN”), and knew or possessed inside information regarding the announcement of a special interim dividend payment at the rate of 1 baht per share, which was material to the change in price or value of LPN shares) purchased LPN’s shares through her own securities trading account between May 7 and 21, 2020. Additionally, Miss Nawarat also purchased LPN shares in her own securities trading account on May 13, 2020. All these purchases were made before LPN’s disclosure of such inside information to the public on 22 May 2020 | 47/2025 | Civil Sanction | 13/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 106,000.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 37,849.00 Baht | |
| 323 | 13/03/2025 | Mrs. Malatee Sukcharoensin | Section 242(1) and in conjunction with Section 244(3) / SEC Act (the fifth amendment) | Mrs. Malatee Sukcharoensin, the mother of Mr. Surawut Sukcharoensin (who was Director, Executive Director, and Chief Strategy Officer of L.P.N. Development Public Company Limited ("LPN")), was considered as a person who knew or possessed inside information regarding the announcement of Special Interim Dividend Payment at the rate of 1 baht per share, which is material to the change of price or the value of the share. Subsequently, Mrs. Malatee purchased LPN’s shares through her own securities trading account between 13 - 18 May 2020 in a manner inconsistent with her normal trading behavior before LPN disclosed such inside information to the public on 22 May 2020 at 12:57 PM. | 47/2025 | Civil Sanction | 13/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 245,700.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 37,849.00 Baht | |
| 324 | 13/03/2025 | Mr. Pichet Supakijjanusan | Section 242(1), in conjunction with Section 243(1) and in conjunction with Section 83 of the Criminal Code / SEC Act (the fifth amendment) | Mr. Pichet Supakijjanusan as the Directors of L.P.N. Development Public Company Limited ("LPN"), knew or possessed inside information regarding the announcement of Special Interim Dividend Payment at the rate of 1 baht per share, which is material to the change of price or the value of the share. Subsequently, Mr. Pichet in collaboration his sister-in-law (Mrs. Kanrawee Supakijjanusan), purchased LPN’s shares through Mrs. Kanrawee’s securities trading account between 8 – 21 May 2020, before LPN’s disclosure of such inside information to the public on 22 May 2020, at 12:57 PM. | 47/2025 | Civil Sanction | 13/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 439,000.00 Baht
- a civil monetary penalty of 548,750.00 Baht
- a reimbursement of investigative expenses in an amount of 37,849.00 Baht | |
| 325 | 13/03/2025 | Mrs. Kanrawee Suphakitchanusan | 242 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | Mrs. Kanrawee Suphakitchanusan in collaboration with her brother-in-law (Mr. Pichet Supakijjanusan, who is the Directors of L.P.N. Development Public Company Limited ("LPN"), knew or possessed inside information regarding the announcement of Special Interim Dividend Payment at the rate of 1 baht per share, which is material to the change of price or the value of the share.) purchased LPN’s shares through her securities trading account between 8 - 21 May 2020, before LPN’s disclosure of such inside information to the public on 22 May 2020, at 12:57 PM. | 47/2025 | Civil Sanction | 13/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 439,000.00 Baht
- a civil monetary penalty of 548,750.00 Baht
- a reimbursement of investigative expenses in an amount of 37,849.00 Baht | |
| 326 | 12/03/2025 | Mr. Suriya Suriyabhivadh | Section 242(1), in conjunction with Section 244(3) and in conjunction with Section 83 of the Criminal Code / SEC Act (the fifth amendment) | Mr. Suriya Suriyabhivadh, son of Mr. Vudhiphol Suriyabhivadh who is the vice chairman of the board of directors of L.P.N. Development Public Company Limited ("LPN"), was considered as a person who knew or possessed inside information regarding the announcement of Special Interim Dividend Payment at the rate of 1 baht per share, which is material to the change of price or the value of the share.
Subsequently, Mr. Suriya in collaboration with Mr. Ratanapong Srirojanant purchased LPN’s shares in a manner inconsistent with his normal trading behavior through Mr. Ratanapong’s securities trading account on the morning of 22 May 2020 before LPN disclosed such inside information to the public on May 22, 2020, at 12:57 PM
| 47/2025 | Civil Sanction | 12/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 387,170.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 37,849.00 Baht | |
| 327 | 12/03/2025 | Mr. Ratanapong Srirojanant | 242 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | Mr. Ratanapong Srirojanant, in collaboration with Mr. Suriya Suriyabhivadh, son of Mr. Vudhiphol Suriyabhivadh who is the vice chairman of the board of directors of L.P.N. Development Public Company Limited (“LPN”), was considered as a person who knew or possessed inside information regarding the announcement of Special Interim Dividend Payment at the rate of 1 baht per share, which is material to the change of price or the value of the share.
Subsequently, Mr. Ratanapong, in collaboration with Mr. Suriya, purchased LPN’s shares in a manner inconsistent with his normal trading behavior through Mr. Ratanapong’s securities trading account on the morning of 22 May 2020 before LPN disclosed such inside information to the public on May 22, 2020, at 12:57 PM
| 47/2025 | Civil Sanction | 12/03/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 415,840.00 Baht
- a civil monetary penalty of 519,800.00 Baht
- a reimbursement of investigative expenses in an amount of 37,849.00 Baht | |
| 328 | 11/03/2025 | Miss Kanokpailin Wilaikaew | 59 / SEC Act | May 18, 2020. Miss Kanokpailin Wilaikaew a Chief Financial officer of Origin Property Public Company Limited has changed her securities holding. In this regard, Miss Kanokpailin has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59-2) within November 23, 2020. However, Miss Kanokpailin failed to prepared and disclosed the report (Form 59-2) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 30,500.00 Baht according to 27/2568 | |
| 329 | 11/03/2025 | Mr. Pavin Phirombhakdi | 59 / SEC Act | Mr. Pavin Phirombhakdi, Chairman of the Board of the Directors and Director of BG Container Glass Public Company Limited [“BGC”], has the duty to prepare and disclose a report regarding his holding securities and the changes to such holding [From 59-2] within June 17, 2024. Pavin and Child Company Limited, the company in which Mr. Pavin holds more than 30% of shares and has the highest proportion of among all sharesholders, received BGC securities from Pavin’s spouse on June 12, 2024. However, Mr. Pavin prepare and disclose a report [From 59-2] to the SEC office on June 26, 2024 which means Mr. Pavin failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 40,200.00 Baht according to 26/2568 | |
| 330 | 11/03/2025 | Mrs. La-or Tangkaravakoon | 59 / SEC Act | Mrs. La-or Tangkaravakoon, Vice Chairman of TOA Paint [THAILAND] Public Company Limited [“TOA”], has the duty to prepare and disclose a report regarding his holding securities and the changes to such holding [From 59-2] within May 7, 2020. TOA Group Holding Company Limited, the company in which Mrs. La-or holds more than 30% of shares and has the highest proportion of among all sharesholders, changes holdings of TOA securities on April 29, 2020. However, Mrs. La-or prepare and disclose a report [From 59-2] to the SEC office on July 8, 2020 which means Mrs. La-or failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 8,100.00 Baht according to 25/2568 | |
| 331 | 11/03/2025 | Mr. Prachak Tangkaravakoon | 59 / SEC Act | Mr. Prachak Tangkaravakoon, Chairman of TOA Paint [THAILAND] Public Company Limited [“TOA”], has the duty to prepare and disclose a report regarding his holding securities and the changes to such holding [From 59-2] within May 7, 2020. TOA Group Holding Company Limited, the company in which Mr. Prachak holds more than 30% of shares and has the highest proportion of among all sharesholders, changes holdings of TOA securities on April 29, 2020. However, Mr. Prachak prepare and disclose a report [From 59-2] to the SEC office on July 8, 2020 which means Mr. Prachak failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 8,100.00 Baht according to 24/2568 | |
| 332 | 11/03/2025 | Mrs. Wannee Chourkittisopon | 59 / SEC Act | During 19 March 2020 to 21 March 2024, Mrs. Wannee Chourkittisopon, a director of Home Pottery public company limited (HPT), has changed her securities holding. In this regard, Mrs. Wannee has the duty to prepare and disclose reports regarding her holding securities and the changes to such holdings (Form 59-2) include 185 changes, within (1) Year 2020, by 24 March 2020 (2) Year 2021, by 4 March 2021 (3) Year 2022, from 22 March 2022 to 23 December 2022 (4) Year 2023, from 4 January 2023 to 30 May 2023 and (5) Year 2024, by 26 March 2024 respectively. However, Mrs. Wannee prepared and disclosed the reports (Form 59-2) to the SEC office on 3 April 2020, 10 March 2021, 5 April 2023, 14 June 2023 and 28 March 2024 respectively, which means Mrs. Wannee failed to prepare and disclose the reports within the period specified in the notification of the Office of the Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 136,000.00 Baht according to 23/2568 | |
| 333 | 11/03/2025 | Mr. Niran Chourkittisopon | 59 / SEC Act | Mr. Niran Chourkittisopon, a CEO, chairman of risk management committee, director and managing director of Home Pottery public company limited (HPT), has the duty to prepare and disclose reports regarding his spouse: Mrs. Wannee Chourkittisopon holding securities and the changes to such holdings (Form 59-2) within (1) Year 2021, by 4 March 2021 (2) Year 2022, from 22 March 2022 to 23 December 2022 (3) Year 2023, from 4 January 2023 to 30 May 2023 and (4) Year 2024, by 26 March 2024 respectively, regarding Mrs. Wannee has made 184 changes to her securities holding (1 March 2021 - 21 March 2024). However, Mr. Niran prepared and disclosed the report (Form 59-2) to the SEC office on 10 March 2021, 5 April 2023, 14 June 2023 and 28 March 2024 respectively, which means Mr. Niran failed to prepare and disclose the report within the period specified in the notification of the Office of the Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 132,250.00 Baht according to 22/2568 | |
| 334 | 11/03/2025 | Yuanta Securities (Thailand) Company Limited | 116 / SEC Act | Between May 9, 2022 and August 7, 2023 Yuanta Securities (Thailand) Company Limited as a securities underwriter, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. | | Criminal Fine | imposing a fine of 796,500.00 Baht according to 21/2568 | |
| 335 | 11/03/2025 | CL Fund Management Limited | 113 / SEC Act | Between August 31, 2021 and December 1, 2022, CL Fund Management Limited ("CL") —at the time of the wrongful act, the company was operating under the name Asia Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, the CL's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the accurate information was in place to ensure the status of qualified customers as high net worth investors. | | Criminal Fine | imposing a fine of 2,057,000.00 Baht according to 20/2568 | |
| 336 | 11/03/2025 | CL Fund Management Limited | 100 in conjunction with 113 / SEC Act | Between August 10, 2021 and December 1, 2022, CL Fund Management Limited ("CL") —at the time of the wrongful act, the company was operating under the name Asia Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, there were deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned scope of work. In addition, CL did not inform the SEC about the outsourcing. | | Criminal Fine | imposing a fine of 681,000.00 Baht according to 20/2568 | |
| 337 | 11/03/2025 | Miss Yaowalug Pukpikul | 34 in conjunction with Section 83 of the Penal Code / SEC Act | Miss Yaowalug Pukpikul colluded with Energy Mahanakhon Company limited ("EMN") and Mr. Phornlert Techarattanopas offered to sale EMN stock as a newly issued securities in the category of shares (Public Offering) without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 19/2568 | |
| 338 | 11/03/2025 | Mr.Phornlert Techarattanopas | 34 in conjunction with Section 83 of the Penal Code / SEC Act | Mr.Phornlert Techarattanopas colluded with Energy Mahanakhon Company limited ("EMN") and Miss Yaowalug Pukpikul offered to sale EMN stock as a newly issued securities in the category of shares (Public Offering) without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 18/2568 | |
| 339 | 11/03/2025 | Mr. Hironobu Iriya | 300 in conjunction with 56(1) / SEC Act | Mr. Hironobu Iriya, Chief Executive Officer and Chairman of the board of directors, responsible for the operation of TTCL Public Company Limited (“TTCL”) shall be liable for TTCL’s failure to prepare and submit the accurate financial statement for Q1 year 2020 in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. Later, TTCL submitted the rectified financial statement for Q1 year 2020 on 28 February 2022. | | Criminal Fine | imposing a fine of 384,900.00 Baht according to 17/2568 | |
| 340 | 11/03/2025 | Mr. Hironobu Iriya | 300 in conjunction with 56(1) / SEC Act | Mr. Hironobu Iriya, Chief Executive Officer and Chairman of the board of directors, responsible for the operation of TTCL Public Company Limited (“TTCL”) shall be liable for TTCL’s failure to prepare and submit the accurate financial statement for Q2 year 2020 in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. Later, TTCL submitted the rectified financial statement for Q2 year 2020 on 28 February 2022. | | Criminal Fine | imposing a fine of 375,900.00 Baht according to 17/2568 | |
| 341 | 11/03/2025 | Mr. Hironobu Iriya | 300 in conjunction with 56(1) / SEC Act | Mr. Hironobu Iriya, Chief Executive Officer and Chairman of the board of directors, responsible for the operation of TTCL Public Company Limited (“TTCL”) shall be liable for TTCL’s failure to prepare and submit the accurate financial statement for Q3 year 2020 in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. Later, TTCL submitted the rectified financial statement for Q3 year 2020 on 28 February 2022. | | Criminal Fine | imposing a fine of 319,500.00 Baht according to 17/2568 | |
| 342 | 11/03/2025 | Mr. Hironobu Iriya | 300 in conjunction with 56(2) / SEC Act | Mr. Hironobu Iriya, Chief Executive Officer and Chairman of the board of directors, responsible for the operation of TTCL Public Company Limited (“TTCL”) shall be liable for TTCL’s failure to prepare and submit the accurate financial statement for the year 2020 in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. Later, TTCL submitted the rectified financial statement for the year 2020 on 28 February 2022. | | Criminal Fine | imposing a fine of 255,900.00 Baht according to 17/2568 | |
| 343 | 11/03/2025 | Mr. Hironobu Iriya | 300 in conjunction with 56(3) / SEC Act | Mr. Hironobu Iriya, Chief Executive Officer and Chairman of the board of directors, responsible for the operation of TTCL Public Company Limited (“TTCL”) shall be liable for TTCL’s failure to prepare and submit the accurate annual report for the year 2020 (Form 56-2) in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. Later, TTCL submitted the rectified annual report for the year 2020 (Form 56-2) on 28 February 2022. | | Criminal Fine | imposing a fine of 237,300.00 Baht according to 17/2568 | |
| 344 | 11/03/2025 | Mr. Hironobu Iriya | 300 in conjunction with 56(4) / SEC Act | Mr. Hironobu Iriya, Chief Executive Officer and Chairman of the board of directors, responsible for the operation of TTCL Public Company Limited (“TTCL”) shall be liable for TTCL’s failure to prepare and submit the accurate annual updated information statement for the year 2020 (Form 56-1) in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is
a duty required to be performed. Later, TTCL submitted the rectified annual updated information statement for the year 2020 (Form 56-1) on 28 February 2022. | | Criminal Fine | imposing a fine of 239,100.00 Baht according to 17/2568 | |
| 345 | 11/03/2025 | TTCL Public Company Limited | 56(1) / SEC Act | TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate financial statement
for Q1 year 2020 in accordance with the notification of the Capital Market Supervisory Board. However, TTCL prepared and submitted the inaccurate financial statement for Q1 year 2020. Later, TTCL submitted the rectified financial statement for Q1 year on 28 February 2022. | | Criminal Fine | imposing a fine of 384,900.00 Baht according to 16/2568 | |
| 346 | 11/03/2025 | TTCL Public Company Limited | 56(1) / SEC Act | TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate financial statement
for Q2 year 2020 in accordance with the notification of the Capital Market Supervisory Board. However, TTCL prepared and submitted the inaccurate financial statement for Q2 year 2020. Later, TTCL submitted
the rectified financial statement for Q2 year 2020 on 28 February 2022. | | Criminal Fine | imposing a fine of 375,900.00 Baht according to 16/2568 | |
| 347 | 11/03/2025 | TTCL Public Company Limited | 56(1) / SEC Act | TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate financial statement for Q3 year 2020 in accordance with the notification of
the Capital Market Supervisory Board. However, TTCL prepared and submitted the inaccurate financial statement for Q3 year 2020. Later, TTCL submitted the rectified financial statement for Q3 year 2020 on 28 February 2022. | | Criminal Fine | imposing a fine of 319,500.00 Baht according to 16/2568 | |
| 348 | 11/03/2025 | TTCL Public Company Limited | 56(2) / SEC Act | TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate financial statement for the year 2020 in accordance with the notification of the Capital Market Supervisory Board. However, TTCL prepared and submitted the inaccurate financial statement for the year 2020. Later, TTCL submitted the rectified financial statement for the year 2020 on 28 February 2022. | | Criminal Fine | imposing a fine of 255,900.00 Baht according to 16/2568 | |
| 349 | 11/03/2025 | TTCL Public Company Limited | 56(3) / SEC Act | TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate annual report for the year 2020 (Form 56-2) in accordance with the notification of the Capital Market Supervisory Board. However, TTCL prepared and submitted the inaccurate annual report for the year 2020 (Form 56-2). Later, TTCL submitted the rectified annual report for the year 2020 (Form 56-2) on 28 February 2022. | | Criminal Fine | imposing a fine of 237,300.00 Baht according to 16/2568 | |
| 350 | 11/03/2025 | TTCL Public Company Limited | 56(4) / SEC Act | TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate annual updated information statement for the year 2020 (Form 56-1) in accordance with the notification of the Capital Market Supervisory Board. However, TTCL prepared and submitted the inaccurate annual updated information statement for the year 2020 (Form 56-1). Later, TTCL submitted the rectified annual updated information statement for the year 2020 (Form 56-1) on 28 February 2022. | | Criminal Fine | imposing a fine of 239,100.00 Baht according to 16/2568 | |
| 351 | 11/03/2025 | Mr PRAVIT HORUNGRUANG | 300 in conjunction with 56(2) / SEC Act | Mr PRAVIT HORUNGRUANG, Chief executive officer for the operation of MILLCON STEEL PUBLIC COMPANY LIMITED (“MILL”), shall be liable for MILL’s failure to prepare and submit a financial statement for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 116,250.00 Baht according to 15/2568 | |
| 352 | 11/03/2025 | Mr PRAVIT HORUNGRUANG | 300 in conjunction with 56(4) / SEC Act | Mr PRAVIT HORUNGRUANG, Chief executive officer for the operation of MILLCON STEEL PUBLIC COMPANY LIMITED (“MILL”), shall be liable for MILL’s failure to prepare and submit an interim management discussion and analysis for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 93,000.00 Baht according to 15/2568 | |
| 353 | 11/03/2025 | MILLCON STEEL PUBLIC COMPANY LIMITED | 56(2) / SEC Act | MILLCON STEEL PUBLIC COMPANY LIMITED (“MILL”), a listed company, had duties to prepare and submit a financial statement for the year 2023 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 29, 2024. However, MILL submitted the financial statement for the year 2023 to the SET on March 15, 2024 later than the specified period. | | Criminal Fine | imposing a fine of 116,250.00 Baht according to 14/2568 | |
| 354 | 11/03/2025 | MILLCON STEEL PUBLIC COMPANY LIMITED | 56(4) / SEC Act | MILLCON STEEL PUBLIC COMPANY LIMITED (“MILL”), a listed company, had duties to prepare and submit an interim management discussion and analysis for the year 2023 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 29, 2024. However, MILL submitted the interim management discussion and analysis for the year 2022 to the SET on March 15, 2024 later than the specified period. | | Criminal Fine | imposing a fine of 93,000.00 Baht according to 14/2568 | |
| 355 | 11/03/2025 | Zipmex Company Limited | 29 paragraph 1 / DAB Act | On April 1, 2024, Zipmex Company Limited, a digital asset exchange and broker, appointed a director without the approval of the SEC. | | Criminal Fine | imposing a fine of 93,000.00 Baht according to 3/2568 | |
| 356 | 11/03/2025 | Miss Suwalak Kannasombut | 94 in conjunction with 30 / DAB Act | Miss Suwalak Kannasombut, a former director of a cryptocurrency broker and dealer called CoinsTH Company Limited ("CoinsTH") at the time of the incident, was responsible for the operation of CoinsTH. Her failure to perform the required duty of her position resulted in the offence committed by CoinsTH concerning the case that between April 1, 2024 and May 1, 2024 CoinsTH failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, CoinsTH failed to appoint a new highest-ranking person taking responsibility in a compliance unit ("Head of Compliance") by the date specified in the notification. However, CoinsTH appointed a new Head of Compliance on May 2, 2024. | | Criminal Fine | imposing a fine of 212,000.00 Baht according to 2/2568 | |
| 357 | 11/03/2025 | CoinsTH Company Limited | 30 / DAB Act | Between April 1, 2024 and May 1, 2024, CoinsTH Company Limited ("CoinsTH") as a cryptocurrency broker and dealer, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, CoinsTH failed to appoint a new highest-ranking person taking responsibility in a compliance unit ("Head of Compliance") by the date specified in the notification. However, CoinsTH appointed a new Head of Compliance on May 2, 2024. | | Criminal Fine | imposing a fine of 212,000.00 Baht according to 1/2568 | |
| 358 | 06/03/2025 | Mr. BOON VANASIN | 59 / SEC Act | During 22 May 2020 to 6 July 2022, Mr. BOON VANASIN a Chairman of THONBURI HEALTHCARE GROUP PUBLIC COMPANY LIMITED (THG), has changed his securities holding. In this regard, Mr. Boon has the duty to prepare and disclose reports regarding his holding securities and the changes to such holdings (Form 59-2) within 27 May 2020, 4 January 2021, 24 March 2022, 25 March 2022, 27 May 2022, 30 May 2022, 31 May 2022 and 11 July 2022. However, Mr. Boon prepared and disclosed the reports (Form 59-2) to the SEC office on 1 June 2020, 5 January 2021, 28 March 2022, 29 March 2022, 1 June 2022 and 13 July 2022, which means Mr. Boon failed to prepare and disclose the reports within the period specified in the notification of the Office of the Securities and Exchange Commission. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 359 | 27/02/2025 | Mr. Peeranut Siripornpitak | 244/3 (1) in conjunction with Section 244/6 (2)(3) and Section 83 of the Penal Code / SEC Act (the fifth amendment) / SEC Act (the fifth amendment) | During the period of 18 August 2021 (afternoon trading session) to
31 August 2021, Mr. Peeranut Siripornpitak colluded with Mr. Mr.Suthee Siripornpitak, to manipulate the stock price of RPCG Public Company (RPC) by placing trading securities in such a way that misleads other persons regarding the price or volume of RPC stocks trading.
| 15/2025 | Civil Sanction | 27/02/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 13,300.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 27/02/2025 and 10/11/2025
- a bar from serving as a director or executive in a securities issuing company between 27/02/2025 and 26/07/2026
- a bar from serving as a director or executive in a securities company between 27/02/2025 and 26/07/2026
- a reimbursement of investigative expenses in an amount of 199,548.00 Baht | |
| 360 | 18/02/2025 | Mr. Patcharadanai Chanhatthakit | 244/3 (1)(2) in conjunction with Section 244/5 (4) / SEC Act (the fifth amendment) | Mr. Patcharadanai Chanhatthakit engaged in manipulative trading activities involving 4 securities, including (1) stocks of Asia Biomass Public Company Limited (ABM), (2) stocks of Food and Drinks Public Company Limited (F&D), (3) the 3rd series of share warrants for TVD Holdings Public Company Limited (TVDH-W3), and (4) stocks of AMR Asia Public Company Limited (AMR). These actions included placing buy or sell orders designed to artificially inflate prices, submitting bids that hindered others from making their own buy orders, placing small-volume buy orders to drive up prices, and submitting buy orders during the pre-opening or closing periods to manipulate opening or closing prices. The specific instances of manipulation occurred during the following periods: (1) for ABM, between June 7 and 8, 2023, (2) for F&D, on July 21, 2023, (3) for TVDH-W3, between July 25 and August 3, 2023, and (4) for AMR, between August 28 and 29, 2023. These actions were intended to create a false impression in the market about the securities' prices or trading volumes. | ฉบับที่28/2025 | Civil Sanction | 18/02/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,684,049.00 Baht
- a civil monetary penalty of 2,774,456.25 Baht
- a suspension of securities and derivatives trading between 18/02/2025 and 17/02/2027
- a bar from serving as a director or executive in a securities issuing company between 18/02/2025 and 17/02/2029
- a reimbursement of investigative expenses in an amount of 155,507.75 Baht | |
| 361 | 30/01/2025 | Maybank Securities (Thailand) Public Company Limited | 98(5) / SEC Act | Between 27 October 2020 to 22 February 2021, Maybank Securities (Thailand) Public Company Limited as a Securities brokerage business has sold securities without having possession, which is in accordance with section 98(5) of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 111,000.00 Baht according to 13/2568 | |
| 362 | 30/01/2025 | Maybank Securities (Thailand) Public Company Limited | 116 / SEC Act | Between August 30, 2021 and October 2, 2024 Maybank Securities (Thailand) Public Company Limited ("MST") as a securities underwriter, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. | | Criminal Fine | imposing a fine of 4,745,000.00 Baht according to 13/2568 | |
| 363 | 30/01/2025 | Mr. Winai Teawsomboonkij | 59 / SEC Act | During 9March 2020 to 24 March 2021, Mr. Winai Teawsomboonkij, a CEO of Thaifoods group public company limited (TFG), has changed his securities holding. In this regard, Mr. Winai has the duty to prepare and disclose reports regarding his holding securities and the changes to such holdings (Form 59-2) within 12 March 2020, 24 March 2020, 10 June 2020, 19 August 2020, 25 December 2020, 22 January 2021, 26 March 2021 and 29 March 2021. However, Mr. Winai prepared and disclosed the reports (Form 59-2) to the SEC office on 13 March 2020, 27 March 2020, 11 June 2020, 20 August 2020, 28 December 2020, 25 January 2021, 30 March 2021 and 30 March 2021 respectively, which means Mr. Winai failed to prepare and disclose the reports within the period specified in the notification of the Office of the Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 50,550.00 Baht according to 12/2568 | |
| 364 | 30/01/2025 | Mr. Ratch Osathanugrah | 59 / SEC Act | During 12 March 2020 to 15 November 2021,
Mr. Ratch Osathanugrah, a vice chairman of the board of directors of Osotspa public company limited (OSP),
has changed his securities holding. In this regard,
Mr. Ratch has the duty to prepare and disclose reports regarding his holding securities and the changes to such holdings (Form 59-2) within 17 March 2020, 18 January 2021, 6 October 2021 3 November 2021 and 18 November 2021. However, Mr. Ratch prepared and disclosed the reports (Form 59-2) to the SEC office on
18 March 2020, 29 January 2021, 23 February 2022,
23 February 2022 and 23 February 2022 respectively, which means Mr. Ratch failed to prepare and disclose the reports within the period specified in the notification of the Office of the Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 180,200.00 Baht according to 11/2568 | |
| 365 | 30/01/2025 | Mr. Niran Chourkittisopon | 59 / SEC Act | On 19 March 2020, Mr. Niran Chourkittisopon, a CEO, chairman of risk management committee, director and managing director of Home Pottery public company limited (HPT), has changed his securities holding. In this regard, Mr. Niran has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within 24 March 2020. However, Mr. Niran prepared and disclosed the report (Form 59-2) to the SEC office on 2 April 2020 which means Mr. Niran failed to prepare and disclose the report within the period specified in the notification of the Office of the Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 40,200.00 Baht according to 10/2568 | |
| 366 | 30/01/2025 | Mr. Raj tanta-nanta | 59 / SEC Act | between June 1, 2020. and December 12, 2023. Mr. Raj tanta-nanta a director of SKY ICT Public Company Limited has changed his securities holding. In this regard, Mr. Raj has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within July 9, 10, and 13, 2020. September 18, 21 and 24, 2020. And December 15, 2020 However, Mr. Raj failed to prepared and disclosed the report (Form 59-2) to the SEC office within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 153,000.00 Baht according to 9/2568 | |
| 367 | 30/01/2025 | Mr. Vasin Udomratchatavanich | 59 / SEC Act | On February 21, 2020. Mr. Vasin Udomratchatavanich’s wife changed her Bank of Ayudhya Public Company Limited ("BAY") securities holding. In this regard, Mr. Vasin a Chief Human Resources Officer of BAY has the duty to prepare and disclose a report regarding their holding securities and the changes to such holdings (Form 59-2) within August 26, 2020. However, Mr. Vasin prepared and disclosed the report (Form 59-2) to the SEC office on October 8, 2020 which means Mr. Vasin failed to prepare and disclose the report within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 14,300.00 Baht according to 8/2568 | |
| 368 | 30/01/2025 | Mr. Phongthon Tharachai | 59 / SEC Act | From March 10 to 16, 2020 Mr. Phongthon Tharachai a chief executive officer of Project Planning Service Public Company Limited has changed his securities holding. In this regard, Mr. Phongthon has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within March 19, 2020. However, Mr. Phongthon prepared and disclosed the the report (Form 59-2) to the SEC office on March 20, 2020 which means Mr. Phongthon failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 5,050.00 Baht according to 7/2568 | |
| 369 | 30/01/2025 | Mr. Prasarn Akarapongpisakdi | 59 / SEC Act | On March 6 and June 5, 2020 Mr. Prasarn Akarapongpisakdi a chief executive officer of Lohakit Metal Public Company Limited has changed his securities holding. In this regard, Mr. Prasarn has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within March 11, 2020 and 10 June 2020 However, Mr. Prasarn prepared and disclosed the the report (Form 59-2) to the SEC office on July 1, 2020 which means Mr. Prasarn failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 143,700.00 Baht according to 6/2568 | |
| 370 | 30/01/2025 | Mr. Panote Sirivadhanabhakdi | 59 / SEC Act | Mr. Pranote Sirivadhanabhakdi a vice chairman of Univentures Public Company Limited (“UV”) has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within March 11 and March 18 2020. In cause of ADELFOS COMPANY LIMITED, the company in which Mr. Pranote , holds more than 30% of shares and has the highest proportion of among all sharesholders, changes holdings of UV securities on March 4 to 13 2020. However, Mr. Pranote prepared and disclosed the the report (Form 59-2) to the SEC office on March 19, 2020 which means Mr. Pranote failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 5,900.00 Baht according to 5/2568 | |
| 371 | 30/01/2025 | Mr. Thapana Sirivadhanabhakdi | 59 / SEC Act | Mr. Thapana Sirivadhanabhakdi a vice chairman of Univentures Public Company Limited (“UV”) has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within March 11 and March 18 2020. In cause of ADELFOS COMPANY LIMITED, the company in which Mr. Thapana , holds more than 30% of shares and has the highest proportion of among all sharesholders, changes holdings of UV securities on March 4 to 13 2020. However, Mr. Thapana prepared and disclosed the the report (Form 59-2) to the SEC office on March 19, 2020 which means Mr. Thapana failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 5,900.00 Baht according to 4/2568 | |
| 372 | 30/01/2025 | Mr. Prompong Chaikul | 59 / SEC Act | Mr. Prompong Chaikul, vice chairman of Stars Microelectronics [THAILAND] Public Company Limited [“SMT”], has changed their securities holding, that was purchased SMT shares on May 15, 2020. In this regard, Mr. Prompong has the duty to prepare and disclose a report regarding his holding securities and the chances to such holding [From 59-2] within May 20, 2020. However, Mr. Prompong prepare and disclose a report [From 59-2] to the SEC office on June 10, 2020 which means Mr. Prompong failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 6,050.00 Baht according to 3/2568 | |
| 373 | 30/01/2025 | Miss Yuan Jiun Chia | 300 in conjunction with 56(4) / SEC Act | Miss Yuan Jiun Chia, who is responsible for the operation of Pico (Thailand) Public Company Limited (“PICO”), shall be liable for PICO’s failure to prepare and submit an Interim Management Discussion and Analysis (MD&A) for Q1 year 2024 through the transmission system of the SEC office within the period specified in the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 91,800.00 Baht according to 2/2568 | |
| 374 | 30/01/2025 | Miss Yuan Jiun Chia | 300 in conjunction with 56(1) / SEC Act | Miss Yuan Jiun Chia, who is responsible for the operation of Pico (Thailand) Public Company Limited (“PICO”), shall be liable for PICO’s failure to prepare and submit the financial statement for Q1 year 2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 91,800.00 Baht according to 2/2568 | |
| 375 | 30/01/2025 | Pico (Thailand) Public Company Limited | 56(1) / SEC Act | Pico (Thailand) Public Company Limited (“PICO”) had duties to prepare and submit a financial statement for Q1 year 2024 through the transmission system of the Stock Exchange of Thailand (“SET”) within 18 March 2024. However, PICO submitted the financial statement for Q1 year 2024 to the SET on 1 April 2024. later than the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 91,800.00 Baht according to 1/2568 | |
| 376 | 30/01/2025 | Pico (Thailand) Public Company Limited | 56(4) / SEC Act | Pico (Thailand) Public Company Limited (“PICO”) had duties to prepare and submit the Interim Management Discussion and Analysis (“MD&A”) for Q1 year 2024 through the transmission system of the SEC office within 18 March 2024. However, PICO submitted the MD&A for Q1 year 2024 to the SEC office on 1 April 2024. later than the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 91,800.00 Baht according to 1/2568 | |
| 377 | 30/01/2025 | Mr. Saravoot Somwattana | 242 (1) in conjunction with 244 (4) / SEC Act (the fifth amendment) | Mr. Saravoot Somwattana knew or possessed positive substantial inside information about Nirvana Development Public Company Limited (NVD) Q4/2021 performance which would be significantly increase. Subsequently, during 30 November 2021 to 23 February 2022 prior to NVD’s disclosure of such inside information to the public on 23 February 2022, Mr. Saravoot Somwattana bought NVD shares by using such inside information through his securities trading accounts. | | Civil Sanction | 30/01/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 754,426.00 Baht
- a civil monetary penalty of 867,589.90 Baht
- a bar from serving as a director or executive in a securities issuing company between 30/01/2025 and 29/01/2026
- a bar from serving as a director or executive in a securities company between 30/01/2025 and 29/01/2026
- a reimbursement of investigative expenses in an amount of 168,094.10 Baht | |
| 378 | 16/01/2025 | Max Metal Corporation Public Company Limited | 56(4) / SEC Act | Max Metal Corporation Public Company Limited ("MAX") a listed company, failed to prepare and submit the Interim Management Discussion and Analysis :"MD&A" through the transmission system of the Stock Exchange of Thailand within the period specified in the notification as follows : (1) MD&A for 2020 (2) MD&A MD&A for Q1/2021 (3) MD&A MD&A for Q2/2021 (4) MD&A MD&A for Q3/2021 (5) MD&A MD&A for 2021 (6) MD&A for Q1/2022 (7) MD&A for Q2/2022 (8) MD&A for Q1/2023 (9) MD&A for Q2/2023 | | Criminal Complaints | | |
| 379 | 16/01/2025 | Mr. chatree chuensuksinsup | 300 in conjunction with 56(4) / SEC Act | | | Criminal Complaints | | |
| 380 | 16/01/2025 | Mr.Pipat Chanasongkram | 300 in conjunction with 56(4) / SEC Act | | | Criminal Complaints | | |
| 381 | 16/01/2025 | Mr. Kusol Sangkananta | 300 in conjunction with 56(4) / SEC Act | | | Criminal Complaints | | |
| 382 | 16/01/2025 | FL 2024 CO., LTD. | 109 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, had duties to prepare and submit On-Going Capital Requirement (CAR report) of November 2022 within DECEMBER 8, 2022 However, FL prepared and submitted the On-Going Capital Requirement (CAR report) of November 2022 to the SEC Office on DECEMBER 9, 2022 later than the period specified by the law. | | Criminal Complaints | On March 11, 2025, the Criminal Fining Committee issued special order no. 1/2025 imposing a fine on FL 2024 CO., LTD.
as the public prosecutor requested the case to be settled by the Criminal Fining Committee. Case is settled | |
| 383 | 16/01/2025 | FL 2024 CO., LTD. | 109 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) had duties to prepare and submit the Complaint report of Q2/2023 within JULY 17, 2023 However, FL prepared and submitted the Complaint report of Q2/2023 to the SEC Office on JULY 18, 2023 later than the period specified by the law. | | Criminal Complaints | On March 11, 2025, the Criminal Fining Committee issued special order no. 1/2025 imposing a fine on FL 2024 CO., LTD.
as the public prosecutor requested the case to be settled by the Criminal Fining Committee. Case is settled | |
| 384 | 16/01/2025 | FL 2024 CO., LTD | 106 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, a company licensed Securities Brokerage : Investment Units, had duties to prepare and submit the financial statement for first period of six months of the year 2023 within October 2, 2023 However, FL prepared and submitted the financial statement for first period of six months of the year 2023 to the SEC Office on October 6, 2023 later than the period specified by the law | | Criminal Complaints | On March 11, 2025, the Criminal Fining Committee issued special order no. 1/2025 imposing a fine on FL 2024 CO., LTD.
as the public prosecutor requested the case to be settled by the Criminal Fining Committee. Case is settled | |
| 385 | 16/01/2025 | FL 2024 CO., LTD. | 113 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 12, 2023. However, FL reported the discontinuation of such a person on May 16, 2023. | | Criminal Complaints | On March 11, 2025, the Criminal Fining Committee issued special order no. 1/2025 imposing a fine on FL 2024 CO., LTD.
as the public prosecutor requested the case to be settled by the Criminal Fining Committee. Case is settled | |
| 386 | 16/01/2025 | FL 2024 CO., LTD. | 113 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply with
the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 13, 2023. However, FL reported the appointment of such a person on March 7, 2023.
| | Criminal Complaints | On March 11, 2025, the Criminal Fining Committee issued special order no. 1/2025 imposing a fine on FL 2024 CO., LTD.
as the public prosecutor requested the case to be settled by the Criminal Fining Committee. Case is settled | |
| 387 | 16/01/2025 | FL 2024 CO., LTD. | 113 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems’ impact on the business operation of the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level Assessment form on 19 January 2024. | | Criminal Complaints | On March 11, 2025, the Criminal Fining Committee issued special order no. 1/2025 imposing a fine on FL 2024 CO., LTD.
as the public prosecutor requested the case to be settled by the Criminal Fining Committee. Case is settled | |
| 388 | 15/01/2025 | Mr. Tan Vuttithum | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Mr. Tan Vuttithum colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 15/01/2025 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 457,826.00 Baht
- a civil monetary penalty of 686,739.00 Baht
- a suspension of securities and derivatives trading between 15/01/2025 and 14/09/2026
- a bar from serving as a director or executive in a securities issuing company between 15/01/2025 and 14/05/2028
- a bar from serving as a director or executive in a securities company between 15/01/2025 and 14/05/2028
- a reimbursement of investigative expenses in an amount of 21,432.00 Baht | |
| 389 | 13/01/2025 | Miss Phatchanok Thanarutairoj | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 390 | 13/01/2025 | Mr. Apimuk Bamrungwong | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 391 | 13/01/2025 | Mr. Passakorn Sillamat | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 392 | 13/01/2025 | Miss Chayada Sukkasi | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 393 | 13/01/2025 | Mrs. Supa Wonganu | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 394 | 13/01/2025 | Mr. Teerayuth Reanchaiyuth | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 395 | 13/01/2025 | Mr. Seeharach, Lohachaitranont | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 396 | 13/01/2025 | Mr. Supachai Visedpaitoon | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 397 | 13/01/2025 | Miss Chatanun Tanasinwiwat | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 398 | 13/01/2025 | Mrs. Panitanan Termkunanon | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 399 | 13/01/2025 | Mr. Nitis Sillamat | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 24 May – 18 June 2021. The 11 offenders, namely: (1) Mr. Apimuk Bamrungwong, (2) Mr. Passakorn Sillamat, (3) Miss Phatchanok Thanarutairoj, (4) Miss Chayada Sukkasi, (5) Mrs. Supa Wonganu, (6) Mr. Teerayuth Reanchaiyuth, (7) Mr. Seeharach, Lohachaitranont, (8) Mr. Supachai Visedpaitoon, (9) Miss Chatanun Tanasinwiwat, (10) Mrs. Panitanan Termkunanon, and (11) Mr. Nitis Sillamat, with personal relationships and securities trading activities within the group, colluded to manipulate the price and/or trading volumes of Comanche International Public Company Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes of COMAN stocks and demonstrating the intention to make the price or trading volumes of the stock deviate from normal market conditions. | 5/2025 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 400 | 23/12/2024 | Mr. Aran Apichari | 311 313 and 281/2 paragraph 2 in conjunction with 89/7 89/24 and 315 and 83 of the Penal Code / SEC Act | During 2017-2018, Mr. Aran Apichari, the former Chairman and the Executive Chairman of Three Sixty Five Public Company Limited and the director of TSF Extra Company Limited ("the subsidiary"), acted dishonestly through the subsidiary by entering into an advertising media installation contract on telephone booth with G.I.S. Park (Thailand) Company Limited ("GISP") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into additional contract in order to pay security in the amount of 50 million baht to GISP, but such amounts transferred to Liger Management Company Limited ("Liger") and transferred to other persons due to Mr. Aran’s order. In addition, the aforementioned act of Mr. Aran was assisted or facilitated by Miss Mintita Panawattanayos, Miss Kanjanakorn Teachapan, Miss Sopacha Charoensuk, GISP and Liger. | 281/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 401 | 23/12/2024 | Miss Mintita Panawattanayos | 315 in conjunction with 311 281/2 paragraph 2 89/7 and 89/24 and 86 of the Penal Code / SEC Act | During 2017-2018, Mr. Aran Apichari, the former Chairman and the Executive Chairman of Three Sixty Five Public Company Limited and the director of TSF Extra Company Limited ("the subsidiary"), acted dishonestly through the subsidiary by entering into an advertising media installation contract on telephone booth with G.I.S. Park (Thailand) Company Limited ("GISP") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into additional contract in order to pay security in the amount of 50 million baht to GISP, but such amounts transferred to Liger Management Company Limited ("Liger") and transferred to other persons due to Mr. Aran’s order. In addition, the aforementioned act of Mr. Aran was assisted or facilitated by Miss Mintita Panawattanayos, Miss Kanjanakorn Teachapan, Miss Sopacha Charoensuk, GISP and Liger. | 281/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 402 | 23/12/2024 | G.I.S. Park (Thailand) Company Limited | 315 in conjunction with 311 281/2 paragraph 2 89/7 and 89/24 and 86 of the Penal Code / SEC Act | During 2017-2018, Mr. Aran Apichari, the former Chairman and the Executive Chairman of Three Sixty Five Public Company Limited and the director of TSF Extra Company Limited ("the subsidiary"), acted dishonestly through the subsidiary by entering into an advertising media installation contract on telephone booth with G.I.S. Park (Thailand) Company Limited ("GISP") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into additional contract in order to pay security in the amount of 50 million baht to GISP, but such amounts transferred to Liger Management Company Limited ("Liger") and transferred to other persons due to Mr. Aran’s order. In addition, the aforementioned act of Mr. Aran was assisted or facilitated by Miss Mintita Panawattanayos, Miss Kanjanakorn Teachapan, Miss Sopacha Charoensuk, GISP and Liger. | 281/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 403 | 23/12/2024 | Miss Kanjanakorn Teachapan | 315 in conjunction with 311 281/2 paragraph 2 89/7 and 89/24 and 86 of the Penal Code / SEC Act | During 2017-2018, Mr. Aran Apichari, the former Chairman and the Executive Chairman of Three Sixty Five Public Company Limited and the director of TSF Extra Company Limited ("the subsidiary"), acted dishonestly through the subsidiary by entering into an advertising media installation contract on telephone booth with G.I.S. Park (Thailand) Company Limited ("GISP") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into additional contract in order to pay security in the amount of 50 million baht to GISP, but such amounts transferred to Liger Management Company Limited ("Liger") and transferred to other persons due to Mr. Aran’s order. In addition, the aforementioned act of Mr. Aran was assisted or facilitated by Miss Mintita Panawattanayos, Miss Kanjanakorn Teachapan, Miss Sopacha Charoensuk, GISP and Liger. | 281/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 404 | 23/12/2024 | Liger Management Company Limited | 315 in conjunction with 311 281/2 paragraph 2 89/7 and 89/24 and 86 of the Penal Code / SEC Act | During 2017-2018, Mr. Aran Apichari, the former Chairman and the Executive Chairman of Three Sixty Five Public Company Limited and the director of TSF Extra Company Limited ("the subsidiary"), acted dishonestly through the subsidiary by entering into an advertising media installation contract on telephone booth with G.I.S. Park (Thailand) Company Limited ("GISP") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into additional contract in order to pay security in the amount of 50 million baht to GISP, but such amounts transferred to Liger Management Company Limited ("Liger") and transferred to other persons due to Mr. Aran’s order. In addition, the aforementioned act of Mr. Aran was assisted or facilitated by Miss Mintita Panawattanayos, Miss Kanjanakorn Teachapan, Miss Sopacha Charoensuk, GISP and Liger. | 281/2024 | Criminal Complaints | | |
| 405 | 23/12/2024 | Miss Sopacha Charoensuk | 315 in conjunction with 311 281/2 paragraph 2 89/7 and 89/24 and 86 of the Penal Code / SEC Act | During 2017-2018, Mr. Aran Apichari, the former Chairman and the Executive Chairman of Three Sixty Five Public Company Limited and the director of TSF Extra Company Limited ("the subsidiary"), acted dishonestly through the subsidiary by entering into an advertising media installation contract on telephone booth with G.I.S. Park (Thailand) Company Limited ("GISP") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into additional contract in order to pay security in the amount of 50 million baht to GISP, but such amounts transferred to Liger Management Company Limited ("Liger") and transferred to other persons due to Mr. Aran’s order. In addition, the aforementioned act of Mr. Aran was assisted or facilitated by Miss Mintita Panawattanayos, Miss Kanjanakorn Teachapan, Miss Sopacha Charoensuk, GISP and Liger. | 281/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 406 | 23/12/2024 | All Inspire Development Public Company Limited | 278 / SEC Act | On February 15, 2022, All Inspire Development Public Company Limited ("ALL") concealed material information that should have been disclosed in the securities offering registration statement and draft prospectus ("filing"). In this regard, one of the conditions for termination of the debenture holder representative's duties which appears in a draft agreement appointing a debenture holder representative disclosed in the filing, effective on February 15, 2022 ("draft agreement"), differs from the condition in an agreement appointing a debenture holder representative which was signed by ALL on February 23, 2022 ("signed agreement"). The draft agreement states that "when the debenture holder representative becomes insolvent or is under receivership", debenture holder representative's duties shall terminate. However, the signed agreement states that "when the debenture holder representative or the debenture issuer becomes insolvent or is under receivership", debenture holder representative's duties shall terminate. Furthermore, at the time of the incident, Mr. Dusadee Lekyim and Mr. Thanakorn Thanawarith were authorized directors of ALL and had signed the certification of accuracy for the filing dated February 15, 2022, as well as the signed agreement dated February 23, 2022. Accordingly, it was considered that the offence of ALL was the result of an order or action of Mr. Dusadee and Mr. Thanakorn. | 280/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 407 | 23/12/2024 | Mr. Dusadee Lekyim | 300 in conjunction with 278 / SEC Act | On February 15, 2022, All Inspire Development Public Company Limited ("ALL") concealed material information that should have been disclosed in the securities offering registration statement and draft prospectus ("filing"). In this regard, one of the conditions for termination of the debenture holder representative's duties which appears in a draft agreement appointing a debenture holder representative disclosed in the filing, effective on February 15, 2022 ("draft agreement"), differs from the condition in an agreement appointing a debenture holder representative which was signed by ALL on February 23, 2022 ("signed agreement"). The draft agreement states that "when the debenture holder representative becomes insolvent or is under receivership", debenture holder representative's duties shall terminate. However, the signed agreement states that "when the debenture holder representative or the debenture issuer becomes insolvent or is under receivership", debenture holder representative's duties shall terminate. Furthermore, at the time of the incident, Mr. Dusadee Lekyim and Mr. Thanakorn Thanawarith were authorized directors of ALL and had signed the certification of accuracy for the filing dated February 15, 2022, as well as the signed agreement dated February 23, 2022. Accordingly, it was considered that the offence of ALL was the result of an order or action of Mr. Dusadee and Mr. Thanakorn. | 280/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 408 | 23/12/2024 | Mr. Thanakorn Thanawarith | 300 in conjunction with 278 / SEC Act | On February 15, 2022, All Inspire Development Public Company Limited ("ALL") concealed material information that should have been disclosed in the securities offering registration statement and draft prospectus ("filing"). In this regard, one of the conditions for termination of the debenture holder representative's duties which appears in a draft agreement appointing a debenture holder representative disclosed in the filing, effective on February 15, 2022 ("draft agreement"), differs from the condition in an agreement appointing a debenture holder representative which was signed by ALL on February 23, 2022 ("signed agreement"). The draft agreement states that "when the debenture holder representative becomes insolvent or is under receivership", debenture holder representative's duties shall terminate. However, the signed agreement states that "when the debenture holder representative or the debenture issuer becomes insolvent or is under receivership", debenture holder representative's duties shall terminate. Furthermore, at the time of the incident, Mr. Dusadee Lekyim and Mr. Thanakorn Thanawarith were authorized directors of ALL and had signed the certification of accuracy for the filing dated February 15, 2022, as well as the signed agreement dated February 23, 2022. Accordingly, it was considered that the offence of ALL was the result of an order or action of Mr. Dusadee and Mr. Thanakorn. | 280/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 409 | 19/12/2024 | Mr. Kritchthorn Chindapradist | 300 in conjunction with 33 / SEC Act | Mr. Kritchthorn Chindapradist, authorized director of Smart Traffic Company Limited (“SMT”) at the time of the incident, who was responsible for the operation of SMT, shall be liable for SMT's offering to sale newly issued securities in the category of debenture without approval from the SEC Office during 21 June 2018 – 21 February 2019 resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 1,000,000.00 Baht according to 110/2567 | |
| 410 | 19/12/2024 | Mrs. Panida Panupattanapong | 300 in conjunction with 33 / SEC Act | Mrs. Panida Panupattanapong, A chief executive officer, who is responsible for the operation of SYNPHAET CO.,LTD, shall be liable for SYNPHAET CO.,LTD 's offering to sale newly issued securities in the category of Promissory Note (P/N) between December 2014 to December 2021 without approval from the SEC Office which is in breach of The Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 3,000,000.00 Baht according to 109/2567 | |
| 411 | 19/12/2024 | SYNPHAET CO.,LTD | 33 / SEC Act | Between December 2014 to December 2021, SYNPHAET CO.,LTD offer to sell newly issued securities in the category of Promissory Note (P/N) without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 3,000,000.00 Baht according to 108/2567 | |
| 412 | 19/12/2024 | Mr. Boonchai Asirawartvanit | 300 in conjunction with 33 / SEC Act | Mr. Boonchai Asirawartvanit, Authorized director of Ibiz Plus Network Co.,Ltd ("IBIZ"), shall be liable for IBIZ’s offering for sale newly issued securities in the category of Crowdfunding bond between December 17, 2021, and May 17, 2022 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 107/2567 | |
| 413 | 19/12/2024 | IBIZ PLUS NETWORK CO.,LTD. | 33 / SEC Act | Between December 17, 2021, and May 17, 2022, Ibiz Plus Network Co.,Ltd. have offered newly issued securities in the category of Crowdfunding bond without the approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 106/2567 | |
| 414 | 19/12/2024 | Mr. Chumroen Poolvoralaks | 59 / SEC Act | On January 17, 2020 and May 26, 2020, Mr .Chumroen Poolvoralaks’s wife, changed her Major Development Public Company Limited (“MJD”) securities holding. In this regard, Mr. Chumroen a director and chairman of the board of MJD has the duty to prepare and disclose a report regarding their holding securities and the changes to such holdings (Form 59-2) within January 22, 2020 and May 29, 2020 However, Mr. Chumroen prepared and disclosed the report (Form 59-2) to the SEC office on February 14, 2020 and June 9, 2020 which means Mr. Chumroen failed to prepare and disclose the report within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 48,450.00 Baht according to 105/2567 | |
| 415 | 19/12/2024 | Mr. Vinai Vongswangrussamee | 59 / SEC Act | On March 11, 2021, Mr. Vinai Vongswangrussamee a director of Bangkok Sheet Metal Public Company Limited (“BM”), has changed their securities holding. In this regard, Mr. Vinai has the duty to prepare and disclose a report regarding their holding securities and the changes to such holdings (Form 59-2) within March 16, 2021. However, Mr. Vinai prepared and disclosed the report (Form 59-2)
to the SEC office on july 2, 2021 which means Mr. Vinai failed to prepare and disclose the report within the period specified in the notification of SEC.
| | Criminal Fine | imposing a fine of 69,900.00 Baht according to 104/2567 | |
| 416 | 19/12/2024 | Miss Suwalak Kannasombut | 94 in conjunction with 30 / DAB Act | Miss Suwalak Kannasombut, a manager of Coins Th Company Limited ("Coins Th") who is responsible for the operations of Coins Th, shall be liable for Coins Th’s failure to submit an annual compliance report for the year 2023 to SEC office within the period specified in the notification of the Securities and Exchange Commission, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 102,000.00 Baht according to 17/2567 | |
| 417 | 19/12/2024 | Coins Th Company Limited | 30 / DAB Act | Coins Th Company Limited ("Coins Th"), a digital asset broker and a digital asset dealer, is obligated to submit an annual compliance report to the SEC office within the period specified in the notification of the Securities and Exchange Commission which is within February 29, 2024. However, Coins Th submitted an annual compliance report for the year 2023 to the SEC office on March 12, 2024 later than the period specified in the notification | | Criminal Fine | imposing a fine of 102,000.00 Baht according to 16/2567 | |
| 418 | 19/12/2024 | Mr. Kavin Phongpandecha | 94 / DAB Act | Mr. Kavin Phongpandecha, the Chief Executive Officer of a digital asset broker called Bitazza Company Limited ("Bitazza") at the time of the incident, was responsible for the operation of Bitazza. His failure to perform the required duty of his position resulted in the offence committed by Bitazza concerning the case that between December 26 to 31, 2023, Bitazza failed to keep customers' digital assets in accordance with the notification of the SEC for 6 days. In this regard, Bitazza did not deposit customers' digital assets with digital asset depository service providers and keep the assets in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 495,000.00 Baht according to 15/2567 | |
| 419 | 19/12/2024 | Bitazza Company Limited | 30 and 31 / DAB Act | Between December 26 to 31, 2023, Bitazza Company Limited ("Bitazza"), a digital asset broker, did not keep customers' digital assets in accordance with the notification of the SEC for 6 days. In this regard, Bitazza did not deposit customers' digital assets with digital asset depository service providers and keep the assets in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 495,000.00 Baht according to 14/2567 | |
| 420 | 19/12/2024 | Mr. Pongpiti Ekthienchai | 94 / DAB Act | Mr. Pongpiti Ekthienchai, the Managing Director of Thai Digital Asset Exchange Company Limited ("TDX"), a digital asset exchange, has been responsible for the operation of TDX. His failure to perform the required duty of his position resulted in the offence committed by TDX concerning the case that between December 19 to 26, 2023, TDX failed to keep customers' digital assets in accordance with the notification of the SEC for 8 days. In this regard, TDX did not deposit customers' digital assets with digital asset depository service providers and keep the assets in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 255,000.00 Baht according to 13/2567 | |
| 421 | 19/12/2024 | Thai Digital Asset Exchange Company Limited | 30 and 31 / DAB Act | Between December 19 to 26, 2023, Thai Digital Asset Exchange Company Limited ("TDX"), a digital asset exchange, did not keep customers' digital assets in accordance with the notification of the SEC for 8 days. In this regard, TDX did not deposit customers' digital assets with digital asset depository service providers and keep the assets in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 255,000.00 Baht according to 12/2567 | |
| 422 | 19/12/2024 | Miss TUNYAPORN U-CHUPAIBOONVONG | | | 275/2024 | Administrative Orders | Revocation | Effective Date 19/12/2024 to 18/12/2027 |
| 423 | 13/12/2024 | VILLA MEDICA (PHUKET) CO.,LTD | 33 / SEC Act | Between JUNE 2017 to December 2017, VILLA MEDICA (PHUKET) CO.,LTD offer to sell newly issued securities in the category of Debentures without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 424 | 13/12/2024 | Mr JIRAWAT PHUTTITRAISIN | 300 in conjunction with 33 / SEC Act | Mr JIRAWAT PHUTTITRAISIN, Chairman of VILLA MEDICA (PHUKET) CO.,LTD ("VILLA"), who was responsible for the operation of VILLA , shall be liable for VILLA's offering to sale newly issued securities in the category of debenture without approval from the SEC Office during June 2017 – December 2017 resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 425 | 13/12/2024 | Mr JIRAWAT PHUTTITRAISIN | 300 in conjunction with 33 / SEC Act | Mr JIRAWAT PHUTTITRAISIN, Chairman of VILLA MEDICA (PHUKET) CO.,LTD ("VILLA"), who was responsible for the operation of VILLA , shall be liable for VILLA's offering to sale newly issued securities in the category of debenture without approval from the SEC Office during June 2017 – December 2017 resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 426 | 28/11/2024 | Mr. Theerawat Saekuai | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 28/04/2025 filed a lawsuit to a civil court 28/11/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 427 | 28/11/2024 | Mr. Theerawat Saekuai | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 18/08/2025 13/06/2025 filed a lawsuit to a civil court 28/11/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under an appeal period |
| 428 | 26/11/2024 | Mrs. La-Or Tangkaravakoon | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mrs. La-Or Tangkaravakoon colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 429 | 26/11/2024 | Mrs. Wilai Tangkaravakoon | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mrs. Wilai Tangkaravakoon colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 430 | 26/11/2024 | Miss Phatthira Homvilai | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021 Miss Phatthira Homvilai colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 431 | 26/11/2024 | Miss Nichanun Jirachaiworachote | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Miss Nichanun Jirachaiworachote (or other name is Miss Jirawan Chaipongpati) colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 432 | 26/11/2024 | Mr. Numpol Chaipongpati | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Numpol Chaipongpati colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 433 | 26/11/2024 | Mr. Thanakit Lersphati | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Thanakit Lersphati colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 434 | 26/11/2024 | Mr. Wiwat Lersphati | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Wiwat Lersphati colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 435 | 26/11/2024 | Mr. Natthaphon Nitithanatkul | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Natthaphon Nitithanatkul colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 436 | 26/11/2024 | Mr. Patthana Nitithanatkul | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Patthana Nitithanatkul colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 437 | 26/11/2024 | Miss Kanokphat Chokthanamanee | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Miss Kanokphat Chokthanamanee colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 438 | 26/11/2024 | Mrs. Rungthip Maneewan | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mrs. Rungthip Maneewan colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 439 | 26/11/2024 | Mr. Pavich Chaithammakorn | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Pavich Chaithammakorn colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 440 | 26/11/2024 | Miss Pimnada Wittayaamornroj | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Miss Pimnada Wittayaamornroj colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 441 | 26/11/2024 | Mr.Vinit Maneenual | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr.Vinit Maneenual colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 442 | 26/11/2024 | Miss Thitiporn Wangpaithoon | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Miss Thitiporn Wangpaithoon colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 443 | 26/11/2024 | Mr. Nopphadon Srisuwan | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Nopphadon Srisuwan colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 444 | 26/11/2024 | Mr. Patan (Prasit) Srisuwan | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Patan (or in the other name is Prasit Srisuwan ) Srisuwan colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 445 | 26/11/2024 | Mr. Anuwat Sae-Tang | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Anuwat Sae-Tang colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 446 | 26/11/2024 | Mr. Kridskon Rumthaisong | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Kridskon Rumthaisong colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 447 | 26/11/2024 | Mr. Phongphan Panaphim | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Phongphan Panaphim colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 448 | 26/11/2024 | Miss Sunun Saleepun | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Miss Sunun Saleepun colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 449 | 26/11/2024 | Mr. Panupon Worrapanee | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Panupon Worrapanee colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 450 | 26/11/2024 | Miss. Siripitcha Maneewan | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Miss. Siripitcha Maneewan colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 451 | 26/11/2024 | Mr. Wongsaphak Nithithanatkul | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Wongsaphak Nithithanatkul colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 452 | 26/11/2024 | Miss Sarocha Nakbamrung | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Miss Sarocha Nakbamrung colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 453 | 26/11/2024 | Mr. Trin Thiratanaphokin | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Trin Thiratanaphokin colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 454 | 26/11/2024 | Mr. Phasit Siriyaowon | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Phasit Siriyaowon colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 455 | 26/11/2024 | Mr. Somkiat Intasara | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Somkiat Intasara colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 456 | 26/11/2024 | Mr. Surat Arsirawat | 244/3(1)(2) in conjunction with Section 83 of the Penal Code / SEC Act | On 28 October 2021, Mr. Surat Arsirawat colluded with other 28 offenders, to manipulate the stock price of Delta Paint Public Company (DPAINT) by placing a securities trading order or trading securities on a continued basis causing the price and the volume of DPAINT stocks to be inconsistent with the normal market condition. that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 254/2024 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 457 | 23/11/2024 | Mr THANA SEENTANAPHATR | | | | Administrative Orders | Revocation | Effective Date 23/11/2024 to 30/10/2028 |
| 458 | 23/11/2024 | Miss KITTIKA VISAROOTNART | | | | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 23/11/2024 to 30/10/2028 |
| 459 | 22/11/2024 | Krungthai XSpring Securities Company Limited | 116 / SEC Act | Between November 14, 2022 and August 9, 2023 Krungthai XSpring Securities Company Limited ("KTX") as a securities underwriter, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. | | Criminal Fine | imposing a fine of 516,000.00 Baht according to 103/2567 | |
| 460 | 22/11/2024 | Phillip Asset Management Company Limited | 109 paragraph 1 / SEC Act | Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of Mutual Fund (“Form A-2”) to the SEC Office within the next business day. However, Phillip Asset Management Company Limited prepared and and submited Form A-2 late in 3 cases, namely Form A-2 for the July 31, 2023, October 2, 2023, and November 29, 2023
| | Criminal Fine | imposing a fine of 279,000.00 Baht according to 102/2567 | |
| 461 | 22/11/2024 | Miss Niramarn Laisathit | 59 / SEC Act | During 16 December 2019 to 16 March 2020, Miss Niramarn Laisathit, a director of Bangkok Bank Public Company Limited, has changed their securities holding. In this regard, Miss Niramarn has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59-2) within 19 March 2020. However, Miss Niramarn prepared and disclosed the report (Form 59-2) to the SEC office on 3 August 2020 which means Miss Niramarn failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 11,850.00 Baht according to 101/2567 | |
| 462 | 22/11/2024 | Miss Ariya Tangmitrphracha | 59 / SEC Act | During 23 September 2019 to 2 January 2020, Miss Ariya Tangmitrphracha, a director of DOHOME public company limited, has changed their securities holding. In this regard, Miss Ariya has the duty to prepare and disclose a report regarding their holding securities and the changes to such holdings (Form 59-2) within 26 March 2020. However, Miss Ariya prepared and disclosed the report (Form 59-2) to the SEC office on 21 April 2020 which means Miss Ariya failed to prepare and disclose the report within the period specified in the notification of SEC. | | Criminal Fine | imposing a fine of 6,300.00 Baht according to 100/2567 | |
| 463 | 22/11/2024 | FL 2024 CO., LTD | 109 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, had duties to prepare and submit On-Going Capital Requirement (CAR report) of November 2022 within DECEMBER 8, 2022 However, FL prepared and submitted the On-Going Capital Requirement (CAR report) of November 2022 to the SEC Office on DECEMBER 9, 2022 later than the period specified by the law. | | Criminal Fine | imposing a fine of 68,250.00 Baht according to 99/2567 | |
| 464 | 22/11/2024 | FL 2024 CO., LTD. | 109 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) had duties to prepare and submit the Complaint report of Q2/2023 within JULY 17, 2023 However, FL prepared and submitted the Complaint report of Q2/2023 to the SEC Office on JULY 18, 2023 later than the period specified by the law. | | Criminal Fine | imposing a fine of 56,875.00 Baht according to 99/2567 | |
| 465 | 22/11/2024 | FL 2024 CO., LTD | 106 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, a company licensed Securities Brokerage : Investment Units, had duties to prepare and submit the financial statement for first period of six months of the year 2023 within October 2, 2023 However, FL prepared and submitted the financial statement for first period of six months of the year 2023 to the SEC Office on October 6, 2023 later than the period specified by the law | | Criminal Fine | imposing a fine of 58,750.00 Baht according to 99/2567 | |
| 466 | 22/11/2024 | FL 2024 CO., LTD. | 113 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 12, 2023. However, FL reported the discontinuation of such a person on May 16, 2023. | | Criminal Fine | imposing a fine of 79,000.00 Baht according to 99/2567 | |
| 467 | 22/11/2024 | FL 2024 CO., LTD. | 113 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply with
the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 13, 2023. However, FL reported the appointment of such a person on March 7, 2023.
| | Criminal Fine | imposing a fine of 374,000.00 Baht according to 99/2567 | |
| 468 | 22/11/2024 | FL 2024 CO., LTD. | 113 / SEC Act | FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems’ impact on the business operation of the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level Assessment form on 19 January 2024. | | Criminal Fine | imposing a fine of 131,000.00 Baht according to 99/2567 | |
| 469 | 22/11/2024 | Mr Palakorn Yodchomyan | 94 in conjunction with 27 / DAB Act | Mr. Palakorn Yodchomyan, a Chief Executive Officer of Satochi Company Limited ("Satochi"), who is responsible for the operations of Satochi, shall be liable for Satochi’s failure to submit a request for approval of major shareholders to the SEC office within the period specified in the notification of Ministry of Finance, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 126,000.00 Baht according to 11/2567 | |
| 470 | 22/11/2024 | Satochi Company Limited | 27 / DAB Act | Satochi Company Limited ("Satochi"), a digital asset broker, is obligate to submit a request for approval of major shareholder to the SEC office within the period specified in the notification of Ministry of Finance which is prior to February 12, 2024. However, Satochi submitted a request for approval of major shareholder to the SEC office on March 18, 2024. | | Criminal Fine | imposing a fine of 126,000.00 Baht according to 10/2567 | |
| 471 | 22/11/2024 | Miss THEERANUCH RUNGTIVAGORN-UTAI | | | 251/2024 | Administrative Orders | Suspension | Effective Date 22/11/2024 to 15/03/2025 |
| 472 | 19/11/2024 | MR. CHAMROEN PHOTHIYOD | 242 (1) / SEC Act (the fifth amendment) | MR. CHAMROEN PHOTHIYOD | | Civil Sanction | 19/11/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,279,375.00 Baht
- a civil monetary penalty of 1,112,500.00 Baht
- a reimbursement of investigative expenses in an amount of 230,682.00 Baht | |
| 473 | 12/11/2024 | Mr. Bhusana Premanode | 281/2 paragraph 2 in conjunction with 89/7 and 307 308 311 313 in conjunction with section 83 ofthe Penal Code / SEC Act | During 2014-2015, Mr. Bhusana Premanode and Ms. Sunjutha Witchawut, former directors and executives of International Engineering Company Limited (“IEC”), with assistance or facilitation of Lt.Gen. Anutat Bunnag, who is an authorized director of NT Engine Company Limited (“NT Engine”) and responsible for securing land and waste disposal rights as a representative of IEC, and Mr. Saran Lertcharoenwongsa, the land procurement coordinator and financial manager, jointly approved the purchase of land for the construction of a waste-to-energy biomass power plant and plastic recycling facility in Ban Bueng District, Chonburi Province, at an unreasonably high price. They also approved payments from IEC to NT Engine for the arrangement of waste disposal rights, despite IEC having requested the cancelation of the power plant project. These actions rendered the conditions unfeasible, resulting in total damages of 156.8 million baht to IEC. The actions of these four individuals were a breach of duty through fraudulent conduct, misappropriation of assets, and seeking unlawful benefits for themselves or others, causing harm to IEC. | 238/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 474 | 12/11/2024 | Ms. Sunjutha Witchawut | 281/2 paragraph 2 in conjunction with 89/7 and 307 308 311 313 in conjunction with section 83 ofthe Penal Code / SEC Act | During 2014-2015, Mr. Bhusana Premanode and Ms. Sunjutha Witchawut, former directors and executives of International Engineering Company Limited (“IEC”), with assistance or facilitation of Lt.Gen. Anutat Bunnag, who is an authorized director of NT Engine Company Limited (“NT Engine”) and responsible for securing land and waste disposal rights as a representative of IEC, and Mr. Saran Lertcharoenwongsa, the land procurement coordinator and financial manager, jointly approved the purchase of land for the construction of a waste-to-energy biomass power plant and plastic recycling facility in Ban Bueng District, Chonburi Province, at an unreasonably high price. They also approved payments from IEC to NT Engine for the arrangement of waste disposal rights, despite IEC having requested the cancelation of the power plant project. These actions rendered the conditions unfeasible, resulting in total damages of 156.8 million baht to IEC. The actions of these four individuals were a breach of duty through fraudulent conduct, misappropriation of assets, and seeking unlawful benefits for themselves or others, causing harm to IEC. | 238/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 475 | 12/11/2024 | Lt. Gen. Anutat Bunnag | 281/2 paragraph 2 in conjunction with 89/7 and 307 308 311 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2014-2015, Mr. Bhusana Premanode and Ms. Sunjutha Witchawut, former directors and executives of International Engineering Company Limited (“IEC”), with assistance or facilitation of Lt.Gen. Anutat Bunnag, who is an authorized director of NT Engine Company Limited (“NT Engine”) and responsible for securing land and waste disposal rights as a representative of IEC, and Mr. Saran Lertcharoenwongsa, the land procurement coordinator and financial manager, jointly approved the purchase of land for the construction of a waste-to-energy biomass power plant and plastic recycling facility in Ban Bueng District, Chonburi Province, at an unreasonably high price. They also approved payments from IEC to NT Engine for the arrangement of waste disposal rights, despite IEC having requested the cancelation of the power plant project. These actions rendered the conditions unfeasible, resulting in total damages of 156.8 million baht to IEC. The actions of these four individuals were a breach of duty through fraudulent conduct, misappropriation of assets, and seeking unlawful benefits for themselves or others, causing harm to IEC. | 238/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 476 | 12/11/2024 | Mr. Saran Lertcharoenwongsa | 281/2 paragraph 2 in conjunction with 89/7 and 307 308 311 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2014-2015, Mr. Bhusana Premanode and Ms. Sunjutha Witchawut, former directors and executives of International Engineering Company Limited (“IEC”), with assistance or facilitation of Lt.Gen. Anutat Bunnag, who is an authorized director of NT Engine Company Limited (“NT Engine”) and responsible for securing land and waste disposal rights as a representative of IEC, and Mr. Saran Lertcharoenwongsa, the land procurement coordinator and financial manager, jointly approved the purchase of land for the construction of a waste-to-energy biomass power plant and plastic recycling facility in Ban Bueng District, Chonburi Province, at an unreasonably high price. They also approved payments from IEC to NT Engine for the arrangement of waste disposal rights, despite IEC having requested the cancelation of the power plant project. These actions rendered the conditions unfeasible, resulting in total damages of 156.8 million baht to IEC. The actions of these four individuals were a breach of duty through fraudulent conduct, misappropriation of assets, and seeking unlawful benefits for themselves or others, causing harm to IEC. | 238/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 477 | 31/10/2024 | Mr.Boonchai Jirapongtrakul | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 18,293,713.95 Baht
- a bar from serving as a director or executive in a securities issuing company between 27/04/2024 and 26/02/2027 | |
| 478 | 31/10/2024 | Mr.Boonchai Jirapongtrakul | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 29/06/2026
- a bar from serving as a director or executive in a securities issuing company between 27/02/2027 and 26/06/2030
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 479 | 31/10/2024 | Mr.Boonchai Jirapongtrakul | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 9,558,197.00 Baht
- a civil monetary penalty of 14,337,295.50 Baht
- a suspension of securities and derivatives trading between 30/06/2026 and 29/10/2028
- a bar from serving as a director or executive in a securities issuing company between 27/06/2030 and 26/03/2035
- a reimbursement of investigative expenses in an amount of 32,036.50 Baht | |
| 480 | 31/10/2024 | Mr.Boonchoke Thiratarakorn | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 18,293,713.95 Baht | |
| 481 | 31/10/2024 | Mr.Boonchoke Thiratarakorn | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 30/12/2025
- a bar from serving as a director or executive in a securities issuing company between 31/10/2024 and 27/02/2027
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 482 | 31/10/2024 | Mr.Boonchoke Thiratarakorn | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 9,558,197.00 Baht
- a civil monetary penalty of 14,337,295.50 Baht
- a suspension of securities and derivatives trading between 31/12/2025 and 30/10/2027
- a bar from serving as a director or executive in a securities issuing company between 28/02/2027 and 30/11/2030
- a reimbursement of investigative expenses in an amount of 32,036.50 Baht | |
| 483 | 31/10/2024 | Mr. Booncherd Santudpanich | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 18,293,713.95 Baht | |
| 484 | 31/10/2024 | Mr. Booncherd Santudpanich | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 30/12/2025
- a bar from serving as a director or executive in a securities issuing company between 31/10/2024 and 27/02/2027
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 485 | 31/10/2024 | Mr. Suwit Jiraphongtrakul | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 18,293,713.95 Baht | |
| 486 | 31/10/2024 | Mrs. Wanna Sittisirinukul | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 18,293,713.95 Baht | |
| 487 | 31/10/2024 | Mrs. Wanna Sittisirinukul | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 30/12/2025
- a bar from serving as a director or executive in a securities issuing company between 31/10/2024 and 27/02/2027
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 488 | 31/10/2024 | Mr. Preyatada Buranaworakhun | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 18,293,713.95 Baht | |
| 489 | 31/10/2024 | Mr. Preyatada Buranaworakhun | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 30/12/2025
- a bar from serving as a director or executive in a securities issuing company between 31/10/2024 and 27/02/2027
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 490 | 31/10/2024 | Mr. Preyatada Buranaworakhun | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 3,720,984.00 Baht
- a civil monetary penalty of 5,581,476.00 Baht
- a suspension of securities and derivatives trading between 31/12/2025 and 30/10/2027
- a bar from serving as a director or executive in a securities issuing company between 28/02/2027 and 30/11/2030
- a reimbursement of investigative expenses in an amount of 32,037.00 Baht | |
| 491 | 31/10/2024 | Mr. Surachaste Boonyasatian | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 18,293,713.95 Baht | |
| 492 | 31/10/2024 | Mr. Surachaste Boonyasatian | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 30/12/2025
- a bar from serving as a director or executive in a securities issuing company between 31/10/2024 and 27/02/2027
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 493 | 31/10/2024 | Mr. Surachaste Boonyasatian | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/12/2025 and 30/10/2027
- a bar from serving as a director or executive in a securities issuing company between 28/02/2027 and 30/11/2030
- a reimbursement of investigative expenses in an amount of 32,037.00 Baht | |
| 494 | 31/10/2024 | Mr. Karoon Thiravorachai | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 18,293,713.95 Baht | |
| 495 | 31/10/2024 | Mr. Sirichai Chaisuthamporn | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 18,293,713.95 Baht | |
| 496 | 31/10/2024 | Mr. Sirichai Chaisuthamporn | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 30/12/2025
- a bar from serving as a director or executive in a securities issuing company between 31/10/2024 and 27/02/2027
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 497 | 31/10/2024 | Mr. Sirichai Chaisuthamporn | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/12/2025 and 30/10/2027
- a bar from serving as a director or executive in a securities issuing company between 28/02/2027 and 30/11/2030
- a reimbursement of investigative expenses in an amount of 32,037.00 Baht | |
| 498 | 31/10/2024 | Miss Ratana Jirapongtrakul | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 30/12/2025
- a bar from serving as a director or executive in a securities issuing company between 31/10/2024 and 27/02/2027
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 499 | 31/10/2024 | Miss Ratana Jirapongtrakul | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 9,558,197.00 Baht
- a civil monetary penalty of 14,337,295.50 Baht
- a suspension of securities and derivatives trading between 31/12/2025 and 30/10/2027
- a bar from serving as a director or executive in a securities issuing company between 28/02/2027 and 30/11/2030
- a reimbursement of investigative expenses in an amount of 32,036.50 Baht | |
| 500 | 31/10/2024 | Mr. Chatri Anunrojwong | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 30/12/2025
- a bar from serving as a director or executive in a securities issuing company between 31/10/2024 and 27/02/2027
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 501 | 31/10/2024 | Mr. Chatri Anunrojwong | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 724,443.00 Baht
- a civil monetary penalty of 1,086,664.50 Baht
- a suspension of securities and derivatives trading between 31/12/2025 and 30/10/2027
- a bar from serving as a director or executive in a securities issuing company between 28/02/2027 and 30/11/2030
- a reimbursement of investigative expenses in an amount of 32,036.50 Baht | |
| 502 | 31/10/2024 | Miss Kittika Wisarootanart | 243 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 503 | 31/10/2024 | Miss Kittika Wisarootanart | 244/3 (1) / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 30/07/2025
- a bar from serving as a director or executive in a securities issuing company between 31/10/2024 and 29/04/2026
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 504 | 31/10/2024 | Miss Kittika Wisarootanart | 244/1 (2) / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/07/2025 and 30/10/2026
- a bar from serving as a director or executive in a securities issuing company between 30/04/2026 and 29/10/2028
- a reimbursement of investigative expenses in an amount of 32,037.00 Baht | |
| 505 | 31/10/2024 | Mr. Thana Seentanaphatr | 244/3 (1) / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/10/2024 and 30/07/2025
- a bar from serving as a director or executive in a securities issuing company between 31/10/2024 and 29/04/2026
- a reimbursement of investigative expenses in an amount of 126,279.00 Baht | |
| 506 | 31/10/2024 | Mr. Thana Seentanaphatr | 244/3 (1) / SEC Act (the fifth amendment) | . | | Civil Sanction | 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 31/07/2025 and 30/10/2026
- a bar from serving as a director or executive in a securities issuing company between 30/04/2026 and 29/10/2028
- a reimbursement of investigative expenses in an amount of 32,037.00 Baht | |
| 507 | 29/10/2024 | DAOL Securities (Thailand) Public Company Limited | 98 (6) / SEC Act | Between October 1, 2022 and July 10, 2023, DAOL Securities (Thailand) Public Company Limited, accept purchasing or selling orders from customers outside its office for the products listed on the Stock Exchange of Thailand, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 373,000.00 Baht according to 98/2567 | |
| 508 | 29/10/2024 | Thana Senavattanagul | 59 / SEC Act | During 29 August 2019 to 18 September 2019, Mr. Thana Senavattanagul, a director of Sahamit Machinery public company limited, has changed their securities holding. In this regard, Mr. Thana has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within 4 March 2020. However, Mr. Thana prepared and disclosed the report (Form 59-2) to the SEC office on 28 December 2020 and 30 December 2020 which means Mr. Thana failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 20,050.00 Baht according to 97/2567 | |
| 509 | 29/10/2024 | Miss Pikun Somwan | 59 / SEC Act | During 6 August 2019 to 23 January 2020, Miss Pikun Somwan , a director of DOHOME public company limited, has changed their securities holding. In this regard, Miss Pikun has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59-2) within 12 February 2020. However, Miss Pikun prepared and disclosed the report (Form 59-2) to the SEC office on 4 June 2020 which means Miss Pikun failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 10,650.00 Baht according to 96/2567 | |
| 510 | 29/10/2024 | Mr. Prapakorn Veerapong | 59 / SEC Act | On 23 July 2019, Mr. Prapakorn Veerapong, a director and managing director of Eastern Commercial Leasing
public company limited, has changed their securities holding. In this regard, Mr. Prapakorn has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within 28 January 2020. However, Mr Prapakorn prepared and disclosed the report (Form 59-2) to the SEC office on 27 March 2020 which means Mr. Prapakorn failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 7,950.00 Baht according to 95/2567 | |
| 511 | 29/10/2024 | Mr. Kobchai Chirathivat | 59 / SEC Act | During 22 November 2019 to 30 March 2022, Mr. Kobchai Chirathivat, a director of Central Pattana public company limited, has changed their securities holding. In this regard, Mr. Kobchai has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within 9 December 2019, 23 December 2019, 21 February 2022 and 4 April 2022. However, Mr. Kobchai prepared and disclosed the report (Form 59-2) to the SEC office on
21 January 2020, 6 June 2020 and 19 April 2022 which means Mr. Kobchai failed to prepare and disclose the report within the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 66,650.00 Baht according to 94/2567 | |
| 512 | 29/10/2024 | Mr. Yongkiat Sirivajanangkun | 59 / SEC Act | On September 9, 2019. Mr. Yongkiat, a Director of ASSET FIVE GROUP PUBLIC COMPANY LIMITED, has changed their securities holding. In this regard, Mr. Yongkiat has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within March 12, 2020. However, Mr. Yongkiat prepared and disclosed the report (Form 59-2) to the SEC office on April 12, 2022 which means Mr. Yongkiat failed to prepare and disclose the report within the period specified in the notification of the SEC | | Criminal Fine | imposing a fine of 43,050.00 Baht according to 93/2567 | |
| 513 | 29/10/2024 | Mr. Fahmai Damrongchaitham | 59 / SEC Act | On August 30, 2019. Mr. Fahmai, a Director of GMM GRAMMY PUBLIC COMPANY LIMITED, has changed their securities holding. In this regard, Mr. Fahmai has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within March 4, 2020. However, Mr. Fahmai prepared and disclosed the report (Form 59-2) to the SEC office on July 21, 2020 which means Mr. Fahmai failed to prepare and disclose the report within the period specified in the notification of the SEC | | Criminal Fine | imposing a fine of 11,950.00 Baht according to 92/2567 | |
| 514 | 29/10/2024 | Charoensook Kititti | 59 / SEC Act | On December 17, 2019. Mr. Charoensook, a Director of RATCHTHANI LEASING PUBLIC COMPANY LIMITED, has changed their securities holding. In this regard, Mr. Charoensook has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within December 20, 2019. However, Mr. Charoensook prepared and disclosed the report (Form 59-2) to the SEC office on December 27, 2019 which means Mr. Charoensook failed to prepare and disclose the report within the period specified in the notification of the SEC | | Criminal Fine | imposing a fine of 39,600.00 Baht according to 91/2567 | |
| 515 | 29/10/2024 | Mr. Kusol Sangkananth | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 181,800.00 Baht according to 90/2567 | |
| 516 | 29/10/2024 | Mr. Kusol Sangkananth | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 154,800.00 Baht according to 90/2567 | |
| 517 | 29/10/2024 | Mr. Kusol Sangkananth | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 120,600.00 Baht according to 90/2567 | |
| 518 | 29/10/2024 | Mr. Kusol Sangkananth | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 79,200.00 Baht according to 90/2567 | |
| 519 | 29/10/2024 | Mr. Pipat Chanasongkram | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 181,800.00 Baht according to 89/2567 | |
| 520 | 29/10/2024 | Mr. Pipat Chanasongkram | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 154,800.00 Baht according to 89/2567 | |
| 521 | 29/10/2024 | Mr. Chatree Chuensulsinsup | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 139,200.00 Baht according to 88/2567 | |
| 522 | 29/10/2024 | Mr. Chatree Chuensulsinsup | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 194,400.00 Baht according to 88/2567 | |
| 523 | 29/10/2024 | Mr. Chatree Chuensulsinsup | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 180,300.00 Baht according to 88/2567 | |
| 524 | 29/10/2024 | Mr. Chatree Chuensulsinsup | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 153,000.00 Baht according to 88/2567 | |
| 525 | 29/10/2024 | Mr. Chatree Chuensulsinsup | 300 in conjunction with 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 121,500.00 Baht according to 88/2567 | |
| 526 | 29/10/2024 | Max Metal Corporation Public Company Limited | 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 139,200.00 Baht according to 87/2567 | |
| 527 | 29/10/2024 | Max Metal Corporation Public Company Limited | 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 194,400.00 Baht according to 87/2567 | |
| 528 | 29/10/2024 | Max Metal Corporation Public Company Limited | 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 180,300.00 Baht according to 87/2567 | |
| 529 | 29/10/2024 | Max Metal Corporation Public Company Limited | 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 153,000.00 Baht according to 87/2567 | |
| 530 | 29/10/2024 | Max Metal Corporation Public Company Limited | 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 121,500.00 Baht according to 87/2567 | |
| 531 | 29/10/2024 | Max Metal Corporation Public Company Limited | 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 181,800.00 Baht according to 87/2567 | |
| 532 | 29/10/2024 | Max Metal Corporation Public Company Limited | 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 154,800.00 Baht according to 87/2567 | |
| 533 | 29/10/2024 | Max Metal Corporation Public Company Limited | 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 128,640.00 Baht according to 87/2567 | |
| 534 | 29/10/2024 | Max Metal Corporation Public Company Limited | 56(4) / SEC Act | | | Criminal Fine | imposing a fine of 84,480.00 Baht according to 87/2567 | |
| 535 | 29/10/2024 | Miss Sutida Phanphaisarn | 300 in conjunction with 56(1) / SEC Act | Miss Sutida Phanphaisarn, chief financial officer, who is responsible for the operation of All Inspire Development Company Limited (“ALL”), shall be liable for ALL’s failure to prepare and submit financial statement for Q3 year 2023 within the period specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 46,800.00 Baht according to 86/2567 | |
| 536 | 29/10/2024 | All Inspire Development Company Limited | 56(1) / SEC Act | All Inspire Development Company Limited (“ALL”) had duty to prepare and submit financial statement for Q3 year 2023 within 14 November 2023 which is the period specified by the Notification of the Capital Market Supervisory Board. However, the financial statement for Q3 year 2023 was later submitted on 9 January 2024. | | Criminal Fine | imposing a fine of 46,800.00 Baht according to 85/2567 | |
| 537 | 29/10/2024 | Bank of Ayudhya Public Company Limited | 46 / SEC Act | Between March 2, 2022 to February 5, 2024, Bank of Ayudhya Public Company Limited (“BAY”) as a debenture holder representative of All Inspire Development Public Company Limited which is offer to sale the debenture ALL242A and ALL252A, failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by failing to perform its duties with due care and preserve the interest of the debenture holders as would reasonably be expected of similar professionals.
| | Criminal Fine | imposing a fine of 1,539,500.00 Baht according to 84/2567 | |
| 538 | 17/10/2024 | Mr SITTIPONG JUMPALEE | | | 214/2024 | Administrative Orders | Revocation | Effective Date 17/10/2024 to 16/10/2034 |
| 539 | 15/10/2024 | Mrs. Sirichol Piajun | 300 in conjunction with 34 / SEC Act | Mrs. Sirichol Piajun, authorized director who is responsible for the operation of 199 Medical Clinic Company Limited, order or act resulting in 199 Medical Clinic Company Limited’s shares offering in the form of general or to the public without approval from the SEC office. | | Criminal Complaints | | |
| 540 | 11/10/2024 | Mr. Komen Niyomvanich | 244/2 in conjunction with 244/1 / SEC Act | In 2022, Mr. Komen Niyomvanich colluded with Miss Monsicha Ounpipat in a manner that is likely to cause a disadvantage to the mutual fund. Mr. Komen, a fund manager, possessed inside information related to trading orders of securities of fund which was managed by himself and disclosed such information to Miss Monsicha, in which, Miss Monsicha placed trading orders of securities and derivatives before the execution of Mr. Komen’s order for the mutual fund was completed. | 210/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 541 | 11/10/2024 | Miss Monsicha Ounpipat | 244/2 in conjunction with 244/1 and 315 / SEC Act | In 2022, Mr. Komen Niyomvanich colluded with Miss Monsicha Ounpipat in a manner that is likely to cause a disadvantage to the mutual fund. Mr. Komen, a fund manager, possessed inside information related to trading orders of securities of fund which was managed by himself and disclosed such information to Miss Monsicha, in which, Miss Monsicha placed trading orders of securities and derivatives before the execution of Mr. Komen’s order for the mutual fund was completed. | 210/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 542 | 27/09/2024 | Mr. Katsuyuki Mizumachi | 307 311 313 281/2 paragraph 2 in conjunction with 89/7 and 89/24 in conjunction with 89/7 and 83 of the Penal Code / SEC Act | During 2016-2017, Mr. Katsuyuki Mizumachi, the former Chief Executive committee, colluded with other person acted dishonestly through 5 suspicious transactions, estimated total damage of approximately 110 million baht, as follows :
(1) Invest in purchasing shares of JRA (Fiji) Consultants, a nonexistent company.
(2) Invest in registered shares and future newly issued shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS.
(3) transferred money through the requests of capital increase, a License Agreement and a Subcontract Agreement with Digital Dream Company Limited, which were unintentional transactions. However, the transactions were made to transfer benefits to Mr. John Worrall D'Arcy Grove and others.
(4) Assign the office leasehold right to Chuo Senko Advertising (Thailand) Company Limited ("CSA") which was made to transfer benefits to CSA.
(5) Enter into Network Service Agreement with CSA, but then the Agreement was void because the court rendered final judgment that the Agreement was Mr. Katsuyuki's fictitious intention in order to transfer benefits to CSA.
In addition, the aforementioned act of Mr. Katsuyuki and Mr. Kiichi was assisted or facilitatedby Mr. Liam Dwyer Orton, Mr. John Worrall Darcy Grove, Mr. Mohammed Salamat Ali, Mr. Haruhiko Shin, Mr. Somboon Pobunsong, Mr. Jesada Daokaew or CSA. | 201/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 543 | 27/09/2024 | Mr. Kiichi Okuyama | 307 311 313 281/2 paragraph 2 in conjunction with 89/7 and 83 of the Penal Code / SEC Act | During 2016-2017, Mr. Katsuyuki Mizumachi, the former Chief Executive committee, colluded with other person acted dishonestly through 5 suspicious transactions, estimated total damage of approximately 110 million baht, as follows :
(1) Invest in purchasing shares of JRA (Fiji) Consultants, a nonexistent company.
(2) Invest in registered shares and future newly issued shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS.
(3) transferred money through the requests of capital increase, a License Agreement and a Subcontract Agreement with Digital Dream Company Limited, which were unintentional transactions. However, the transactions were made to transfer benefits to Mr. John Worrall D'Arcy Grove and others.
(4) Assign the office leasehold right to Chuo Senko Advertising (Thailand) Company Limited ("CSA") which was made to transfer benefits to CSA.
(5) Enter into Network Service Agreement with CSA, but then the Agreement was void because the court rendered final judgment that the Agreement was Mr. Katsuyuki's fictitious intention in order to transfer benefits to CSA.
In addition, the aforementioned act of Mr. Katsuyuki and Mr. Kiichi was assisted or facilitatedby Mr. Liam Dwyer Orton, Mr. John Worrall Darcy Grove, Mr. Mohammed Salamat Ali, Mr. Haruhiko Shin, Mr. Somboon Pobunsong, Mr. Jesada Daokaew or CSA. | 201/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 544 | 27/09/2024 | Mr. Liam Dwyer Orton | 307 311 315 281/2 paragraph 2 in conjunction with 89/7 and 86 of the Penal Code / SEC Act | During 2016-2017, Mr. Katsuyuki Mizumachi, the former Chief Executive committee, colluded with other person acted dishonestly through 5 suspicious transactions, estimated total damage of approximately 110 million baht, as follows :
(1) Invest in purchasing shares of JRA (Fiji) Consultants, a nonexistent company.
(2) Invest in registered shares and future newly issued shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS.
(3) transferred money through the requests of capital increase, a License Agreement and a Subcontract Agreement with Digital Dream Company Limited, which were unintentional transactions. However, the transactions were made to transfer benefits to Mr. John Worrall D'Arcy Grove and others.
(4) Assign the office leasehold right to Chuo Senko Advertising (Thailand) Company Limited ("CSA") which was made to transfer benefits to CSA.
(5) Enter into Network Service Agreement with CSA, but then the Agreement was void because the court rendered final judgment that the Agreement was Mr. Katsuyuki's fictitious intention in order to transfer benefits to CSA.
In addition, the aforementioned act of Mr. Katsuyuki and Mr. Kiichi was assisted or facilitatedby Mr. Liam Dwyer Orton, Mr. John Worrall Darcy Grove, Mr. Mohammed Salamat Ali, Mr. Haruhiko Shin, Mr. Somboon Pobunsong, Mr. Jesada Daokaew or CSA. | 201/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 545 | 27/09/2024 | Mr. John Worrall Darcy Grove | 307 311 315 281/2 paragraph 2 in conjunction with 89/7 and 89/24 in conjunction with 89/7 and 86 of the Penal Code / SEC Act | During 2016-2017, Mr. Katsuyuki Mizumachi, the former Chief Executive committee, colluded with other person acted dishonestly through 5 suspicious transactions, estimated total damage of approximately 110 million baht, as follows :
(1) Invest in purchasing shares of JRA (Fiji) Consultants, a nonexistent company.
(2) Invest in registered shares and future newly issued shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS.
(3) transferred money through the requests of capital increase, a License Agreement and a Subcontract Agreement with Digital Dream Company Limited, which were unintentional transactions. However, the transactions were made to transfer benefits to Mr. John Worrall D'Arcy Grove and others.
(4) Assign the office leasehold right to Chuo Senko Advertising (Thailand) Company Limited ("CSA") which was made to transfer benefits to CSA.
(5) Enter into Network Service Agreement with CSA, but then the Agreement was void because the court rendered final judgment that the Agreement was Mr. Katsuyuki's fictitious intention in order to transfer benefits to CSA.
In addition, the aforementioned act of Mr. Katsuyuki and Mr. Kiichi was assisted or facilitatedby Mr. Liam Dwyer Orton, Mr. John Worrall Darcy Grove, Mr. Mohammed Salamat Ali, Mr. Haruhiko Shin, Mr. Somboon Pobunsong, Mr. Jesada Daokaew or CSA. | 201/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 546 | 27/09/2024 | Mr. Mohammed Salamat Ali | 307 311 315 281/2 paragraph 2 in conjunction with 89/7 and 86 of the Penal Code / SEC Act | During 2016-2017, Mr. Katsuyuki Mizumachi, the former Chief Executive committee, colluded with other person acted dishonestly through 5 suspicious transactions, estimated total damage of approximately 110 million baht, as follows :
(1) Invest in purchasing shares of JRA (Fiji) Consultants, a nonexistent company.
(2) Invest in registered shares and future newly issued shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS.
(3) transferred money through the requests of capital increase, a License Agreement and a Subcontract Agreement with Digital Dream Company Limited, which were unintentional transactions. However, the transactions were made to transfer benefits to Mr. John Worrall D'Arcy Grove and others.
(4) Assign the office leasehold right to Chuo Senko Advertising (Thailand) Company Limited ("CSA") which was made to transfer benefits to CSA.
(5) Enter into Network Service Agreement with CSA, but then the Agreement was void because the court rendered final judgment that the Agreement was Mr. Katsuyuki's fictitious intention in order to transfer benefits to CSA.
In addition, the aforementioned act of Mr. Katsuyuki and Mr. Kiichi was assisted or facilitatedby Mr. Liam Dwyer Orton, Mr. John Worrall Darcy Grove, Mr. Mohammed Salamat Ali, Mr. Haruhiko Shin, Mr. Somboon Pobunsong, Mr. Jesada Daokaew or CSA. | 201/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 547 | 27/09/2024 | Mr. Haruhiko Shin | 307 311 315 281/2 paragraph 2 in conjunction with 89/7 and 86 of the Penal Code / SEC Act | During 2016-2017, Mr. Katsuyuki Mizumachi, the former Chief Executive committee, colluded with other person acted dishonestly through 5 suspicious transactions, estimated total damage of approximately 110 million baht, as follows :
(1) Invest in purchasing shares of JRA (Fiji) Consultants, a nonexistent company.
(2) Invest in registered shares and future newly issued shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS.
(3) transferred money through the requests of capital increase, a License Agreement and a Subcontract Agreement with Digital Dream Company Limited, which were unintentional transactions. However, the transactions were made to transfer benefits to Mr. John Worrall D'Arcy Grove and others.
(4) Assign the office leasehold right to Chuo Senko Advertising (Thailand) Company Limited ("CSA") which was made to transfer benefits to CSA.
(5) Enter into Network Service Agreement with CSA, but then the Agreement was void because the court rendered final judgment that the Agreement was Mr. Katsuyuki's fictitious intention in order to transfer benefits to CSA.
In addition, the aforementioned act of Mr. Katsuyuki and Mr. Kiichi was assisted or facilitatedby Mr. Liam Dwyer Orton, Mr. John Worrall Darcy Grove, Mr. Mohammed Salamat Ali, Mr. Haruhiko Shin, Mr. Somboon Pobunsong, Mr. Jesada Daokaew or CSA. | 201/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 548 | 27/09/2024 | Mr. Somboon Pobunsong | 307 311 315 281/2 paragraph 2 in conjunction with 89/7 and 86 of the Penal Code / SEC Act | During 2016-2017, Mr. Katsuyuki Mizumachi, the former Chief Executive committee, colluded with other person acted dishonestly through 5 suspicious transactions, estimated total damage of approximately 110 million baht, as follows :
(1) Invest in purchasing shares of JRA (Fiji) Consultants, a nonexistent company.
(2) Invest in registered shares and future newly issued shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS.
(3) transferred money through the requests of capital increase, a License Agreement and a Subcontract Agreement with Digital Dream Company Limited, which were unintentional transactions. However, the transactions were made to transfer benefits to Mr. John Worrall D'Arcy Grove and others.
(4) Assign the office leasehold right to Chuo Senko Advertising (Thailand) Company Limited ("CSA") which was made to transfer benefits to CSA.
(5) Enter into Network Service Agreement with CSA, but then the Agreement was void because the court rendered final judgment that the Agreement was Mr. Katsuyuki's fictitious intention in order to transfer benefits to CSA.
In addition, the aforementioned act of Mr. Katsuyuki and Mr. Kiichi was assisted or facilitatedby Mr. Liam Dwyer Orton, Mr. John Worrall Darcy Grove, Mr. Mohammed Salamat Ali, Mr. Haruhiko Shin, Mr. Somboon Pobunsong, Mr. Jesada Daokaew or CSA. | 201/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 549 | 27/09/2024 | Chuo Senko Advertising (Thailand) Company Limited | 307 311 315 281/2 paragraph 2 in conjunction with 89/7 and 86 of the Penal Code / SEC Act | During 2016-2017, Mr. Katsuyuki Mizumachi, the former Chief Executive committee, colluded with other person acted dishonestly through 5 suspicious transactions, estimated total damage of approximately 110 million baht, as follows :
(1) Invest in purchasing shares of JRA (Fiji) Consultants, a nonexistent company.
(2) Invest in registered shares and future newly issued shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS.
(3) transferred money through the requests of capital increase, a License Agreement and a Subcontract Agreement with Digital Dream Company Limited, which were unintentional transactions. However, the transactions were made to transfer benefits to Mr. John Worrall D'Arcy Grove and others.
(4) Assign the office leasehold right to Chuo Senko Advertising (Thailand) Company Limited ("CSA") which was made to transfer benefits to CSA.
(5) Enter into Network Service Agreement with CSA, but then the Agreement was void because the court rendered final judgment that the Agreement was Mr. Katsuyuki's fictitious intention in order to transfer benefits to CSA.
In addition, the aforementioned act of Mr. Katsuyuki and Mr. Kiichi was assisted or facilitatedby Mr. Liam Dwyer Orton, Mr. John Worrall Darcy Grove, Mr. Mohammed Salamat Ali, Mr. Haruhiko Shin, Mr. Somboon Pobunsong, Mr. Jesada Daokaew or CSA. | 201/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 550 | 27/09/2024 | Mr. Jesada Daokaew | 281/2 paragraph 2 in conjunction with 89/7and 89/24 in conjunction with 89/7 and 86 of the Penal Code / SEC Act | During 2016-2017, Mr. Katsuyuki Mizumachi, the former Chief Executive committee, colluded with other person acted dishonestly through 5 suspicious transactions, estimated total damage of approximately 110 million baht, as follows :
(1) Invest in purchasing shares of JRA (Fiji) Consultants, a nonexistent company.
(2) Invest in registered shares and future newly issued shares of Sam's Sports Retail Company Limited ("SAMS") and make unreasonable and fictitious order of shoes from SAMS.
(3) transferred money through the requests of capital increase, a License Agreement and a Subcontract Agreement with Digital Dream Company Limited, which were unintentional transactions. However, the transactions were made to transfer benefits to Mr. John Worrall D'Arcy Grove and others.
(4) Assign the office leasehold right to Chuo Senko Advertising (Thailand) Company Limited ("CSA") which was made to transfer benefits to CSA.
(5) Enter into Network Service Agreement with CSA, but then the Agreement was void because the court rendered final judgment that the Agreement was Mr. Katsuyuki's fictitious intention in order to transfer benefits to CSA.
In addition, the aforementioned act of Mr. Katsuyuki and Mr. Kiichi was assisted or facilitatedby Mr. Liam Dwyer Orton, Mr. John Worrall Darcy Grove, Mr. Mohammed Salamat Ali, Mr. Haruhiko Shin, Mr. Somboon Pobunsong, Mr. Jesada Daokaew or CSA. | 201/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 551 | 26/09/2024 | Mr. Thanayous Kositsakul | 246 / SEC Act | During 13 November 2018 to 16 November 2018, Mr. Thanayous Kositsakul failed to report his acquisition and disposition of Simat Technologies Public Limited (“SIMAT”) shares held in his securities account to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board when his aggregated holding of SAIMAT shares reached or passed five percent of the total number of voting rights of SIMAT. Mr. Thanayous later filed the accurate reports (Form 246-2) to the SEC Office on 8 January 2024. | | Criminal Fine | imposing a fine of 98,950.00 Baht according to 83/2567 | |
| 552 | 26/09/2024 | Mr. Nattapong Seetavorarat | 246 / SEC Act | During 6 June 2019 to 27 May 2020, Mr. Nattapong Seetavorarat failed to report his acquisition and disposition of Simat Technologies Public Limited (“SIMAT”) shares held in his securities account to
the SEC Office within the period specified in
the notification of the Capital Market Supervisory Board when his aggregated holding of SAIMAT shares reached or passed five percent of the total number of voting rights of SIMAT. Mr. Nattapong later filed the accurate reports (Form 246-2) to the SEC Office on 25 January 2024.
| | Criminal Fine | imposing a fine of 89,950.00 Baht according to 82/2567 | |
| 553 | 26/09/2024 | Mr. Pira Patamavorakulchai | 246 / SEC Act | Mr. Pira Patamavorakulchai failed to report the acquisition or disposal of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after Mr.Pira had acquired SANKO shares so that the acquisition or disposal of such shares caused Mr. Pira aggregate holding of SANKO shares held by itself, and persons under section 258 to reach or pass a multiple of five percent of total number of voting rights of the business. | | Criminal Fine | imposing a fine of 110,850.00 Baht according to 81/2567 | |
| 554 | 26/09/2024 | THAI INDUSTRIAL PART Limited | 246 / SEC Act | THAI INDUSTRIAL PART Limited (“TIP”) failed to report the acquisition or disposal of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after TIP had acquired SANKO shares so that the acquisition or disposal of such shares caused TIP aggregate holding of SANKO shares held by itself, and persons under section 258 to reach or pass a multiple of five percent of total number of voting rights of the business. | | Criminal Fine | imposing a fine of 719,650.00 Baht according to 80/2567 | |
| 555 | 26/09/2024 | THAI INDUSTRIAL PART Limited | 247 / SEC Act | THAI INDUSTRIAL PART Limited (“TIP”) failed to comply with rules specified by Securities and Exchange Commission on JUNE 1, 2017, TIP acquired shares of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares held by itself, and person under section 258 resulting in TIP aggregate number of shares held by other persons exceeded trigger point at 25 percent of the total voting rights of SANKO. Later TIP reduces its shareholding below such trigger point, it then was exempted from the requirement to make a tender offer | | Criminal Fine | imposing a fine of 1,246,500.00 Baht according to 80/2567 | |
| 556 | 26/09/2024 | JTW ASSET Limited | 246 / SEC Act | JTW ASSET Limited (“JTW”) failed to report the acquisition or disposal of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after JTW had acquired SANKO shares so that the acquisition or disposal of such shares caused JTW aggregate holding of SANKO shares held by itself, and persons under section 258 to reach or pass a multiple of five percent of total number of voting rights of the business. | | Criminal Fine | imposing a fine of 168,550.00 Baht according to 79/2567 | |
| 557 | 26/09/2024 | Mr. Worawoot Ounjai | 59 / SEC Act | Between 25 August 2020 and 4 February 2021, Mr. Worawoot Ounjai, a Company Director of The COL Public Company Limited ("COL") during that time, changed his holding of COL securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mr. Worawoot Ounjai later filed the report (Form 59-2) to the SEC Office on 20 August 2024. | | Criminal Fine | imposing a fine of 208,750.00 Baht according to 78/2567 | |
| 558 | 26/09/2024 | Mr.Varunyoo Sila | 59 / SEC Act | Between November 19, 2019 and August 4, 2020. Mr. Varunyoo, a Chief executive officer of Union auction public company limited, has changed their securities holding. In this regard, Mr. Varunyoo has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within May 22, 2020 and February 3, 2021. However, Mr. Varanyoo prepared and disclosed the report (Form 59-2) to the SEC office on December 2, 2021 which means Mr. Varunyoo failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 33,450.00 Baht according to 77/2567 | |
| 559 | 26/09/2024 | Mr. Waroon Warawanisha | 59 / SEC Act | On November 25, 2019, Mr. Waroon Warawanisha a Director of Raimon Land Public Company Limited has changed his securities holding. In this regard, Mr. Waroon has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within November 28, 2019. However, Mr. Waroon prepared and disclosed the the report (Form 59-2) to the SEC office on December 2, 2019. Which means Mr. Waroon failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board | | Criminal Fine | imposing a fine of 38,700.00 Baht according to 76/2567 | |
| 560 | 26/09/2024 | Mrs. Raweporn Kuhirun | 59 / SEC Act | Between September 27 and November 5, 2019
Mrs. Raweporn Kuhirun an Audit Committee and Independent Director of Gulf Energy Development Public Company Limited has changed her securities holding. In this regard, Mrs. Raweporn has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within November 8, 2019. However, Mrs. Raweporn prepared and disclosed the the report (Form 59-2) to the SEC office on January 31, 2020 which means Mrs. Raweporn failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board.
| | Criminal Fine | imposing a fine of 9,200.00 Baht according to 75/2567 | |
| 561 | 26/09/2024 | Mr. Chansak Fuangfu | 59 / SEC Act | On December 13, 2019, Mr. Chansak Fuangfu a Director and Senior Executive Vice President of Bank Public Company Limited has changed his securities holding. In this regard, Mr. Chansak has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within December 18, 2019. However, Mr. chansak prepared and disclosed the the report (Form 59-2) to the SEC office on January 27, 2020 which means Mr. Chansak failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 49,500.00 Baht according to 74/2567 | |
| 562 | 26/09/2024 | Mr. Santi Bangor | 59 / SEC Act | Between JUNE 17, 2019 and September 7, 2021. Mr. Santi Bangor, Audit Committee of People's Garment Public Company Limited, has changed their securities holding. In this regard, Mr. Santi has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within December 25, 2019 and September 15, 2021. However, Mr. Santi prepared and disclosed the report (Form 59-2) to the SEC office on November 19, 2021 which means Mr. Santi failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 40,500.00 Baht according to 73/2567 | |
| 563 | 26/09/2024 | Mr. Santisuk Kosiarpanant | 59 / SEC Act | On November 20, 2019. Mr. Santisuk Kosiarpanant, Chief executive officer of Sonic Interfreight Public Co., Ltd, has changed their securities holding. In this regard, Mr. Santisuk has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within November 25, 2019. However, Mr. Santisuk prepared and disclosed the report (Form 59-2) to the SEC office on November 26, 2019 which means Mr. Santisuk failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board | | Criminal Fine | imposing a fine of 37,800.00 Baht according to 72/2567 | |
| 564 | 26/09/2024 | Mr. Arunphun Pootong | 59 / SEC Act | On November 20, 2019. Mr. Arunphun Pootong, Executive Vice President of B.Grimm Power Public Company Limited, has changed their securities holding. In this regard, Mr. Arunphun has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within May 25, 2020. However, Mr. Arunphun prepared and disclosed the report (Form 59-2) to the SEC office on August 17, 2020 which means Mr. Arunphun failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board | | Criminal Fine | imposing a fine of 9,200.00 Baht according to 71/2567 | |
| 565 | 26/09/2024 | Mr. Thanya Kitchainukul | 300 in conjunction with 33 / SEC Act | Mr. Thanya Kitchainukul, Head of Credit Department, who is responsible for the operation of Ngern Tid Lor Public Company Limited, shall be liable for Ngern Tid Lor Public Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration statement (FORM 69-PP-PRICING) which is breach of The Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 70/2567 | |
| 566 | 26/09/2024 | Mr. Veerapat Viriyakovitya | 300 in conjunction with 33 / SEC Act | Mr. Veerapat Viriyakovitya, Head of Finance and Accounting Department, who is responsible for the operation of Ngern Tid Lor Public Company Limited, shall be liable for Ngern Tid Lor Public Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration statement (FORM 69-PP-PRICING) which is breach of The Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 69/2567 | |
| 567 | 26/09/2024 | Ngern Tid Lor Public Company Limited | 33 / SEC Act | Ngern Tid Lor Public Company Limited offer to sell newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration statement (FORM 69-PP-PRICING) which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 68/2567 | |
| 568 | 26/09/2024 | Mr. Kavin Phongpandecha | 94 / DAB Act | Mr. Kavin Phingpandecha, a former Chief Executive Officer of Bitazza Company Limited, who is responsible for the operation of Bitazza, shall be liable for Bitazza’s failure to comply with the rules, conditions and procedures as specified in the notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset as the displayed buying and selling prices of order book do not align with the actual market prices, causing the coin prices displayed in the order book was inaccurately. | | Criminal Fine | imposing a fine of 733,000.00 Baht according to 9/2567 | |
| 569 | 26/09/2024 | Bitazza Company Limited | 30 / DAB Act | Between June 22, 2022 and January 30, 2024, Bitazza Company Limited, a digital asset broker, failed to comply with the rules, conditions and procedures as specified in the notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset trading, causing the coin prices displayed in the order book was inaccurately. | | Criminal Fine | imposing a fine of 733,000.00 Baht according to 8/2567 | |
| 570 | 24/09/2024 | Bitazza Company Limited | 30 / DAB Act | Bitazza Company Limited ("Bitazza"), a digital asset broker, is obligated to submit a financial statement for the year 2023 to the SEC office and notify the financial statement on Bitazza's website within the period specified in the notification of the Securities and Exchange Commission, which is within April 30, 2024. However, Bitazza has not fulfilled this obligation. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 571 | 24/09/2024 | Mr. Tanawat Sutuntivorakoon | 94 / DAB Act | Mr.Tanawat Sutuntivorakoon, Chief Executive Officer of Bitazza Company Limited ("Bitazza"), who is responsible for the operation of Bitazza, shall be liable for Bitazza’s failure to submit a financial statement for the year 2023 to the SEC Office and notify the financial statement on Bitazza’s website within the period specified in the notification of the Securities and Exchange Commission, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 572 | 20/09/2024 | Mrs. Siriya Thepcharoen | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 83 of the Penal Code / SEC Act | During 2020, four directors and executives of Nusasiri Public Company Limited (“NUSA”), namely (1) Mrs. Siriya Thepcharoen, (2) Mr. Visanu Thepcharoen, (3) Mr. Sompijit Chaichanajarak, (4) Mr. Nontawat Dhanasuwiwath, colluded to purchase Panacee Grand Hotel Roemerbad (Panacee) in Germany at a significantly higher price than the appraised price based on the market approach. They also colluded to act dishonestly in selling NUSA condominium units in Bangkok at a price lower than the appraised price and transferring funds out of NUSA into personal accounts and those of close associates for their own benefits or others’, consequently causing damage to NUSA. In so doing, (5) Ms. Varinborn Chantarojvanich, the seller of Panacee, and (6) Mrs. Chomsuda Rungruangnavarat, an authorized director of the company purchasing the NUSA condominium units, assisted persons under (1) – (4) in committing the offenses. The SEC’s findings revealed that the deposit for the purchase of the hotel above that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their close associates benefited from the sale money of the hotel.
In addition, during the process of clarification to the SEC regarding the case above, the four directors and executives of the company, at the time of the offense, submitted false evidence and information to the competent official of the SEC. They submitted a false report from the independent financial advisor to deceive the SEC about the true value of the hotel as recorded in the accounts. Furthermore, it was found that they fabricated the accounts to mislead the company's auditor into believing that the company had fully received payment for the condominium units from the purchasing company, so that the auditor would not question the recording of the transaction in the accounts. | 198/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 573 | 20/09/2024 | Mr. Visanu Thepcharoen | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 83 of the Penal Code / SEC Act | During 2020, four directors and executives of Nusasiri Public Company Limited (“NUSA”), namely (1) Mrs. Siriya Thepcharoen, (2) Mr. Visanu Thepcharoen, (3) Mr. Sompijit Chaichanajarak, (4) Mr. Nontawat Dhanasuwiwath, colluded to purchase Panacee Grand Hotel Roemerbad (Panacee) in Germany at a significantly higher price than the appraised price based on the market approach. They also colluded to act dishonestly in selling NUSA condominium units in Bangkok at a price lower than the appraised price and transferring funds out of NUSA into personal accounts and those of close associates for their own benefits or others’, consequently causing damage to NUSA. In so doing, (5) Ms. Varinborn Chantarojvanich, the seller of Panacee, and (6) Mrs. Chomsuda Rungruangnavarat, an authorized director of the company purchasing the NUSA condominium units, assisted persons under (1) – (4) in committing the offenses. The SEC’s findings revealed that the deposit for the purchase of the hotel above that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their close associates benefited from the sale money of the hotel.
In addition, during the process of clarification to the SEC regarding the case above, the four directors and executives of the company, at the time of the offense, submitted false evidence and information to the competent official of the SEC. They submitted a false report from the independent financial advisor to deceive the SEC about the true value of the hotel as recorded in the accounts. Furthermore, it was found that they fabricated the accounts to mislead the company's auditor into believing that the company had fully received payment for the condominium units from the purchasing company, so that the auditor would not question the recording of the transaction in the accounts.
| 198/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 574 | 20/09/2024 | Mr. Sompijit Chaichanajarak | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 83 of the Penal Code / SEC Act | During 2020, four directors and executives of Nusasiri Public Company Limited (“NUSA”), namely (1) Mrs. Siriya Thepcharoen, (2) Mr. Visanu Thepcharoen, (3) Mr. Sompijit Chaichanajarak, (4) Mr. Nontawat Dhanasuwiwath, colluded to purchase Panacee Grand Hotel Roemerbad (Panacee) in Germany at a significantly higher price than the appraised price based on the market approach. They also colluded to act dishonestly in selling NUSA condominium units in Bangkok at a price lower than the appraised price and transferring funds out of NUSA into personal accounts and those of close associates for their own benefits or others’, consequently causing damage to NUSA. In so doing, (5) Ms. Varinborn Chantarojvanich, the seller of Panacee, and (6) Mrs. Chomsuda Rungruangnavarat, an authorized director of the company purchasing the NUSA condominium units, assisted persons under (1) – (4) in committing the offenses. The SEC’s findings revealed that the deposit for the purchase of the hotel above that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their close associates benefited from the sale money of the hotel.
In addition, during the process of clarification to the SEC regarding the case above, the four directors and executives of the company, at the time of the offense, submitted false evidence and information to the competent official of the SEC. They submitted a false report from the independent financial advisor to deceive the SEC about the true value of the hotel as recorded in the accounts. Furthermore, it was found that they fabricated the accounts to mislead the company's auditor into believing that the company had fully received payment for the condominium units from the purchasing company, so that the auditor would not question the recording of the transaction in the accounts.
| 198/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 575 | 20/09/2024 | Mr. Nontawat Dhanasuwiwath | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 83 of the Penal Code / SEC Act | During 2020, four directors and executives of Nusasiri Public Company Limited (“NUSA”), namely (1) Mrs. Siriya Thepcharoen, (2) Mr. Visanu Thepcharoen, (3) Mr. Sompijit Chaichanajarak, (4) Mr. Nontawat Dhanasuwiwath, colluded to purchase Panacee Grand Hotel Roemerbad (Panacee) in Germany at a significantly higher price than the appraised price based on the market approach. They also colluded to act dishonestly in selling NUSA condominium units in Bangkok at a price lower than the appraised price and transferring funds out of NUSA into personal accounts and those of close associates for their own benefits or others’, consequently causing damage to NUSA. In so doing, (5) Ms. Varinborn Chantarojvanich, the seller of Panacee, and (6) Mrs. Chomsuda Rungruangnavarat, an authorized director of the company purchasing the NUSA condominium units, assisted persons under (1) – (4) in committing the offenses. The SEC’s findings revealed that the deposit for the purchase of the hotel above that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their close associates benefited from the sale money of the hotel.
In addition, during the process of clarification to the SEC regarding the case above, the four directors and executives of the company, at the time of the offense, submitted false evidence and information to the competent official of the SEC. They submitted a false report from the independent financial advisor to deceive the SEC about the true value of the hotel as recorded in the accounts. Furthermore, it was found that they fabricated the accounts to mislead the company's auditor into believing that the company had fully received payment for the condominium units from the purchasing company, so that the auditor would not question the recording of the transaction in the accounts. | 198/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 576 | 20/09/2024 | Ms. Varinborn Chantarojvanich | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 86 of the Penal Code / SEC Act | During 2020, four directors and executives of Nusasiri Public Company Limited (“NUSA”), namely (1) Mrs. Siriya Thepcharoen, (2) Mr. Visanu Thepcharoen, (3) Mr. Sompijit Chaichanajarak, (4) Mr. Nontawat Dhanasuwiwath, colluded to purchase Panacee Grand Hotel Roemerbad (Panacee) in Germany at a significantly higher price than the appraised price based on the market approach. They also colluded to act dishonestly in selling NUSA condominium units in Bangkok at a price lower than the appraised price and transferring funds out of NUSA into personal accounts and those of close associates for their own benefits or others’, consequently causing damage to NUSA. In so doing, (5) Ms. Varinborn Chantarojvanich, the seller of Panacee, and (6) Mrs. Chomsuda Rungruangnavarat, an authorized director of the company purchasing the NUSA condominium units, assisted persons under (1) – (4) in committing the offenses. The SEC’s findings revealed that the deposit for the purchase of the hotel above that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their close associates benefited from the sale money of the hotel.
In addition, during the process of clarification to the SEC regarding the case above, the four directors and executives of the company, at the time of the offense, submitted false evidence and information to the competent official of the SEC. They submitted a false report from the independent financial advisor to deceive the SEC about the true value of the hotel as recorded in the accounts. Furthermore, it was found that they fabricated the accounts to mislead the company's auditor into believing that the company had fully received payment for the condominium units from the purchasing company, so that the auditor would not question the recording of the transaction in the accounts.
| 198/2024 | Criminal Complaints | | |
| 577 | 20/09/2024 | Mrs. Chomsuda Rungruangnavarat | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 86 of the Penal Code / SEC Act | During 2020, four directors and executives of Nusasiri Public Company Limited (“NUSA”), namely (1) Mrs. Siriya Thepcharoen, (2) Mr. Visanu Thepcharoen, (3) Mr. Sompijit Chaichanajarak, (4) Mr. Nontawat Dhanasuwiwath, colluded to purchase Panacee Grand Hotel Roemerbad (Panacee) in Germany at a significantly higher price than the appraised price based on the market approach. They also colluded to act dishonestly in selling NUSA condominium units in Bangkok at a price lower than the appraised price and transferring funds out of NUSA into personal accounts and those of close associates for their own benefits or others’, consequently causing damage to NUSA. In so doing, (5) Ms. Varinborn Chantarojvanich, the seller of Panacee, and (6) Mrs. Chomsuda Rungruangnavarat, an authorized director of the company purchasing the NUSA condominium units, assisted persons under (1) – (4) in committing the offenses. The SEC’s findings revealed that the deposit for the purchase of the hotel above that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their close associates benefited from the sale money of the hotel.
In addition, during the process of clarification to the SEC regarding the case above, the four directors and executives of the company, at the time of the offense, submitted false evidence and information to the competent official of the SEC. They submitted a false report from the independent financial advisor to deceive the SEC about the true value of the hotel as recorded in the accounts. Furthermore, it was found that they fabricated the accounts to mislead the company's auditor into believing that the company had fully received payment for the condominium units from the purchasing company, so that the auditor would not question the recording of the transaction in the accounts. | 198/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 578 | 18/09/2024 | Stark Corporation Public Company Limited | 240 (the fifth amendment) / SEC Act | During 13 December 2022 to 30 January 2023, Stark Corporation Public Company Limited ("STARK") disclosed information through the SET Electronic Listed Companies Information Disclosure (ELCID) regarding the change in the use of proceeds from its capital fundraising by allocating 5.58 billion baht to a private placement and initiating a share repurchase project. However, at the time, the total proceeds from the capital fundraising through the private placement had already been fully utilized. Furthermore, STARK lacked retained earnings or sufficient liquidity to carry out the share repurchase project as disclosed. Such act was deemed a dissemination of false information or details that could materially mislead the public and investors about STARK's financial condition and business operation. | 197/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 579 | 18/09/2024 | Mr. Chanin Yensudchai | 240 (the fifth amendment) / SEC Act | Mr. Chanin Yensudchai (formerly chairman of the board of directors of Stark Corporation Public Company Limited ("STARK")) colluded with others in which STARK disclosed information through the SET Electronic Listed Companies Information Disclosure (ELCID) regarding the change in the use of proceeds from its capital fundraising by allocating 5.58 billion baht to a private placement and initiating a share repurchase project. However, at the time, the total proceeds from the capital fundraising through the private placement had already been fully utilized. Furthermore, STARK lacked retained earnings or sufficient liquidity to carry out the share repurchase project as disclosed. Such act was deemed a dissemination of false information or details that could materially mislead the public and investors about STARK's financial condition and business operation. | 197/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 580 | 18/09/2024 | Mr. Sathar Chantrasettalead | 240 (the fifth amendment) / SEC Act | Mr. Sathar Chantrasettalead (formerly board of directors, chief financial officer and company secretary of Stark Corporation Public Company Limited (“STARK”)) colluded with others in which STARK disclosed information through the SET Electronic Listed Companies Information Disclosure (ELCID) regarding the change in the use of proceeds from its capital fundraising by allocating 5.58 billion baht to a private placement and initiating a share repurchase project. However, at the time, the total proceeds from the capital fundraising through the private placement had already been fully utilized. Furthermore, STARK lacked retained earnings or sufficient liquidity to carry out the share repurchase project as disclosed. Such act was deemed a dissemination of false information or details that could materially mislead the public and investors about STARK’s financial condition and business operation. | 197/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 581 | 18/09/2024 | Mr. Vonnarat Tangkaravakoon | 240 (the fifth amendment) / SEC Act | Mr. Vonnarat Tangkaravakoon (formerly board of directors of Stark Corporation Public Company Limited ("STARK")) colluded with others in which STARK disclosed information through the SET Electronic Listed Companies Information Disclosure (ELCID) regarding the change in the use of proceeds from its capital fundraising by allocating 5.58 billion baht to a private placement and initiating a share repurchase project. However, at the time, the total proceeds from the capital fundraising through the private placement had already been fully utilized. Furthermore, STARK lacked retained earnings or sufficient liquidity to carry out the share repurchase project as disclosed. Such act was deemed a dissemination of false information or details that could materially mislead the public and investors about STARK's financial condition and business operation. | 197/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 582 | 18/09/2024 | Mr. Prakorn Makjumroen | 240 (the fifth amendment) / SEC Act | Mr. Prakorn Makjumroen (formerly board of directors and chief executive officer of Stark Corporation Public Company Limited ("STARK")) colluded with others in which STARK disclosed information through the SET Electronic Listed Companies Information Disclosure (ELCID) regarding the change in the use of proceeds from its capital fundraising by allocating 5.58 billion baht to a private placement and initiating a share repurchase project. However, at the time, the total proceeds from the capital fundraising through the private placement had already been fully utilized. Furthermore, STARK lacked retained earnings or sufficient liquidity to carry out the share repurchase project as disclosed. Such act was deemed a dissemination of false information or details that could materially mislead the public and investors about STARK's financial condition and business operation. | 197/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 583 | 06/09/2024 | CoinEx | 26 / DAB Act | CoinEx and Mr. Puttipong Nijaroen together established a digital asset trading platform in Thailand. CoinEx provides digital asset trading services to customers with a 0.16% transaction fee to solicits and advertises CoinEx’s services to customers in Thailand. Mr. Puttipong Nijaroen, claiming that he is a partner of CoinEx Thailand, performed a guest speaker at Thailand Crypto Expo 2022 exhibited at Bitec Bangna. Mr. Puttipong was also an administrator in Telegram group chat. Moreover, Mr. Puttipong as a partner of CoinEx Thailand sent an e-mail to the officer of Securities and Exchanges Commission inquiring about the conditions, rules, and fees for applying a digital asset exchange license. The aforementioned actions by CoinEx and Mr. Puttipong are deemed to be conducting digital asset business without a license. | 180/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 584 | 06/09/2024 | Mr. Puttipong Nijaroen | 26 / DAB Act | CoinEx and Mr. Puttipong Nijaroen together established a digital asset trading platform in Thailand. CoinEx provides digital asset trading services to customers with a 0.16% transaction fee to solicits and advertises CoinEx’s services to customers in Thailand. Mr. Puttipong Nijaroen, claiming that he is a partner of CoinEx Thailand, performed a guest speaker at Thailand Crypto Expo 2022 exhibited at Bitec Bangna. Mr. Puttipong was also an administrator in Telegram group chat. Moreover, Mr. Puttipong as a partner of CoinEx Thailand sent an e-mail to the officer of Securities and Exchanges Commission inquiring about the conditions, rules, and fees for applying a digital asset exchange license. The aforementioned actions by CoinEx and Mr. Puttipong are deemed to be conducting digital asset business without a license. | 180/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 585 | 27/08/2024 | PHILLIP Securities (Thailand) Public Company Limited | 133 paragraph 2 / SEC Act | Between Feburary 23, 2021 and May 2, 2024, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, has applied technology to private fund management in analysis, selection and screening of securities trading signals, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 1,255,000.00 Baht according to 67/2567 | |
| 586 | 27/08/2024 | PHILLIP Securities (Thailand) Public Company Limited | 133 paragraph 2 / SEC Act | Between June 7, 2021 and November 21, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, assigned another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 988,000.00 Baht according to 67/2567 | |
| 587 | 27/08/2024 | PHILLIP Securities (Thailand) Public Company Limited | 133 paragraph 2 / SEC Act | Between August 27, 2019 and December 26, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, the process of preparing and updating private fund contracts is not prudent and concise, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 1,673,000.00 Baht according to 67/2567 | |
| 588 | 27/08/2024 | Mrs. Somruedee Thaiphanit | 300 in conjunction with 64 paragraph 2 / SEC Act | Mrs. Somruedee Thaiphanit, the authorized director who is responsible for the operation of WAS BUSINESS COMPANY LIMITED ("WAS") shall be liable for WAS’s failure to prepare and submit result of the crowdfunding debentures sale report to the SEC Office within the period specified in the notification of the SEC resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 20,240.00 Baht according to 66/2567 | |
| 589 | 27/08/2024 | WAS BUSINESS COMPANY LIMITED | 64 paragraph 2 / SEC Act | WAS BUSINESS COMPANY LIMITED ("WAS") failed to prepare and submit the result of the crowdfunding debentures sale report to the SEC Office within
25 October 2023. However, WAS prepared and submitted such document on 26 October 2023 which is which failed to prepare and submit such document within the period specified in the notification of the SEC.
| | Criminal Fine | imposing a fine of 20,240.00 Baht according to 65/2567 | |
| 590 | 27/08/2024 | Sasavat Sirison | 59 / SEC Act | Between October 8, 2019 and November 4, 2019. Mr. Sasavat Sirison’s wife, changed her Sahakol Equipment Public Company Limited (“SQ”) securities via her nominee's securities account but failed to prepare and disclose report on change in her securities to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mr. Sasavat later filed the report (Form 59-2) to the SEC Office on July 15 and 26, 2024 | | Criminal Fine | imposing a fine of 93,700.00 Baht according to 64/2567 | |
| 591 | 27/08/2024 | Mr. Pratchaya Charoenkitchaichana | 300 in conjunction with 33 / SEC Act | Mr. Pachaya Jarreonkitchaichana, an authorized director, who is responsible for the operation of Thai Technician Professional Company Limited, shall be liable for Thai Technician Professional Company Limited's offering foe sale newly issued securities in the category of convertible debentures without approval from the SEC Office which is breach of The Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 63/2567 | |
| 592 | 27/08/2024 | Thai Technician Professional Company Limited | 33 / SEC Act | Thai Technician Professional Company Limited offer to sell newly issued securities in the category of convertible bonds without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 62/2567 | |
| 593 | 27/08/2024 | Mr. Thiti Sihanatkathakul | 300 in conjunction with 56(3)(4) / SEC Act | Mr. Thiti Sihanatkathakul, Chief Executive Office who is responsible for the operation of Thai Nakarin Hospital Public Company Limited ("TNH"), shall be liable for TNH’s failure to prepare and submit the annual registration statement for the year/annual report for the year 2023 ("Form 56-1 One Report") within
the period as specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed.
| | Criminal Fine | imposing a fine of 30,300.00 Baht according to 61/2567 | |
| 594 | 27/08/2024 | Thai Nakarin Hospital Public Company Limited | 56(3)(4) / SEC Act | Thai Nakarin Hospital Public Company Limited ("TNH"), a listed company, failed to prepare and submit
the annual registration statement for the year/annual report for the year 2023 ("Form 56-1 One Report") within 31 October 2023. However, TNH prepared and submitted such document on 1 November 2023, which failed to prepare and submit Form 56-1 One Report
for the year 2023 within the period specified by the notification of the Capital Market Supervisory Board.
| | Criminal Fine | imposing a fine of 30,300.00 Baht according to 60/2567 | |
| 595 | 27/08/2024 | Mr. Titisak Simakulthorn | 300 in conjunction with 56(2) / SEC Act | Mr. Titisak Simakulthorn, who is responsible for the operation of Kulthorn Kirby Public Company Limited (“KKC”), shall be liable for KKC’s failure to prepare and submit the financial statement for the year 2022 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 46,200.00 Baht according to 59/2567 | |
| 596 | 27/08/2024 | Mr. Titisak Simakulthorn | 300 in conjunction with 56(4) / SEC Act | Mr. Titisak Simakulthorn, who is responsible for the operation of Kulthorn Kirby Public Company Limited (“KKC”), shall be liable for KKC’s failure to prepare and submit an Interim Management Discussion and Analysis for the year 2022 (MD&A) through the transmission system of the SEC office within the period specified in the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 46,200.00 Baht according to 59/2567 | |
| 597 | 27/08/2024 | Kulthorn Kirby Public Company Limited | 56(2) / SEC Act | Kulthorn Kirby Public Company Limited (“KKC”) had duties to prepare and submit a financial statement for year 2022 through the transmission system of the Stock Exchange of Thailand (“SET”) within February 28, 2023. However, KKC submitted the financial statement for year 2022 to the SET on March 2, 2023. later than the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 46,200.00 Baht according to 58/2567 | |
| 598 | 27/08/2024 | Kulthorn Kirby Public Company Limited | 56(4) / SEC Act | Kulthorn Kirby Public Company Limited (“KKC”) had duties to prepare and submit the Interim Management Discussion and Analysis for the year 2022 (“MD&A”) through the transmission system of the SEC office within February 28, 2023. However, KKC submitted the MD&A to the SEC office on March 2, 2023. later than the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 46,200.00 Baht according to 58/2567 | |
| 599 | 27/08/2024 | Mr. Nithiwat Maneesint | 94 / DAB Act | Mr. Nithiwat Maneesint, a director of Bitkub Online Company Limited (“Bitkub”), who is responsible for the operation of Bitkub, shall be liable for Bitkub’s failure to keep customers' digital assets in accordance with the notification of the SEC between August 27, 2023 and September 30, 2023. In this regard, Bitkub did not deposit customers' digital assets with digital asset depository service providers (3rd Party Custodian) and keep customers' digital assets in digital wallets connected to the internet when conducting transactions only (cold wallet) in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 660,000.00 Baht according to 7/2567 | |
| 600 | 27/08/2024 | Mr. Thaweesap Rawan | 94 / DAB Act | Mr. Thaweesap Rawan, a director of Bitkub Online Company Limited (“Bitkub”), who is responsible for the operation of Bitkub, shall be liable for Bitkub’s failure to keep customers' digital assets in accordance with the notification of the SEC between August 27, 2023 and September 30, 2023. In this regard, Bitkub did not deposit customers' digital assets with digital asset depository service providers (3rd Party Custodian) and keep customers' digital assets in digital wallets connected to the internet when conducting transactions only (cold wallet) in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 660,000.00 Baht according to 6/2567 | |
| 601 | 27/08/2024 | Bitkub Online Company Limited | 30 and 31 / DAB Act | Between August 27, 2023 and September 30, 2023, Bitkub Online Company Limited (“Bitkub”), a digital asset exchange, did not keep customers' digital assets in accordance with the notification of the SEC for 35 days. In this regard, Bitkub did not deposit customers' digital assets with digital asset depository service providers and keep them in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 825,000.00 Baht according to 5/2567 | |
| 602 | 07/08/2024 | Mr.Worawoot Ounjai | 242 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | Mr. Worawoot Ounjai as the Director and Major Shareholders of COL Public Company Limited ("COL"), knew or possessed an inside information material which might affect to positive change in the price of COL's share which was the fact that a subsidiary of a public company limited, shall make a tender offer to purchase all of COL’s shares at higher price than their market price at that time. Subsequently, Mr. Worawoot colluded with Miss Patcharapat Tongwaen to commit offense in using Miss Patcharapat’s securities trading account to purchase COL shares in such a way as to take advantage of other persons before COL disclosed the inside information to the public on 14 September 2020. | 157/2024 | Civil Sanction | 07/08/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 878,070.00 Baht
- a civil monetary penalty of 1,097,587.50 Baht
- a bar from serving as a director or executive in a securities issuing company between 07/08/2024 and 06/10/2025
- a bar from serving as a director or executive in a securities company between 07/08/2024 and 06/10/2025
- a reimbursement of investigative expenses in an amount of 143,215.50 Baht | |
| 603 | 07/08/2024 | Miss Patcharapat Tongwaen | 242 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | Miss Patcharapat Tongwaen colluded with Mr. Worawoot Ounjai who was the insider which knew or possessed an inside information material which might affect to positive change in the price of COL Public Company Limited ("COL")'s share which were the fact that a subsidiary of a public company limited, shall make a tender offer to purchase all of the COL's shares at higher price than their market price at that time. Subsequently, they commit offense in using Miss Patcharapat’s securities trading account to purchase COL shares in such a way as to take advantage of other persons before COL disclosed the inside information to the public on 14 September 2020. | 157/2024 | Civil Sanction | 07/08/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 878,070.00 Baht
- a civil monetary penalty of 1,097,587.50 Baht
- a bar from serving as a director or executive in a securities issuing company between 07/08/2024 and 06/08/2025
- a bar from serving as a director or executive in a securities company between 07/08/2024 and 06/08/2025
- a reimbursement of investigative expenses in an amount of 143,215.50 Baht | |
| 604 | 24/07/2024 | Mr. Yanyong Intarasongkarw | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During January – March 2017, Mr. Yanyong Intarasongkarw and 8 offenders, which are (1) Mr. Panurak Saengaram (2) Mr. Ekkavit Kamontaypa (3) Mr. Siwasit Sainumphung (4) Miss Kannida Tangkittrongcharoen (5) Mr. Pakkawan Wongopasi (6) Mr. Koravit Asawakul (7) Miss Kanchanarath Wongphan, and (8) Mrs. Maliwan Wongchinsri (as the case may be), colluded to manipulate the stock price of (1) Nation Multimedia Group Public Company Limited (NMG) during 30 January - 2 February 2017 and 21 - 24 February 2017 , (2) Electronics Industry Public Company Limited (EIC) during 14 - 15 March 2017 and on 31 March 2017, during 10.13.32 - 11.20.59 hours, and (3) Tong Hua Holding Public Company Limited (TH) on 24 March 2017, during 11.48.21 - 14.29.33 hours, by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 154/2024 | Civil Sanction | 24/07/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 605 | 24/07/2024 | Mr. Panurak Saengaram | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During January – March 2017, Mr. Panurak Saengaram and 8 offenders, which are (1) Mr. Yanyong Intarasongkarw (2) Mr. Ekkavit Kamontaypa (3) Mr. Siwasit Sainumphung (4) Miss Kannida Tangkittrongcharoen (5) Mr. Pakkawan Wongopasi (6) Mr. Koravit Asawakul (7) Miss Kanchanarath Wongphan, and (8) Mrs. Maliwan Wongchinsri (as the case may be), colluded to manipulate the stock price of (1) Nation Multimedia Group Public Company Limited (NMG) during 30 January - 2 February 2017 and 21 - 24 February 2017 , (2) Electronics Industry Public Company Limited (EIC) during 14 - 15 March 2017 and on 31 March 2017, during 10.13.32 - 11.20.59 hours, and (3) Tong Hua Holding Public Company Limited (TH) on 24 March 2017, during 11.48.21 - 14.29.33 hours, by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 154/2024 | Civil Sanction | 24/07/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 606 | 24/07/2024 | Mr. Ekkavit Kamontaypa | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During January – March 2017, Mr. Ekkavit Kamontaypa and 8 offenders, which are (1) Mr. Yanyong Intarasongkarw (2) Mr. Panurak Saengaram (3) Mr. Siwasit Sainumphung (4) Miss Kannida Tangkittrongcharoen (5) Mr. Pakkawan Wongopasi (6) Mr. Koravit Asawakul (7) Miss Kanchanarath Wongphan, and (8) Mrs. Maliwan Wongchinsri (as the case may be), colluded to manipulate the stock price of (1) Nation Multimedia Group Public Company Limited (NMG) during 30 January - 2 February 2017 and 21 - 24 February 2017 , (2) Electronics Industry Public Company Limited (EIC) during 14 - 15 March 2017 and on 31 March 2017, during 10.13.32 - 11.20.59 hours, and (3) Tong Hua Holding Public Company Limited (TH) on 24 March 2017, during 11.48.21 - 14.29.33 hours, by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 154/2024 | Civil Sanction | 24/07/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 607 | 24/07/2024 | Mr. Siwasit Sainumphung | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During January – February 2017, Mr. Siwasit Sainumphung and 7 offenders, which are (1) Mr. Yanyong Intarasongkarw (2) Mr. Panurak Saengaram (3) Mr. Ekkavit Kamontaypa (4) Miss Kannida Tangkittrongcharoen (5) Mr. Pakkawan Wongopasi (6) Mr. Koravit Asawakul, and (7) Miss Kanchanarath Wongphan (as the case may be), colluded to manipulate the stock price of Nation Multimedia Group Public Company Limited (NMG) during 30 January - 2 February 2017 and 21 - 24 February 2017, by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 154/2024 | Civil Sanction | 24/07/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 608 | 24/07/2024 | Miss Kannida Tangkittrongcharoen | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During January – March 2017, Miss Kannida Tangkittrongcharoen and 8 offenders, which are (1) Mr. Yanyong Intarasongkarw (2) Mr. Panurak Saengaram (3) Mr. Ekkavit Kamontaypa (4) Mr. Siwasit Sainumphung (5) Mr. Pakkawan Wongopasi (6) Mr. Koravit Asawakul (7) Miss Kanchanarath Wongphan, and (8) Mrs. Maliwan Wongchinsri (as the case may be), colluded to manipulate the stock price of (1) Nation Multimedia Group Public Company Limited (NMG) during 30 January - 2 February 2017 and 21 - 24 February 2017 , (2) Electronics Industry Public Company Limited (EIC) during 14 - 15 March 2017 and on 31 March 2017, during 10.13.32 - 11.20.59 hours, and (3) Tong Hua Holding Public Company Limited (TH) on 24 March 2017, during 11.48.21 - 14.29.33 hours, by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 154/2024 | Civil Sanction | 24/07/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 609 | 24/07/2024 | Mr. Pakkawan Wongopasi | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During January – March 2017, Mr. Pakkawan Wongopasi and 8 offenders, which are (1) Mr. Yanyong Intarasongkarw (2) Mr. Panurak Saengaram (3) Mr. Ekkavit Kamontaypa (4) Mr. Siwasit Sainumphung (5) Miss Kannida Tangkittrongcharoen (6) Mr. Koravit Asawakul (7) Miss Kanchanarath Wongphan, and (8) Mrs. Maliwan Wongchinsri (as the case may be), colluded to manipulate the stock price of (1) Nation Multimedia Group Public Company Limited (NMG) during 30 January - 2 February 2017 and 21 - 24 February 2017 , (2) Electronics Industry Public Company Limited (EIC) during 14 - 15 March 2017 and on 31 March 2017, during 10.13.32 - 11.20.59 hours, and (3) Tong Hua Holding Public Company Limited (TH) on 24 March 2017, during 11.48.21 - 14.29.33 hours, by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 154/2024 | Civil Sanction | 24/07/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 610 | 24/07/2024 | Mr. Koravit Asawakul | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 30 January - 2 February 2017, Mr. Koravit Asawakul and 7 offenders, which are (1) Mr. Yanyong Intarasongkarw (2) Mr. Panurak Saengaram (3) Mr. Ekkavit Kamontaypa (4) Mr. Siwasit Sainumphung (5) Miss Kannida Tangkittrongcharoen (6) Mr. Pakkawan Wongopasi, and (7) Miss Kanchanarath Wongphan, colluded to manipulate the stock price of Nation Multimedia Group Public Company Limited (NMG) , by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 154/2024 | Civil Sanction | 24/07/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 611 | 24/07/2024 | Miss Kanchanarath Wongphan | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During January – March 2017, Miss Kanchanarath Wongphan and 8 offenders, which are (1) Mr. Yanyong Intarasongkarw (2) Mr. Panurak Saengaram (3) Mr. Ekkavit Kamontaypa (4) Mr. Siwasit Sainumphung (5) Miss Kannida Tangkittrongcharoen (6) Mr. Pakkawan Wongopasi (7) Mr. Koravit Asawakul, and (8) Mrs. Maliwan Wongchinsri (as the case may be), colluded to manipulate the stock price of (1) Nation Multimedia Group Public Company Limited (NMG) during 30 January - 2 February 2017 and 21 - 24 February 2017 , (2) Electronics Industry Public Company Limited (EIC) during 14 - 15 March 2017 and on 31 March 2017, during 10.13.32 - 11.20.59 hours, and (3) Tong Hua Holding Public Company Limited (TH) on 24 March 2017, during 11.48.21 - 14.29.33 hours, by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 154/2024 | Civil Sanction | 24/07/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 612 | 24/07/2024 | Mrs. Maliwan Wongchinsri | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During March 2017, Mrs. Maliwan Wongchinsri and 6 offenders, which are (1) Mr. Yanyong Intarasongkarw (2) Mr. Panurak Saengaram (3) Mr. Ekkavit Kamontaypa (4) Miss Kannida Tangkittrongcharoen (5) Mr. Pakkawan Wongopasi, and (6) Miss Kanchanarath Wongphan, colluded to manipulate the stock price of Electronics Industry Public Company Limited (EIC) during 14 - 15 March 2017 and on 31 March 2017, during 10.13.32 - 11.20.59 hours, by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 154/2024 | Civil Sanction | 24/07/2024 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 613 | 23/07/2024 | Mr. Chanachai Joonjiraporn | 283 / SEC Act | Mr. Chanachai Joonjiraporn, a former Chief Executive Officer, who is responsible for the operation of Beyond Securities Public Company Limited ("Beyond") failed to order or act duty resulting in Beyond’s engagement in any other business which is not a licensed securities business without permission from the Capital Market Supervisory Boards approval which violated Section 98(8) of the Securities and Exchange Act B.E. 2535 amended by the Securities and Exchange Act (No. 5) B.E. 2559. | | Criminal Fine | imposing a fine of 150,000.00 Baht according to 57/2567 | |
| 614 | 23/07/2024 | Mr. Chanachai Joonjiraporn | 283 / SEC Act | Mr. Chanachai Joonjiraporn, a former Chief Executive Officer, who is responsible for the operation of Beyond Securities Public Company Limited ("Beyond") failed to order or act resulting in Beyond’s failure to put in place sufficient and effective risk management system which violated Section 113 of the Securities and Exchange Act B.E. 2535 amended by the Securities and Exchange Act (No. 6) B.E. 2562. | | Criminal Fine | imposing a fine of 100,000.00 Baht according to 57/2567 | |
| 615 | 23/07/2024 | Phillip asset management Company Limited | 117 and 125(1) in conjunction with Section 90 of the Penal Code / SEC Act | June 1, 2023. Phillip asset management Company Limited a fund management company, failed to manage PHILLIP CASH MANAGEMENT OPEN END FUND ("PCASH") accordance with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board and failed to manage PCASH strictly in accordance with the approved mutual fund project and the commitment made with the unitholders concerning the Rules on maintaining portfolio duration. | | Criminal Fine | imposing a fine of 91,000.00 Baht according to 56/2567 | |
| 616 | 23/07/2024 | Mrs. Sirina Pavarolarvidya | 246 / SEC Act | Between March 29, 2018 and August 17, 2022, Mrs. Sirina Pavarolarvidya failed to report the acquisition or disposal of Boutique New City Public Company Limited (“BTNC”) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after her had acquired BTNC shares so that the acquisition or disposal of such shares caused her aggregate holding of BTNC shares held by herself, and persons under section 258 to reach or pass a multiple of five percent of total number of voting rights of the business. | | Criminal Fine | imposing a fine of 235,750.00 Baht according to 55/2567 | |
| 617 | 23/07/2024 | Mrs. Sirina Pavarolarvidya | 247 / SEC Act | Mrs. Sirina Pavarolarvidya failed to comply with rules specified by Securities and Exchange Commission on March 26, 2018, Mrs. Sirina Pavarolarvidya acquired shares of Boutique New City Public Company Limited (“BTNC”) shares held by herself, and person under section 258 resulting in her aggregate number of shares held by other person exceeded trigger point at 25 percent of the total voting rights of BTNC. Later Mrs. Sirina Pavarolarvidya reduces her shareholding below such trigger point, her then was exempted from the requirement to make a tender offer. | | Criminal Fine | imposing a fine of 763,500.00 Baht according to 55/2567 | |
| 618 | 23/07/2024 | SIRATARN Company Limited | 246 / SEC Act | Between May 15, 2019 and November 1, 2021, SIRATARN Company Limited (“SIRATARN”) failed to report the acquisition or disposal of Boutique New City Public Company Limited (“BTNC”) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after SIRATARN had acquired BTNC shares so that the acquisition or disposal of such shares caused SIRATARN aggregate holding of BTNC shares held by itself, and persons under section 258 to reach or pass a multiple of five percent of total number of voting rights of the business. | | Criminal Fine | imposing a fine of 309,300.00 Baht according to 54/2567 | |
| 619 | 23/07/2024 | SIRATARN Company Limited | 247 / SEC Act | SIRATARN Company Limited (“SIRATARN”) failed to comply with rules specified by Securities and Exchange Commission on October 21, 2021, SIRATARN acquired shares of Boutique New City Public Company Limited (“BTNC”) shares held by itself, and person under section 258 resulting in SIRATARN aggregate number of shares held by other persons exceeded trigger point at 50 percent of the total voting rights of BTNC. Later SIRATARN reduces its shareholding below such trigger point, it then was exempted from the requirement to make a tender offer. | | Criminal Fine | imposing a fine of 157,500.00 Baht according to 54/2567 | |
| 620 | 23/07/2024 | NEP Realty and Industry Public Company Limited | 56(1) / SEC Act | NEP Realty and Industry Public Company Limited (“NEP”) had duties to prepare and submit a financial statement for Q1/2023 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified in the notification which is within May 15, 2023. However, NEP submitted the financial statement for Q1/2023 to the SET on July 31, 2023 later than the period specified by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 91,200.00 Baht according to 53/2567 | |
| 621 | 23/07/2024 | NEP Realty and Industry Public Company Limited | 56(4) / SEC Act | NEP Realty and Industry Public Company Limited (“NEP”) had duties to prepare and submit the Interim Management Discussion and Analysis (“MD&A”) for Q1/2023 through the transmission system of the SEC office within the period specified in the notification which is within May 15, 2023. However, NEP submitted the MD&A for Q1/2023 to the SEC office on July 31, 2023 later than the period specified by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 91,200.00 Baht according to 53/2567 | |
| 622 | 23/07/2024 | Mr Panya Boonyapiwat | 300 in conjunction with 56(1) / SEC Act | Mr Panya Boonyapiwat, a former Chief executive officer for the operation of Dimet (Siam) Public Company Limited (“DIMET”) , shall be liable for DIMET’s failure to prepare and submit a financial statement for Q2 year 2020 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 72,600.00 Baht according to 52/2567 | |
| 623 | 23/07/2024 | Mr Panya Boonyapiwat | 300 in conjunction with 56(1) / SEC Act | Mr Panya Boonyapiwat, a former Chief executive officer for the operation of Dimet (Siam) Public Company Limited (“DIMET”) , shall be liable for DIMET’s failure to prepare and submit a financial statement for Q3 year 2020 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 64,800.00 Baht according to 52/2567 | |
| 624 | 23/07/2024 | Mr Panya Boonyapiwat | 300 in conjunction with 56(4) / SEC Act | Mr Panya Boonyapiwat, a former Chief executive officer for the operation of Dimet (Siam) Public Company Limited (“DIMET”) , shall be liable for DIMET’s failure to prepare and submit a financial statement for Q2 year 2020 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 64,800.00 Baht according to 52/2567 | |
| 625 | 23/07/2024 | Dimet (Siam) Public Company Limited | 56(1) / SEC Act | Dimet (Siam) Public Company Limited (“DIMET”), a listed company, had duties to prepare and submit a financial statement for Q2 year 2020 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 14, 2020. However, DIMET submitted the financial statement for Q2 year 2020 to the SET on March 31, 2020 later than the specified period. | | Criminal Fine | imposing a fine of 72,600.00 Baht according to 51/2567 | |
| 626 | 23/07/2024 | Dimet (Siam) Public Company Limited | 56(1) / SEC Act | Dimet (Siam) Public Company Limited (“DIMET”), a listed company, had duties to prepare and submit a financial statement for Q3/2020 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within MAY 15, 2020. However, DIMET submitted the financial statement for Q3 year 2020 to the SET on JUNE 17, 2020 later than the specified period. | | Criminal Fine | imposing a fine of 64,800.00 Baht according to 51/2567 | |
| 627 | 23/07/2024 | Dimet (Siam) Public Company Limited | 56(4) / SEC Act | Dimet (Siam) Public Company Limited (“DIMET”), a listed company, had duties to prepare and submit the interim management discussion and analysis) (“MD&A”) for Q1 year 2023 within 15 May 2023 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within MAY 15, 2020. However, DIMET submitted the MD&A for Q3 for 2020 to the SET on JUNE 17, 2020 later than the specified period. | | Criminal Fine | imposing a fine of 64,800.00 Baht according to 51/2567 | |
| 628 | 23/07/2024 | Mrs. PENPRAPA SIRISON | 242 (1) / SEC Act (the fifth amendment) | Mrs. PENPRAPA SIRISON | | Civil Sanction | 23/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 961,202.00 Baht
- a civil monetary penalty of 1,201,502.50 Baht
- a bar from serving as a director or executive in a securities issuing company between 23/07/2024 and 22/07/2025
- a bar from serving as a director or executive in a securities company between 23/07/2024 and 22/07/2025
- a reimbursement of investigative expenses in an amount of 260,714.50 Baht | |
| 629 | 23/07/2024 | Miss SATIDA SIRISON | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | Miss SATIDA SIRISON | | Civil Sanction | 23/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 23/07/2024 and 22/03/2025
- a bar from serving as a director or executive in a securities company between 23/07/2024 and 22/03/2025
- a reimbursement of investigative expenses in an amount of 260,714.00 Baht | |
| 630 | 23/07/2024 | Mr. SURAPOL OUNSUWAN | 242 (1) / SEC Act (the fifth amendment) | Mr. SURAPOL OUNSUWAN | | Civil Sanction | 23/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 9,954.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 23/07/2024 and 22/07/2025
- a bar from serving as a director or executive in a securities company between 23/07/2024 and 22/07/2025
- a reimbursement of investigative expenses in an amount of 260,714.00 Baht | |
| 631 | 19/07/2024 | Zipmex Company Limited | 40 / DAB Act | Zipmex disseminated or certified statements that were materially misleading in regarding the trading price of digital assets, in such manner that is likely to have an impact on the digital asset price or the decision to invest in digital assets. It was found that the information on the price and trading volume of Zipmex Token (ZMT) disclosed on Zipmex’s digital asset exchange website was inaccurately and inconsistently presented to investors, the general public and the SEC. For example, the website did not show the trading prices for coins that were traded at low prices or showed prices and trading volumes that is not actually occur during 2021 - 2022. Such information disclosure could mislead investors about the actual trading volumes or prices. | 152/2024 | Criminal Complaints | This case is in the process of prosecution. | |
| 632 | 19/07/2024 | Mr. Akalarp Yimwilai | 94 / DAB Act | Mr. Akalarp Yimwilai, the former director and Chief Executive Officer of Zipmex Company Limited ("Zipmex"), who is responsible for the operation of Zipmex, failed to order or act duty resulting in Zipmex disseminated or certified statements that were materially misleading in regarding the trading price of digital assets, in such manner that is likely to have an impact on the digital asset price or the decision to invest in digital assets, It was found that the information on the price and trading volume of Zipmex Token (ZMT) disclosed on Zipmex's digital asset exchange website was inaccurately and inconsistently presented to investors, the general public and the SEC. For example, the website did not show the trading prices for coins that were traded at low prices or showed prices and trading volumes that is not actually occur during 2021 - 2022. Such information disclosure could mislead investors about the actual trading volumes or prices. | 152/2024 | Criminal Complaints | This case is in the process of prosecution. | |
| 633 | 12/07/2024 | Mr. Somphote Ahunai | 281/2 paragraph 2 in conjunction with 89/7 89/24 311 and 313 in conjunction with section 83 of the Penal Code / SEC Act | During 2013 - 2015, (1) Mr. Somphote Ahunai and (2) Mr. Amorn Sapthaweekul, directors and executives of Energy Absolute Public Company Limited ("EA") and subsidiaries in which EA is a 99.99% shareholder (namely EA Solar Nakornsawan Company Limited (ESN) and EA Solar Lampang Company Limited (ESL)), jointly failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to EA and two subsidiaries or deprived EA and two subsidiaries of its rightful benefit. In this regard, they jointly proceeded to purchase equipment from abroad and/or purchase software programs using in EA's solar power plant construction project through the aforementioned two subsidiaries. The acts of 2 persons mentioned above were cooperated by (3) Mr. Phornlert Techarattanopas who was affiliated with the companies involved in the transactions for purchasing such equipment and software programs. Accordingly, all 3 persons received benefits totaling 3,465.64 million baht. | 143/2024 | Criminal Complaints | This case is in the process of the inquiry official. | |
| 634 | 12/07/2024 | Mr. Amorn Sapthaweekul | 281/2 paragraph 2 in conjunction with 89/7 89/24 311 and 313 in conjunction with section 83 of the Penal Code / SEC Act | During 2013 - 2015, (1) Mr. Somphote Ahunai and (2) Mr. Amorn Sapthaweekul, directors and executives of Energy Absolute Public Company Limited ("EA") and subsidiaries in which EA is a 99.99% shareholder (namely EA Solar Nakornsawan Company Limited (ESN) and EA Solar Lampang Company Limited (ESL)), jointly failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to EA and two subsidiaries or deprived EA and two subsidiaries of its rightful benefit. In this regard, they jointly proceeded to purchase equipment from abroad and/or purchase software programs using in EA's solar power plant construction project through the aforementioned two subsidiaries. The acts of 2 persons mentioned above were cooperated by (3) Mr. Phornlert Techarattanopas who was affiliated with the companies involved in the transactions for purchasing such equipment and software programs. Accordingly, all 3 persons received benefits totaling 3,465.64 million baht. | 143/2024 | Criminal Complaints | This case is in the process of the inquiry official. | |
| 635 | 12/07/2024 | Mr. Phornlert Techarattanopas | 281/2 paragraph 2 in conjunction with 89/7 89/24 311 and 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2013 - 2015, (1) Mr. Somphote Ahunai and (2) Mr. Amorn Sapthaweekul, directors and executives of Energy Absolute Public Company Limited ("EA") and subsidiaries in which EA is a 99.99% shareholder (namely EA Solar Nakornsawan Company Limited (ESN) and EA Solar Lampang Company Limited (ESL)), jointly failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to EA and two subsidiaries or deprived EA and two subsidiaries of its rightful benefit. In this regard, they jointly proceeded to purchase equipment from abroad and/or purchase software programs using in EA's solar power plant construction project through the aforementioned two subsidiaries. The acts of 2 persons mentioned above were cooperated by (3) Mr. Phornlert Techarattanopas who was affiliated with the companies involved in the transactions for purchasing such equipment and software programs. Accordingly, all 3 persons received benefits totaling 3,465.64 million baht. | 143/2024 | Criminal Complaints | This case is in the process of the inquiry official. | |
| 636 | 09/07/2024 | Miss Anchada Teerapongvisanuporn | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Miss Anchada Teerapongvisanuporn colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 09/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 63,324.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 09/07/2024 and 08/09/2025
- a bar from serving as a director or executive in a securities issuing company between 09/07/2024 and 08/11/2026
- a reimbursement of investigative expenses in an amount of 21,432.00 Baht | |
| 637 | 09/07/2024 | Mrs. Patcharavalai Jayapani | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Mrs. Patcharavalai Jayapani colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 09/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 292,446.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 09/07/2024 and 08/09/2025
- a bar from serving as a director or executive in a securities issuing company between 09/07/2024 and 08/11/2026
- a reimbursement of investigative expenses in an amount of 21,432.00 Baht | |
| 638 | 09/07/2024 | Miss Montika Mongkolnavin | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Miss Montika Mongkolnavin colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 09/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 385,340.00 Baht
- a civil monetary penalty of 578,010.00 Baht
- a suspension of securities and derivatives trading between 09/07/2024 and 08/09/2025
- a bar from serving as a director or executive in a securities issuing company between 09/07/2024 and 08/11/2026
- a reimbursement of investigative expenses in an amount of 21,432.00 Baht | |
| 639 | 09/07/2024 | Miss Phantipa Netiphat | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Miss Phantipa Netiphat colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 09/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,896,736.00 Baht
- a civil monetary penalty of 2,845,104.00 Baht
- a suspension of securities and derivatives trading between 09/07/2024 and 08/09/2025
- a bar from serving as a director or executive in a securities issuing company between 09/07/2024 and 08/11/2026
- a reimbursement of investigative expenses in an amount of 21,432.00 Baht | |
| 640 | 09/07/2024 | Mr. Pichet Permsubhirunya | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Mr. Pichet Permsubhirunya colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 09/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 82,700.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 09/07/2024 and 08/09/2025
- a bar from serving as a director or executive in a securities issuing company between 09/07/2024 and 08/11/2026
- a reimbursement of investigative expenses in an amount of 21,432.00 Baht | |
| 641 | 09/07/2024 | Miss Titanun Runruengjai | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Miss Titanun Runruengjai colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 09/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,402,330.00 Baht
- a civil monetary penalty of 2,103,495.00 Baht
- a suspension of securities and derivatives trading between 09/07/2024 and 08/09/2025
- a bar from serving as a director or executive in a securities issuing company between 09/07/2024 and 08/11/2026
- a reimbursement of investigative expenses in an amount of 21,432.00 Baht | |
| 642 | 09/07/2024 | Mr. Narut Wiwattanakrai | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Mr. Narut Wiwattanakrai colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 09/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 2,344,060.00 Baht
- a civil monetary penalty of 3,516,090.00 Baht
- a suspension of securities and derivatives trading between 09/07/2024 and 08/03/2026
- a bar from serving as a director or executive in a securities issuing company between 09/07/2024 and 08/11/2027
- a reimbursement of investigative expenses in an amount of 21,432.00 Baht | |
| 643 | 09/07/2024 | Mr. Supasit Pokinjaruras | 244/3 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Mr. Supasit Pokinjaruras colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 09/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 09/07/2024 and 08/03/2026
- a bar from serving as a director or executive in a securities issuing company between 09/07/2024 and 08/11/2027
- a reimbursement of investigative expenses in an amount of 21,432.00 Baht | |
| 644 | 05/07/2024 | Mrs. Sompong Srisupornwong | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During the period of 25 July 2017 to 17 January 2018 Mrs. Sompong Srisupornwong colluded with others to manipulate the stock price of Principal Capital PCL (PRINC) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | 05/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,244,768.00 Baht
- a civil monetary penalty of 1,867,152.00 Baht
- a reimbursement of investigative expenses in an amount of 21,093.00 Baht | |
| 645 | 04/07/2024 | Mr. Satit Viddayakorn | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During the period of 25 July 2017 to 17 January 2018 and during 14 Febuary 2018 (pre-close) to 27 June 2018 Mr. Satit Viddayakorn colluded with others to manipulate the stock price of Principal Capital PCL (PRINC) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 125/2024 | Civil Sanction | 04/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a suspension of securities and derivatives trading between 04/07/2024 and 18/04/2027
- a bar from serving as a director or executive in a securities issuing company between 04/07/2024 and 03/02/2030
- a reimbursement of investigative expenses in an amount of 52,733.00 Baht | |
| 646 | 04/07/2024 | Mr. Sirivat Voravetvuthikun | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During the period of 25 July 2017 to 17 January 2018 and during 14 Febuary 2018 (pre-close) to 27 June 2018 Mr. Sirivat Voravetvuthikun colluded with others to manipulate the stock price of Principal Capital PCL (PRINC) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 125/2024 | Civil Sanction | 04/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a suspension of securities and derivatives trading between 04/07/2024 and 03/11/2026
- a bar from serving as a director or executive in a securities issuing company between 04/07/2024 and 03/03/2029
- a reimbursement of investigative expenses in an amount of 52,733.00 Baht | |
| 647 | 04/07/2024 | Miss Pallapa Viddayakorn | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During the period of 25 July 2017 to 17 January 2018 and during 14 Febuary 2018 (pre-close) to 27 June 2018 Miss Pallapa Viddayakorn colluded with others to manipulate the stock price of Principal Capital PCL (PRINC) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 125/2024 | Civil Sanction | 04/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 114,877,226.00 Baht
- a civil monetary penalty of 172,315,839.00 Baht
- a suspension of securities and derivatives trading between 04/07/2024 and 18/07/2027
- a bar from serving as a director or executive in a securities issuing company between 04/07/2024 and 03/08/2030
- a reimbursement of investigative expenses in an amount of 52,732.00 Baht | |
| 648 | 04/07/2024 | Mrs. Payao Chalacheebh | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During the period of 25 July 2017 to 17 January 2018 and during 14 Febuary 2018 (pre-close) to 27 June 2018 Mrs. Payao Chalacheebh colluded with others to manipulate the stock price of Principal Capital PCL (PRINC) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 125/2024 | Civil Sanction | 04/07/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 32,592,917.00 Baht
- a civil monetary penalty of 48,889,375.50 Baht
- a suspension of securities and derivatives trading between 04/07/2024 and 03/05/2027
- a bar from serving as a director or executive in a securities issuing company between 04/07/2024 and 03/03/2030
- a reimbursement of investigative expenses in an amount of 52,732.50 Baht | |
| 649 | 28/06/2024 | MR.CHALERMKIAT DEESAOWAPAK | 90 / SEC Act | MR.CHALERMKIAT DEESAOWAPAK operated securities businesses of investment advisory by giving advice in the normal course of business to the public concerning the value of securities or the suitability of investing in those securities of a person or group of persons to acquire benefit from securities in consideration of a fee or other remuneration, which was committed through online platforms such as Facebook without obtaining license from the SEC by in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 130/2024 | Criminal Complaints | This case is in the process of the inquiry official. | |
| 650 | 25/06/2024 | Kasikornbank Public Company Limited | 116 / SEC Act | Between August 30, 2021 and July 18, 2023 Kasikornbank Public Company Limited (“KBANK”) as a securities underwriter, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. | | Criminal Fine | imposing a fine of 1,144,500.00 Baht according to 50/2567 | |
| 651 | 25/06/2024 | Mr. Boon Choon Kiat | 300 in conjunction with 56(4) / SEC Act | Mr. Boon Choon Kiat, managing director, who is responsible for the operation of Chewathai Public Company Limited (“CHEWA”), shall be liable for CHEWA’s failure to prepare and submit the key financial ratio for year 2022 in compliance with the Notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 49/2567 | |
| 652 | 25/06/2024 | Chewathai Public Company Limited | 56(4) / SEC Act | Chewathai Public Company Limited (“CHEWA”) had duty to prepare and submit the key financial ratio for year 2022 in compliance with the Notification of the Capital Market Supervisory Board within 28 Febraury 2023. However, the inaccurate key financial ratio for Q1 year 2022 was submitted on 28 February 2023, and the accurate key financial ratio for year 2022 was later submitted on 2 March 2023. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 48/2567 | |
| 653 | 25/06/2024 | Mr. Kusol Sangkananth | 300 in conjunction with 56(1) / SEC Act | Mr. Kusol Sangkananth, a former Chief Executive Office who is responsible for the operation of
Max Metal Corporation Public Company Limited (“MAX”), did not order or act in accordance with the duties of responsible person regarding MAX failure to prepare and submit the the reviewed financial statements for Q1/2023 within the period as specified by the notification of the Capital Market Supervisory Board.
| | Criminal Fine | imposing a fine of 80,400.00 Baht according to 47/2567 | |
| 654 | 25/06/2024 | Mr. Kusol Sangkananth | 300 in conjunction with 56(1) / SEC Act | Mr. Kusol Sangkananth, a former Chief Executive Office who is responsible for the operation of Max Metal Corporation Public Company Limited ("MAX"), did not order or act in accordance with the duties of responsible person regarding MAX failure to prepare and submit the the reviewed financial statements for Q2/2023 within the period as specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 52,800.00 Baht according to 47/2567 | |
| 655 | 25/06/2024 | Max Metal Corporation Public Company Limited | 56(1) / SEC Act | Max Metal Corporation Public Company Limited ("MAX"), failed to prepare and submit the reviewed financial statements for Q1/2023 within 15 May 2023. However, MAX prepared and submitted such document on 30 October 2023, which failed to prepare and submit the reviewed financial statements for Q1/2023 within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 120,600.00 Baht according to 46/2567 | |
| 656 | 25/06/2024 | Max Metal Corporation Public Company Limited | 56(1) / SEC Act | Max Metal Corporation Public Company Limited ("MAX"), failed to prepare and submit the reviewed financial statements for Q2/2023 within 15 August 2023 However, MAX prepared and submitted such document on 30 October 2023, which failed to prepare and submit the reviewed financial statements for Q2/2023 within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 79,200.00 Baht according to 46/2567 | |
| 657 | 25/06/2024 | Mr. Chakkaphant Manutsathit | 300 in conjunction with 56(4) / SEC Act | Mr. Chakkaphant Manutsathit, chief executive officer, who is responsible for the operation of Team Precision Public Company Limited (“TEAM”), shall be liable for TEAM’s failure to prepare and submit the interim management discussion and analysis) (“MD&A”) for Q1 year 2023 within the period specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 87,000.00 Baht according to 45/2567 | |
| 658 | 25/06/2024 | Team Precision Public Company Limited | 56(4) / SEC Act | Team Precision Public Company Limited (“TEAM”) had duty to prepare and submit the interim management discussion and analysis) (“MD&A”) for Q1 year 2023 within 15 May 2023 which is the period specified by the Notification of the Capital Market Supervisory Board. However, the interim management discussion and analysis) (“MD&A”) for Q1 year 2023 was later submitted on 25 May 2023. | | Criminal Fine | imposing a fine of 87,000.00 Baht according to 44/2567 | |
| 659 | 25/06/2024 | Mr. Wutthiphum Jurangkool | 300 in conjunction with 56(4) / SEC Act | Mr. Wutthiphum Jurangkool, Chief Executive Officer who is responsible for the operation of Nok Airlines Public Company Limited ("NOK") shall be liable for NOK's failure to prepare and submit the first half of the fiscal year 2023 together with an interim management discussion and analysis within the period specified by the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 133,200.00 Baht according to 43/2567 | |
| 660 | 25/06/2024 | Nok Airlines Public Company Limited | 56(4) / SEC Act | Nok Airlines Public Company Limited ("NOK"), a securities issuer, had a duty to prepare and submit the first half of the fiscal year 2023 together with an interim management discussion and analysis within 15 August 2023. However, NOK prepared and submitted such document on 27 February 2024, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 133,200.00 Baht according to 42/2567 | |
| 661 | 21/06/2024 | Renaissance Fund Management LTD. | 106 / SEC Act | | | Criminal Complaints | | |
| 662 | 11/06/2024 | Group Lease Public Company Limited | 56(1) / SEC Act | | | Criminal Complaints | | |
| 663 | 11/06/2024 | Mr. Riki Ishigami | 300 in conjunction with 56(1) / SEC Act | | | Criminal Complaints | | |
| 664 | 11/06/2024 | Mr. Nuttapong Hirunyasiri | 119 / DV Act | Mr. Nuttapong Hirunyasiri, a Chief Executive Officer of a derivatives broker and a derivatives dealer called MTS Capital Company Limited ("MTS"), has been responsible for the operation of MTS. His failure to perform the required duty of his position resulted in the offence committed by MTS concerning the case that between January 11, 2021 and January 2, 2023, MTS failed to comply with the rules as specified in the notification of the Capital Market Supervisory Board which violated Section 18 of the Derivatives Act B.E. 2546. In this regard, MTS provided a system for considering the opening of futures trading accounts and approving credit limits for customers, however, the system was not stringent enough to know the identity of the clients, their financial potential, and the clients' actual debt repayment ability. This could lead to the risk of granting credit limit beyond the clients' actual financial potential. | | Administrative Fine | imposing an administrative fine of 150,000.00 Baht according to the Settlement Committee's order No. Administrative Fine Panel ส 002/2567 | |
| 665 | 11/06/2024 | Mr. Nuttapong Hirunyasiri | 119 / DV Act | Mr. Nuttapong Hirunyasiri, a Chief Executive Officer of a derivatives broker and a derivatives dealer called MTS Capital Company Limited ("MTS"), has been responsible for the operation of MTS. His failure to perform the required duty of his position resulted in the offence committed by MTS concerning the case that between January 11, 2021 and January 2, 2023, MTS failed to comply with the rules as specified in the notification of the Capital Market Supervisory Board which violated Section 18 of the Derivatives Act B.E. 2546. In this regard, MTS failed to provide sufficiently efficient systems for derivatives (block trade) and risk management. | | Administrative Fine | imposing an administrative fine of 150,000.00 Baht according to the Settlement Committee's order No. Administrative Fine Panel ส 002/2567 | |
| 666 | 11/06/2024 | MTS Capital Company Limited | 18 / DV Act | Between January 11, 2021 and January 2, 2023, MTS Capital Company Limited ("MTS"), a derivatives broker and a derivatives dealer, failed to comply with the rules as specified in the notification of the Capital Market Supervisory Board which violated Section 18 of the Derivatives Act B.E. 2546. In this regard, MTS provided a system for considering the opening of futures trading accounts and approving credit limits for customers, however, the system was not stringent enough to know the identity of the clients, their financial potential, and the clients' actual debt repayment ability. This could lead to the risk of granting credit limit beyond the clients' actual financial potential. | | Administrative Fine | imposing an administrative fine of 1,594,000.00 Baht according to the Settlement Committee's order No. Administrative Fine Panel ส 001/2567 | |
| 667 | 11/06/2024 | MTS Capital Company Limited | 18 / DV Act | Between January 11, 2021 and January 2, 2023, MTS Capital Company Limited ("MTS"), a derivatives broker and a derivatives dealer, failed to comply with the rules as specified in the notification of the Capital Market Supervisory Board which violated Section 18 of the Derivatives Act B.E. 2546. In this regard, MTS failed to provide sufficiently efficient systems for derivatives (block trade) and risk management. | | Administrative Fine | imposing an administrative fine of 1,594,000.00 Baht according to the Settlement Committee's order No. Administrative Fine Panel ส 001/2567 | |
| 668 | 10/06/2024 | Family Corporation Company Limited | 33 / SEC Act | Between August 11, 2017 and August 5, 2020 Family Corporation Company Limited offered for sale newly issued securities in the category of promissory note without the approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 669 | 10/06/2024 | Mr. Somchai Pruangviriya | 300 in conjunction with 33 / SEC Act | Mr. Somchai Pruangviriya, Authorized director of Family Corporation Company Limited ("Family"), shall be liable for Family’s offering for sale newly issued securities in the category of debentures between August 11, 2017 and August 5, 2020 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 670 | 06/06/2024 | Mr. Suppharoek Kwaennoi | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During the period of 27 March 2018 to 28 May 2018, Mr. Suppharoek Kwaennoi rendered assistance or facilitation for others to manipulate the stock price of Bangkok Sheet Metal Public Company Limited by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 075/2024 | Civil Sanction | 06/06/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 06/06/2024 and 05/01/2025
- a bar from serving as a director or executive in a securities issuing company between 06/06/2024 and 05/08/2025
- a bar from serving as a director or executive in a securities company between 06/06/2024 and 05/08/2025
- a reimbursement of investigative expenses in an amount of 89,333.00 Baht | |
| 671 | 13/05/2024 | Mr. Anurak Thienthong | 246 / SEC Act | During 24 October 2018 to 30 March 2021, Mr. Anurak Thienthong failed to report his acquisition and disposition of Thai Enger Holding Public Company Limited (“TIGER”) shares held in his securities account and private funds of 6 people to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board when his aggregated holding of TIGER shares reached or passed five percent of the total number of voting rights of TIGER. Mr. Anurak later filed the accurate reports (Form 246-2) to the SEC Office on 10 August 2022. | | Criminal Fine | imposing a fine of 199,100.00 Baht according to 41/2567 | |
| 672 | 13/05/2024 | Jitta Wealth Asset Mannagement C | 133 / SEC Act | Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, there is not documentary evidence of the fund manager’s performance to prove that the fund manager’s responsibilities for overseeing and managing the fund as required, This is not in accordance with the work system that notifies the office before requesting to start business.
| | Criminal Fine | imposing a fine of 527,000.00 Baht according to 40/2567 | |
| 673 | 13/05/2024 | Jitta Wealth Asset Mannagement C | 133 / SEC Act | Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, it has assigned person who are not person in the capital markets business to submit trading order and not an employee of Jitta Wealth Asset Mannagement Co.,Ltd, there may be a risk that person who are not under the company know about the information and use it for their own benefit or others. | | Criminal Fine | imposing a fine of 527,000.00 Baht according to 40/2567 | |
| 674 | 13/05/2024 | LIBERATOR SECURITIES COMPANY LIMITED, | 113 / SEC Act | Between November 18, 2022 to November 14, 2023, LIBERATOR SECURITIES COMPANY LIMITED, a company licensed Securities Brokerage, failed to comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by managing an advertisement about commission-free trading services without end period that cause investors or customers misunderstand. | | Criminal Fine | imposing a fine of 451,000.00 Baht according to 39/2567 | |
| 675 | 13/05/2024 | UOB Asset Mannagement [Thailand] Co.,Ltd, | 117 and 125(1) in conjunction with Section 90 of the Penal Code / SEC Act | Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and control the system concentration limit not concise and does not manage the mutual fund management program as approved. | | Criminal Fine | imposing a fine of 902,000.00 Baht according to 38/2567 | |
| 676 | 13/05/2024 | KWI Life Insurance Public Company Limited | 113 / SEC Act | KWI Life Insurance Public Company Limited (“KWI”)
a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market Supervisory Board concerning the Rules on Personnel in the Capital Market Business to be a temporary highest responsible person during the process of appointing the highest level responsible person in the compliance unit (Head of Compliance) However, KWI appoint the highest level responsible person in the compliance unit on 5 September 2023.
| | Criminal Fine | imposing a fine of 88,000.00 Baht according to 37/2567 | |
| 677 | 13/05/2024 | KWI Life Insurance Public Company Limited | 113 / SEC Act | KWI Life Insurance Public Company Limited (“KWI”)
a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within 7 business day as from the occurrence of such circumstance. However, KWI reported the discontinuation of such a person on 3 October 2023.
| | Criminal Fine | imposing a fine of 107,000.00 Baht according to 37/2567 | |
| 678 | 13/05/2024 | KWI Life Insurance Public Company Limited | 113 / SEC Act | KWI Life Insurance Public Company Limited (“KWI”)
a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC Office through a system prepared on the website of the SEC Office within 7 business day as from the occurrence of such circumstance. However, KWI reported the discontinuation of such a person on 26 September 2023.
| | Criminal Fine | imposing a fine of 87,000.00 Baht according to 37/2567 | |
| 679 | 13/05/2024 | KWI Life Insurance Public Company Limited | 113 / SEC Act | KWI Life Insurance Public Company Limited (“KWI”) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems’ impact on the business operation of the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level Assessment form on 13 September 2023. | | Criminal Fine | imposing a fine of 67,000.00 Baht according to 37/2567 | |
| 680 | 13/05/2024 | Mr. Peerapong Jaroon-ek | 300 in conjunction with 81 / SEC Act | Mr. Peerapong Jaroon-ek, chief executive officer who is responsible for the operation of Origin Property Public Company Limited ("ORI") shall be liable for ORI’s failure to prepare and submit the result of the bonds sale report for institutional investors (II) within the period specified in the notification of the SEC resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 10,600.00 Baht according to 36/2567 | |
| 681 | 13/05/2024 | Origin Property Public Company Limited | 81 / SEC Act | Origin Property Public Company Limited ("ORI") failed to prepare and submit the result of the bonds sale report for institutional investors (II) to the SEC Office within 21 October 2022 which is the period specified in the notification of the SEC. However, the result of the bonds sale report for institutional investors (II) was later filed with the SEC Office on 26 October 2022 | | Criminal Fine | imposing a fine of 10,600.00 Baht according to 35/2567 | |
| 682 | 13/05/2024 | Mrs. Somruedee Chaimongkol | 300 in conjunction with 81 / SEC Act | Mrs. Somruedee Chaimongkol, Chief Executive Officer who is responsible for the operation of Banpu Public Company Limited (“BANPU”), shall be liable for BANPU failure to prepare and submit the result of the bond sale report to the SEC office within the period specified in the notification of the office of the Securities and Exchange Commission resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 251,400.00 Baht according to 34/2567 | |
| 683 | 13/05/2024 | Banpu Public Company Limited | 81 / SEC Act | Banpu Public Company Limited (“BANPU”) failed to prepare and submit the result of the bond sale report to the SEC Office between 26 February 2020 to 27 January 2021 which is the period specified in the notification of the office of the Securities and Exchange Commission. However, the report on the result of the bond sale report was later filed with the SEC Office on 13 June 2022 and 3 August 2022. | | Criminal Fine | imposing a fine of 251,400.00 Baht according to 33/2567 | |
| 684 | 13/05/2024 | Mr. Somphote Ahunai | 300 in conjunction with 56(4) / SEC Act | Mr. Somphote Ahunai, a Chief Executive Officer who is responsible for the operation of Energy Absolute Public Company Limited ("EA"), shall be liable for EA's failure to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 85,800.00 Baht according to 32/2567 | |
| 685 | 13/05/2024 | Energy Absolute Public Company Limited | 56(4) / SEC Act | Energy Absolute Public Company Limited ("EA"), a securities issuer, failed to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification which is within February 28, 2023. However, the key financial ratio report for the year 2022 were later submitted through the transmission system of the SEC office on March 9, 2023. | | Criminal Fine | imposing a fine of 85,800.00 Baht according to 31/2567 | |
| 686 | 13/05/2024 | Mr. Kusol Sangkananth | 300 in conjunction with 56(2) / SEC Act | Mr. Kusol Sangkananth, Chief Executive Office who is responsible for the operation of Max Metal Corporation Public Company Limited ("MAX"), did not order or act in accordance with the duties of responsible person regarding MAX failure to prepare and submit the financial statement for the year 2022 within the period as specified by the notification of the Capital Market Supervisory Board.
| | Criminal Fine | imposing a fine of 93,900.00 Baht according to 30/2567 | |
| 687 | 13/05/2024 | Mr.Kusol Sangkananth | 300 in conjunction with 56(3)(4) / SEC Act | Mr. Kusol Sangkananth, Chief Executive Office who is responsible for the operation of Max Metal Corporation Public Company Limited ("MAX"), did not order or act in accordance with the duties of responsible person regarding MAX failure to prepare and submit the annual registration statement for the year/annual report for the year 2022 ("Form 56-1 One Report") within the period as specified by the notification of the Capital Market Supervisory Board.
| | Criminal Fine | imposing a fine of 150,900.00 Baht according to 30/2567 | |
| 688 | 13/05/2024 | Max Metal Corporation Public Company Limited | 56(2) / SEC Act | Max Metal Corporation Public Company Limited ("MAX"), a listed company, failed to prepare and submit the financial statement for the year 2022 within 28 February 2023. However, MAX prepared and submitted such document on 29 September 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 140,850.00 Baht according to 29/2567 | |
| 689 | 13/05/2024 | Max Metal Corporation Public Company Limited | 56(3)(4) / SEC Act | Max Metal Corporation Public Company Limited ("MAX"), a listed company, failed to prepare and submit the annual registration statement for the year/annual report for the year 2022 ("Form 56-1 One Report") within 31 March 2023. However, MAX prepared and submitted such document on 7 May 2024, which failed to prepare and submit Form 56-1 One Report for the year 2022 within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 241,440.00 Baht according to 29/2567 | |
| 690 | 13/05/2024 | Mr. Wutthiphum Jurangkool | 300 in conjunction with 56(2) / SEC Act | Mr. Wutthiphum Jurangkool, Chief Executive Officer who is responsible for the operation of Nok Airlines Public Company Limited ("NOK") shall be liable for NOK's failure to prepare and submit the financial statement for the year 2022 within the period specified by the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 136,800.00 Baht according to 28/2567 | |
| 691 | 13/05/2024 | Mr. Wutthiphum Jurangkool | 300 in conjunction with 56(3)(4) / SEC Act | Mr. Wutthiphum Jurangkool, Chief Executive Officer who is responsible for the operation of Nok Airlines Public Company Limited ("NOK") shall be liable for NOK's failure to prepare and submit the accurate annual updated information statement and the annual report for the year 2022 (Form 56-1 One Report) within the period specified by the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 165,600.00 Baht according to 28/2567 | |
| 692 | 13/05/2024 | Nok Airlines Public Company Limited | 56(2) / SEC Act | Nok Airlines Public Company Limited ("NOK"), a securities issuer, had a duty to prepare and submit the financial statement for the year 2022 within 31 March 2023. However, NOK prepared and submitted such document on 2 October 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 136,800.00 Baht according to 27/2567 | |
| 693 | 13/05/2024 | Nok Airlines Public Company Limited | 56(3)(4) / SEC Act | Nok Airlines Public Company Limited ("NOK"), a securities issuer, had a duty to prepare and submit the accurate annual updated information statement and the annual report for the year 2022 (Form 56-1 One Report) within 31 March 2023. However, NOK prepared and submitted such document on 1 December 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 165,600.00 Baht according to 27/2567 | |
| 694 | 25/04/2024 | Miss SASAKORN LIKITSOMBOON | | | 85/2024 | Administrative Orders | Revocation | Effective Date 25/04/2024 to 24/01/2031 |
| 695 | 22/04/2024 | Miss Paranee Mekdumrongsang | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 23 August 2018 – 2 November 2018, Miss Paranee Mekdumrongsang colluded with 11 persons to manipulate the stock price of Scan Inter Public Company Limited (“SCN”) by placing trading orders or trading SCN’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 069/2024 | Civil Sanction | 22/04/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 500,000.00 Baht
- a civil monetary penalty of 53,162.00 Baht
- a suspension of securities and derivatives trading between 22/04/2024 and 21/06/2025
- a bar from serving as a director or executive in a securities issuing company between 22/04/2024 and 21/08/2026
- a reimbursement of investigative expenses in an amount of 21,432.00 Baht | |
| 696 | 10/04/2024 | Mr. Sitthichai Limsowan | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | On 2 February 2018, 6 12 and 13 March 2018, Mr. Sitthichai Limsowan colluded with others to manipulate the stock price of Bangkok Sheet Metal Public Company Limited by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities. | 075/2024 | Civil Sanction | 10/04/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 5,000,000.00 Baht
- a suspension of securities and derivatives trading between 10/04/2024 and 09/10/2024
- a bar from serving as a director or executive in a securities issuing company between 10/04/2024 and 09/04/2025
- a bar from serving as a director or executive in a securities company between 10/04/2024 and 09/04/2025
- a reimbursement of investigative expenses in an amount of 178,666.00 Baht | |
| 697 | 09/04/2024 | Three Sixty Five Public Company Limite | 56(2)(3)(4) / SEC Act | | | Criminal Complaints | | |
| 698 | 09/04/2024 | Mr. Jesada Supasai | 300 in conjunction with 56(2)(4) / SEC Act | | | Criminal Complaints | | |
| 699 | 09/04/2024 | Mr. Luacha Bho-ob | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | On 2 February 2018, 6 12 and 13 March 2018, Mr. Luacha Bho-ob colluded with others to manipulate the stock price of Bangkok Sheet Metal Public Company Limited by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities. | 075/2024 | Civil Sanction | 09/04/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 09/04/2024 and 08/10/2024
- a bar from serving as a director or executive in a securities issuing company between 09/04/2024 and 08/04/2025
- a bar from serving as a director or executive in a securities company between 09/04/2024 and 08/04/2025
- a reimbursement of investigative expenses in an amount of 178,666.00 Baht | |
| 700 | 04/04/2024 | Mr. Songrit Butrngam | 300 / SEC Act | Mr. Songrit Butrngam, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2022 and (2) the annual report for the year 2022 (Form 56-2, 2022) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 701 | 04/04/2024 | Mr. Paiwan Butrsa | 300 / SEC Act | Mr. Paiwan Butrsa, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2022 and (2) the annual report for the year 2022 (Form 56-2, 2022) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 702 | 04/04/2024 | SMC Power Public Company Limited | 56 / SEC Act | SMC Power Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2022 and (2) the annual report for the year 2022 (Form 56-2, 2022) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 703 | 03/04/2024 | Rich Asia Corporation Public Company Limited | 56(2) / SEC Act | Rich Asia Corporation Public Company Limited (RICH) failed to prepare and submit a financial statement for the year 2022 to the SEC Office within the specified period in the notification of the Capital Market Board.
| | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 704 | 03/04/2024 | Miss Vachira Chobchoopol | 300 in conjunction with 56(2) / SEC Act | Miss Vachira Chobchoopol, the authorized director, who is responsible for the operation of Rich Asia Corporation Public Company Limited (“RICH”), shall be liable for RICH’s failure to prepare and submit a financial statement for the year 2022 to the SEC Office within the period specified in the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 705 | 03/04/2024 | Mr. Jumphol Vatasunthonkul | 300 in conjunction with 56(2) / SEC Act | Mr. Jumphol Vatasunthonkul, a former authorized director, who is responsible for the operation of Rich Asia Corporation Public Company Limited (“RICH”), shall be liable for RICH’s failure to prepare and submit a financial statement for the year 2022 to the SEC Office within the period specified in the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 706 | 28/03/2024 | Mr. Soros Tangnaitham | 300 in conjunction with 56(2) / SEC Act | Mr. Soros Tangnaitham, Managing Director who is responsible for the operation of Tapaco Public Company Limited (“Tapaco”) shall be liable for Tapaco’s failure to prepare and submit the financial statement for the year 2022 within the period specified by the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 107,400.00 Baht according to 26/2567 | |
| 707 | 28/03/2024 | Mr. Soros Tangnaitham | 300 in conjunction with 56(4) / SEC Act | Mr. Soros Tangnaitham, Managing Director who is responsible for the operation of Tapaco Public Company Limited (“Tapaco”) shall be liable for Tapaco’s failure to prepare and submit an Interim Management Discussion and Analysis for the year 2022 (MD&A) within the period specified by the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 107,400.00 Baht according to 26/2567 | |
| 708 | 28/03/2024 | Mr. Soros Tangnaitham | 300 in conjunction with 56(3)(4) / SEC Act | Mr. Soros Tangnaitham, Managing Director who is responsible for the operation of Tapaco Public Company Limited (“Tapaco”) shall be liable for Tapaco’s failure to prepare and submit the annual registration statement for the year/annual report for the year 2022 (Form 56-1 One Report) within the period specified by the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 90,600.00 Baht according to 26/2567 | |
| 709 | 28/03/2024 | Tapaco Public Company Limited | 56(2) / SEC Act | Tapaco Public Company Limited (“TAPACO”) had a duty to prepare and submit the financial statement for the year 2022 within 3 January 2023. However, TAPACO prepared and submitted such document on 30 January 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 107,400.00 Baht according to 25/2567 | |
| 710 | 28/03/2024 | Tapaco Public Company Limited | 56(4) / SEC Act | Tapaco Public Company Limited (“TAPACO”) had a duty to prepare and submit an Interim Management Discussion and Analysis for the year 2022 (“MD&A”) within 3 January 2023. However, TAPACO prepared and submitted such document on 30 January 2023, which failed to prepare and submit MD&A within the period specified by the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 107,400.00 Baht according to 25/2567 | |
| 711 | 28/03/2024 | Tapaco Public Company Limited | 56(3)(4) / SEC Act | Tapaco Public Company Limited (“TAPACO”) had a duty to prepare and submit the
annual registration statement for the year/annual report for the year 2022 (“Form 56-1 One Report”) within 31 January 2023. However, TAPACO prepared and submitted such document on 13 February 2023, which failed to prepare and submit Form 56-1 One Report within the period specified by the notification of the Capital Market Supervisory Board.
| | Criminal Fine | imposing a fine of 90,600.00 Baht according to 25/2567 | |
| 712 | 28/03/2024 | Mr. Dan Pathomvanit | 300 in conjunction with 56(4) / SEC Act | Mr. Dan Pathomvanit, Chief Financial Officer who is responsible for the operation of NR Instant Produce Public Company Limited ("NRF"), shall be liable for NRF's failure to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 24/2567 | |
| 713 | 28/03/2024 | NR Instant Produce Public Company Limited | 56(4) / SEC Act | NR Instant Produce Public Company Limited ("NRF") had duties to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification which is within February 28, 2023. However, NRF submitted the key financial ratio report for the year 2022 to the SEC office on March 1, 2023 later than the period specified by the Capital Market Supervisory Board | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 23/2567 | |
| 714 | 28/03/2024 | Saha Pathana Inter-Holding Public Company Limited | 56(4) / SEC Act | Saha Pathana Inter-Holding Public Company Limited (“SPI”) had duties to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification which is within February 28, 2023. However, SPI submitted the key financial ratio report for the year 2022 to the SEC office on March 1, 2023 later than the period specified by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 21/2567 | |
| 715 | 28/03/2024 | Saha Pathana Inter-Holding Public Company Limited | 56(4) / SEC Act | Saha Pathana Inter-Holding Public Company Limited (“SPI”) had duties to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification which is within February 28, 2023. However, SPI submitted the key financial ratio report for the year 2022 to the SEC office on March 1, 2023 later than the period specified by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 21/2567 | |
| 716 | 28/03/2024 | Mr. Tommy Taechaubol | 300 in conjunction with 56(4) / SEC Act | Mr. Tommy Taechaubol, Chief Executive Officer who is responsible for the operation of Country Group Holdings Public Company Limited ("CGH"), shall be liable for CGH's failure to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 95,400.00 Baht according to 20/2567 | |
| 717 | 28/03/2024 | Country Group Holdings Public Company Limited | 56(4) / SEC Act | Country Group Holdings Public Company Limited ("CGH") had duties to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification which is within February 28, 2023. However, CGH submitted the key financial ratio report for the year 2022 to the SEC office on March 17, 2023 later than the period specified by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 95,400.00 Baht according to 19/2567 | |
| 718 | 28/03/2024 | Miss Dendao Komolmas | 300 in conjunction with 56(4) / SEC Act | Miss Dendao Komolmas, Chief Financial Officer who is responsible for the operation of Amata Corporation Public Company Limited ("AMATA"), shall be liable for AMATA's failure to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 18/2567 | |
| 719 | 28/03/2024 | Amata Corporation Public Company Limited | 56(4) / SEC Act | Amata Corporation Public Company Limited ("AMATA") had duties to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification which is within February 28, 2023. However, AMATA submitted the key financial ratio report for the year 2022 to the SEC office on March 1, 2023 later than the period specified by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 17/2567 | |
| 720 | 28/03/2024 | Mr. Toshiyuki Namiki | 94 / DAB Act | Mr. Toshiyuki Namiki, a Chief Executive Officer of GMO-Z.com Cryptonomics (Thailand) Co., Ltd ("GMOZ"), who is responsible for the operation of GMOZ, shall be liable for GMOZ’s failure to submit a financial statement for the year 2022 to SEC office and notify the financial statement on GMOZ’s website within the period specified in the notification of the Securities and Exchange Commission, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 140,000.00 Baht according to 4/2567 | |
| 721 | 28/03/2024 | GMO-Z.com Cryptonomics (Thailand) Co., Ltd | 30 / DAB Act | GMO-Z.com Cryptonomics (Thailand) Co., Ltd ("GMOZ"), a digital asset exchange and a digital asset broker, is obligated to submit a financial statement for the year 2022 to SEC office and notify the financial statement on GMOZ’s website within the period specified in the notification of the Securities and Exchange Commission which is within May 2, 2023. However, GMOZ submitted the financial statement for the year 2022 to the SEC office and notified the financial statement on GMOZ’s website on June 21, 2023 later than the period specified in the notification. | | Criminal Fine | imposing a fine of 140,000.00 Baht according to 3/2567 | |
| 722 | 26/03/2024 | Mr. Paisarn Kasemsirinavin | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Paisarn Kasemsirinavin colluded with other offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 067/2024 | Criminal Complaints | | |
| 723 | 26/03/2024 | Mr. Papinwish Rodbangyang | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Papinwish Rodbangyang colluded with other offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 067/2024 | Criminal Complaints | | |
| 724 | 26/03/2024 | Mr. Thanprasert Phon-ampai | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Thanprasert Phon-ampai colluded with other offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 067/2024 | Criminal Complaints | | |
| 725 | 26/03/2024 | Mr. Preecha Vasusophon | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Preecha Vasusophon colluded with other offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition | 067/2024 | Criminal Complaints | | |
| 726 | 26/03/2024 | Mr. Pranid Supatarut | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Pranid Supatarut colluded with other offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 067/2024 | Criminal Complaints | | |
| 727 | 26/03/2024 | Miss Paranee Chawala | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Miss Paranee Chawala colluded with other offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 067/2024 | Criminal Complaints | | |
| 728 | 26/03/2024 | Mr. Porndate Uyanun | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Porndate Uyanun colluded with other offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 067/2024 | Criminal Complaints | | |
| 729 | 26/03/2024 | Mr. Worrawut Srisopit | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Worrawut Srisopit colluded with other offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 067/2024 | Criminal Complaints | | |
| 730 | 21/03/2024 | PACE DEVELOPMENT CORPORATION PUBLIC COMPANY LIMITED | 56(2)(3)(4) / SEC Act | | | Criminal Complaints | | |
| 731 | 21/03/2024 | Mr. Sorapoj Techakraisri | 300 in conjunction with 56(2)(4) / SEC Act | | | Criminal Complaints | | |
| 732 | 21/03/2024 | Mr.Peerapun Kitpoka | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018, Mr.Peerapun Kitpoka
colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition.
| 055/2024 | Civil Sanction | 21/03/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 21/03/2024 and 20/03/2026
- a bar from serving as a director or executive in a securities issuing company between 21/03/2024 and 20/03/2028
- a bar from serving as a director or executive in a securities company between 21/03/2024 and 20/03/2028
- a reimbursement of investigative expenses in an amount of 50,861.00 Baht | |
| 733 | 21/03/2024 | Mr PEERAPUN KITPOKA | | | | Administrative Orders | Revocation | Effective Date 21/03/2024 to 20/03/2028 |
| 734 | 20/03/2024 | Miss Yuwadee Wachiraprapa | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018 and during 3 July 2018 to 9 August 2018, Miss Yuwadee Wachiraprapa colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | 20/03/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 852,061.00 Baht
- a civil monetary penalty of 1,778,091.50 Baht
- a suspension of securities and derivatives trading between 20/03/2024 and 19/04/2026
- a bar from serving as a director or executive in a securities issuing company between 20/03/2024 and 19/05/2028
- a bar from serving as a director or executive in a securities company between 20/03/2024 and 19/05/2028
- a reimbursement of investigative expenses in an amount of 127,152.50 Baht | |
| 735 | 20/03/2024 | Beyond Securities Public Company Limited | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018, Beyond Securities Public Company Limited colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | 20/03/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 7,469,525.00 Baht
- a civil monetary penalty of 11,204,287.50 Baht
- a reimbursement of investigative expenses in an amount of 50,860.50 Baht | |
| 736 | 19/03/2024 | Bitazza Company Limited | 30 / DAB Act | Bitazza Company Limited ("Bitazza"), a digital asset broker, is obligated to submit a financial statement for the year 2022 to the SEC office and notify the financial statement on Bitazza's website within the period specified in the notification of the Securities and Exchange Commission, which is within May 2, 2023. However, Bitazza has not fulfilled this obligation | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 737 | 19/03/2024 | Mr. Kavin Pongpandecha | 94 / DAB Act | Mr. Kavin Pongpandecha, a former Chief Executive Officer of Bitazza Company Limited ("Bitazza"), who is responsible for the operation of Bitazza, shall be liable for Bitazza’s failure to submit a financial statement for the year 2022 to the SEC Office and notify the financial statement on Bitazza’s website within the period specified in the notification of the Securities and Exchange Commission, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 738 | 12/03/2024 | Mrs.Piyama Charindhorn | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018 and during 3 July 2018 to 9 August 2018, Mrs.Piyama Charindhorn colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | 12/03/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 13,349.00 Baht
- a civil monetary penalty of 1,000,000.00 Baht
- a suspension of securities and derivatives trading between 12/03/2024 and 11/04/2026
- a bar from serving as a director or executive in a securities issuing company between 12/03/2024 and 11/05/2028
- a bar from serving as a director or executive in a securities company between 12/03/2024 and 11/05/2028
- a reimbursement of investigative expenses in an amount of 127,153.00 Baht | |
| 739 | 07/03/2024 | Miss Surachanee Limatibul | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018 and during 3 July 2018 to 9 August 2018, Miss Surachanee Limatibul colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | 07/03/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a suspension of securities and derivatives trading between 07/03/2024 and 06/04/2026
- a bar from serving as a director or executive in a securities issuing company between 07/03/2024 and 06/05/2028
- a bar from serving as a director or executive in a securities company between 07/03/2024 and 06/05/2028
- a reimbursement of investigative expenses in an amount of 127,153.00 Baht | |
| 740 | 06/03/2024 | Zipmex Company Limited | 30 / DAB Act | Zipmex Company Limited ("Zipmex"), a digital asset broker and trading center, is obligated to submit a financial statement for the year 2022 to SEC office and announced such the financial statement on Zipmex's website within the period specified in the notification of the Securities and Exchange Commission, which is within May 2, 2023. However, Zipmex has not fulfilled this obligation | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 741 | 06/03/2024 | Mr. Akalarp Yimwilai | 94 / DAB Act | Mr. Akalarp Yimwilai, a former Chief Executive Officer of Zipmex Company Limited ("Zipmex"), who was responsible for the operation of Zipmex, shall be liable for Zipmex's failure to prepare and submit a financial statement for the year 2022 to the SEC Office and publishing them on Zipmex’s website within the period specified by the notification of the Securities and Exchange Commission, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 742 | 06/03/2024 | ASIA WEALTH SECURITIES COMPANY LIMITED | 97 / SEC Act | | | Criminal Complaints | This case is in the process of inquiry by the Criminal Court. | |
| 743 | 04/03/2024 | Group Lease Public Company Limited | 56(2)(3)(4) / SEC Act | Group Lease Public Company Limited ("GL") a listed company, failed to prepare and submit the financial reports through the transmission system of the Stock Exchange of Thailand within the period specified in the notification as follows : (1) the financial statement for the year 2022 (2) the annual registration statement (Form 56-1 One Report) for the year 2022 (3) the reviewed financial statements for Q1/2023 (4) the reviewed financial statements for Q2/2023 | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 744 | 04/03/2024 | Mr. Riki Ishigami | 300 / SEC Act | Mr. Riki Ishigami, the Cheif Executive Officer, who was responsible for the operation of Group Lease Public Company Limited ("GL"), shall be liable for GL failure to prepare and submit (1) the financial statement for the year 2022 (2) the annual registration statement (Form 56-1 One Report) for the year 2022 (3) the reviewed financial statements for Q1/2023 (4) the reviewed financial statements for Q2/2023 to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 745 | 27/02/2024 | Mr. Prakorn Makjumroen | 312 281/2 paragraph 2 in conjunction with 89/7 and 89/7 in conjunction with 89/24 / SEC Act | During the period between 2021 and 2022, Mr. Prakorn Makjumroen, the former director and executive of STARK Corporation Public Company Limited (“STARK”) and its subsidiaries, colluded with other directors and executives of STARK, or consented to the falsification of STARK and its subsidiaries’ financial statements from 2021 - 2022 to deceive the public. Mr. Prakorn had a duty to order and control STARK to issue rectified financial statement, but he neglected his duties and consented to the falsification of STARK and its subsidiaries’ financial statements. Moreover, Mr. Prakorn was the person who presents the financial statement to Board of directors and approve the false financial statement. | 045/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 746 | 19/02/2024 | Miss Pasita Leesakul | 242 (1) / SEC Act (the fifth amendment) | Miss Pasita Leesakul knew or possessed negative substantial inside information about TRC CONSTRUCTION PUBLIC COMPANY LIMITED (TRC)’s 2018 performance which would significantly worsen. Subsequently, during 8 January 2019 to 6 February 2019 prior to TRC’s disclosure of such inside information to the public on 26 February 2019 , Miss Pasita sold TRC stocks by using such inside information through her securities trading accounts. | 037/2024 | Civil Sanction | 19/02/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,262,467.00 Baht
- a civil monetary penalty of 1,451,837.05 Baht
- a bar from serving as a director or executive in a securities issuing company between 19/02/2024 and 18/02/2025
- a bar from serving as a director or executive in a securities company between 19/02/2024 and 18/02/2025
- a reimbursement of investigative expenses in an amount of 63,306.95 Baht | |
| 747 | 19/02/2024 | Miss Rewadee Ardharn | 242 (1) / SEC Act (the fifth amendment) | Miss Rewadee Ardharn, while being Senior Accounting Manager of TRC CONSTRUCTION PUBLIC COMPANY LIMITED (TRC), knew or possessed negative substantial inside information about TRC’s 2018 performance which would significantly worsen. Subsequently, during 12 December 2018 to 13 December 2018 prior to TRC’s disclosure of such inside information to the public on 26 February 2019, Miss Rewadee sold TRC stocks by using such inside information through her securities trading accounts. | 037/2024 | Civil Sanction | 19/02/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 100,000.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 19/02/2024 and 18/02/2025
- a bar from serving as a director or executive in a securities company between 19/02/2024 and 18/02/2025
- a reimbursement of investigative expenses in an amount of 63,307.00 Baht | |
| 748 | 19/02/2024 | Miss Ounruen Sujarittham | 242 (2) / SEC Act (the fifth amendment) | Miss Ounruen Sujarittham, while Senior Finance and investor Relations Manager of TRC CONSTRUCTION PUBLIC COMPANY LIMITED (TRC), knew or possessed negative substantial inside information about TRC’s 2018 performance which would significantly worsen. Subsequently, Prior to TRC’s disclosure of such inside information to the public on 26 February 2019, Miss Ounruen disclosed such inside information to Mrs. Ariya Sujarittham, who also sold TRC stocks by using such inside information prior to TRC’s disclosure of such inside information to the public. | 037/2024 | Civil Sanction | 19/02/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 19/02/2024 and 18/02/2025
- a bar from serving as a director or executive in a securities company between 19/02/2024 and 18/02/2025
- a reimbursement of investigative expenses in an amount of 63,307.00 Baht | |
| 749 | 19/02/2024 | Mrs. Ariya Sujarittham | 242 (1) / SEC Act (the fifth amendment) | Mrs. Ariya Sujarittham knew or possessed negative substantial inside information about TRC CONSTRUCTION PUBLIC COMPANY LIMITED (TRC)’s 2018 performance which would significantly worsen disclosed by Miss Ounruen Sujarittham. Subsequently, On 25 February 2019 prior to TRC’s disclosure of such inside information to the public on 26 February 2019, Mrs. Ariya sold TRC stocks by using such inside information through her securities trading accounts. | 037/2024 | Civil Sanction | 19/02/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 68,775.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 19/02/2024 and 18/02/2025
- a bar from serving as a director or executive in a securities company between 19/02/2024 and 18/02/2025
- a reimbursement of investigative expenses in an amount of 63,307.00 Baht | |
| 750 | 14/02/2024 | ZIGA FC CO., LTD. | 17 paragraph 1 and 19 paragraph 1 / DAB Act | During 19 May 2022 – 4 July 2022 ZIGA FC CO., LTD. (“Ziga FC”) by Mr. Suppakit Ngamchitcharoen, the authorized director, colluded with WISDEN GROUP CO., LTD. (“Wisden”) by Mr. Saktanatat Pimdedpanid (formerly known as Mr. Phonphawid Pimdedpanid or Mr. Pisan Ungchumchoke), the authorized director, Mr. Gongpob Kachanan, Mrs. Pornlapas Na Lamphun and Mr. Surin Sony offered Zii Token coin to a group of people, approximately 70-100 member, through the LINE application, and they also engaged in one-on-one sales. Due to Zii Token coin being classified as a not-ready-to-use utility token, the aforementioned entities offered the newly issued digital token to the public without approval from the SEC Office. This was not conducted though a digital portal service provider approved by the SEC (ICO Portal). In this regard, Suppakit and Saktanatat, who were responsible for the operation of the companies, shall also be liable to the penalty as provided for the companies. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 751 | 14/02/2024 | WISDEN GROUP CO., LTD. | 17 paragraph 1 and 19 paragraph 1 / DAB Act | During 19 May 2022 – 4 July 2022 ZIGA FC CO., LTD. (“Ziga FC”) by Mr. Suppakit Ngamchitcharoen, the authorized director, colluded with WISDEN GROUP CO., LTD. (“Wisden”) by Mr. Saktanatat Pimdedpanid (formerly known as Mr. Phonphawid Pimdedpanid or Mr. Pisan Ungchumchoke), the authorized director, Mr. Gongpob Kachanan, Mrs. Pornlapas Na Lamphun and Mr. Surin Sony offered Zii Token coin to a group of people, approximately 70-100 member, through the LINE application, and they also engaged in one-on-one sales. Due to Zii Token coin being classified as a not-ready-to-use utility token, the aforementioned entities offered the newly issued digital token to the public without approval from the SEC Office. This was not conducted though a digital portal service provider approved by the SEC (ICO Portal). In this regard, Suppakit and Saktanatat, who were responsible for the operation of the companies, shall also be liable to the penalty as provided for the companies. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 752 | 14/02/2024 | Mr. Gongpob Kachanan | 17 paragraph 1 and 19 paragraph 1 / DAB Act | During 19 May 2022 – 4 July 2022 ZIGA FC CO., LTD. (“Ziga FC”) by Mr. Suppakit Ngamchitcharoen, the authorized director, colluded with WISDEN GROUP CO., LTD. (“Wisden”) by Mr. Saktanatat Pimdedpanid (formerly known as Mr. Phonphawid Pimdedpanid or Mr. Pisan Ungchumchoke), the authorized director, Mr. Gongpob Kachanan, Mrs. Pornlapas Na Lamphun and Mr. Surin Sony offered Zii Token coin to a group of people, approximately 70-100 member, through the LINE application, and they also engaged in one-on-one sales. Due to Zii Token coin being classified as a not-ready-to-use utility token, the aforementioned entities offered the newly issued digital token to the public without approval from the SEC Office. This was not conducted though a digital portal service provider approved by the SEC (ICO Portal). In this regard, Suppakit and Saktanatat, who were responsible for the operation of the companies, shall also be liable to the penalty as provided for the companies. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official
| |
| 753 | 14/02/2024 | Mrs. Pornlapas Na Lamphun | 17 paragraph 1 and 19 paragraph 1 / DAB Act | During 19 May 2022 – 4 July 2022 ZIGA FC CO., LTD. (“Ziga FC”) by Mr. Suppakit Ngamchitcharoen, the authorized director, colluded with WISDEN GROUP CO., LTD. (“Wisden”) by Mr. Saktanatat Pimdedpanid (formerly known as Mr. Phonphawid Pimdedpanid or Mr. Pisan Ungchumchoke), the authorized director, Mr. Gongpob Kachanan, Mrs. Pornlapas Na Lamphun and Mr. Surin Sony offered Zii Token coin to a group of people, approximately 70-100 member, through the LINE application, and they also engaged in one-on-one sales. Due to Zii Token coin being classified as a not-ready-to-use utility token, the aforementioned entities offered the newly issued digital token to the public without approval from the SEC Office. This was not conducted though a digital portal service provider approved by the SEC (ICO Portal). In this regard, Suppakit and Saktanatat, who were responsible for the operation of the companies, shall also be liable to the penalty as provided for the companies. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 754 | 14/02/2024 | Mr. Surin Sony | 17 paragraph 1 and 19 paragraph 1 / DAB Act | During 19 May 2022 – 4 July 2022 ZIGA FC CO., LTD. (“Ziga FC”) by Mr. Suppakit Ngamchitcharoen, the authorized director, colluded with WISDEN GROUP CO., LTD. (“Wisden”) by Mr. Saktanatat Pimdedpanid (formerly known as Mr. Phonphawid Pimdedpanid or Mr. Pisan Ungchumchoke), the authorized director, Mr. Gongpob Kachanan, Mrs. Pornlapas Na Lamphun and Mr. Surin Sony offered Zii Token coin to a group of people, approximately 70-100 member, through the LINE application, and they also engaged in one-on-one sales. Due to Zii Token coin being classified as a not-ready-to-use utility token, the aforementioned entities offered the newly issued digital token to the public without approval from the SEC Office. This was not conducted though a digital portal service provider approved by the SEC (ICO Portal). In this regard, Suppakit and Saktanatat, who were responsible for the operation of the companies, shall also be liable to the penalty as provided for the companies. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 755 | 14/02/2024 | Mr. Saktanatat Pimdedpanid | 94 / DAB Act | During 19 May 2022 – 4 July 2022 ZIGA FC CO., LTD. (“Ziga FC”) by Mr. Suppakit Ngamchitcharoen, the authorized director, colluded with WISDEN GROUP CO., LTD. (“Wisden”) by Mr. Saktanatat Pimdedpanid (formerly known as Mr. Phonphawid Pimdedpanid or Mr. Pisan Ungchumchoke), the authorized director, Mr. Gongpob Kachanan, Mrs. Pornlapas Na Lamphun and Mr. Surin Sony offered Zii Token coin to a group of people, approximately 70-100 member, through the LINE application, and they also engaged in one-on-one sales. Due to Zii Token coin being classified as a not-ready-to-use utility token, the aforementioned entities offered the newly issued digital token to the public without approval from the SEC Office. This was not conducted though a digital portal service provider approved by the SEC (ICO Portal). In this regard, Suppakit and Saktanatat, who were responsible for the operation of the companies, shall also be liable to the penalty as provided for the companies. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 756 | 14/02/2024 | Mr. Suppakit Ngamchitcharoen | 94 / DAB Act | During 19 May 2022 – 4 July 2022 ZIGA FC CO., LTD. (“Ziga FC”) by Mr. Suppakit Ngamchitcharoen, the authorized director, colluded with WISDEN GROUP CO., LTD. (“Wisden”) by Mr. Saktanatat Pimdedpanid (formerly known as Mr. Phonphawid Pimdedpanid or Mr. Pisan Ungchumchoke), the authorized director, Mr. Gongpob Kachanan, Mrs. Pornlapas Na Lamphun and Mr. Surin Sony offered Zii Token coin to a group of people, approximately 70-100 member, through the LINE application, and they also engaged in one-on-one sales. Due to Zii Token coin being classified as a not-ready-to-use utility token, the aforementioned entities offered the newly issued digital token to the public without approval from the SEC Office. This was not conducted though a digital portal service provider approved by the SEC (ICO Portal). In this regard, Suppakit and Saktanatat, who were responsible for the operation of the companies, shall also be liable to the penalty as provided for the companies. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 757 | 08/02/2024 | Mr. Akalarp Yimwilai | 82 88 / DAB Act | Zipmex Company Limited ("Zipmex Thailand") provided Zipup/ZipUp+ services, which offer returns in the form of bonus reward for users of Z Wallet on the digital asset exchange of Zipmex Thailand. Then, Zipmex Thailand notified changes to the terms and conditions of the ZipUp+ services whereby the services of Zipmex Thailand were transferred to Zipmex Asia Pte. Ltd. in Singapore and/or other affiliated companies as designated, effective from 8 May 2022. According to The Securities and Exchange Commission ("SEC")'s findings, Zipmex Thailand clients' digital assets in Z Wallet had been transferred to the destination digital wallets overseas even before Zipmex Thailand notified changes to the terms and conditions of its services, which did not align with the aforementioned facts notified by Zipmex Thailand. Accordingly, Mr. Akalarp Yimwilai, who was the director and chief executive officer (CEO) responsible for the operation of Zipmex Thailand at the time of the incident, was considered that he deceived by presenting false statements and concealing facts that should have been disclosed to its clients, which led the clients to use Zipup/ZipUp+ services by transferring digital assets into Z Wallet, believing that their assets had not been transferred elsewhere for other benefits. Moreover, Zipmex Thailand provided the reports on its clients' assets to SEC with information that did not align with the facts found by the SEC's examination. This resulted in the consideration that Mr. Akalarp committed or permitted Zipmex Thailand to make false entries or fail to enter any material statement in the accounts or documents of, or related to, Zipmex Thailand. | 033/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 758 | 06/02/2024 | Miss NUNTIDAR BENJACHAIYAPORN | | | | Administrative Orders | Revocation | Effective Date 06/02/2024 to 05/02/2027 |
| 759 | 30/01/2024 | Wealth Creation International Advisory Securities Company Limited | 97 / SEC Act | Between June 30, 2022 and August 30, 2022 Wealth Creation International Advisory Securities Company Limited ("WCI"), an investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the Office of the Securities and Exchange Commission in the amount of 62 counts. | | Criminal Fine | imposing a fine of 532,500.00 Baht according to 16/2567 | |
| 760 | 30/01/2024 | Wealth Creation International Advisory Securities Company Limited | 106 / SEC Act | Wealth Creation International Advisory Securities Company Limited (“WCI”), an investment advisory company, failed to prepare and submit the financial statements through the One For All Reporting System of the SEC Office within the period specified in the notification which are (1) the financial statements for the six-month periods for the year 2019 (2) the financial statements for the year 2019 (3) the financial statements for the six-month periods for the year 2020 (4) the financial statements for the year 2020 and (5) the financial statements for the six-month periods for the year 2021. | | Criminal Fine | imposing a fine of 1,548,500.00 Baht according to 16/2567 | |
| 761 | 30/01/2024 | Wealth Creation International Advisory Securities Company Limited | 109 / SEC Act | Wealth Creation International Advisory Securities Company Limited ("WCI"), an investment advisory company, prepared and submitted the inaccurate report on maintenance of capital for the period of July to December of 2021 and for the period of January to June of 2022 through the SEC Office. Later, the rectified report on maintenance of capital for the period of July to December of 2021 and for the period of January to June of 2022 was filed with the SEC Office on September 5, 2022. | | Criminal Fine | imposing a fine of 82,500.00 Baht according to 16/2567 | |
| 762 | 30/01/2024 | Mr.Kumpol Plussind | 59 / SEC Act | Between 26 February 2019 and 23 April 2020, Mr. Kumpol Plussind, a Managing Director of The Chularat Hospital Public Company Limited ("CHG") changed his holding of CHG securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mr. Kumpol later filed the report (Form 59-2) to the SEC Office on 24 July 2023. | | Criminal Fine | imposing a fine of 1,248,125.00 Baht according to 15/2567 | |
| 763 | 30/01/2024 | Mr. Chamnan Chanapai, Chief executive officer for the operation of RAMKHAMHAENG | 300 in conjunction with 56(2) / SEC Act | Mr. Chamnan Chanapai, Chief executive officer for the operation of RAMKHAMHAENG HOSPITAL PUBLIC COMPANY LIMITED (“RAM”), shall be liable for RAM’s failure to prepare and submit a financial statement for the year 2022 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 46,200.00 Baht according to 14/2567 | |
| 764 | 30/01/2024 | Mr. Chamnan Chanapai | 300 in conjunction with 56(4) / SEC Act | Mr. Chamnan Chanapai, Chief executive officer for the operation of RAMKHAMHAENG HOSPITAL PUBLIC COMPANY LIMITED (“RAM”), shall be liable for RAM’s failure to prepare and submit an interim management discussion and analysis for the year 2022 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 46,200.00 Baht according to 14/2567 | |
| 765 | 30/01/2024 | RAMKHAMHAENG HOSPITAL PUBLIC COMPANY LIMITED | 56(2) / SEC Act | RAMKHAMHAENG HOSPITAL PUBLIC COMPANY LIMITED (“RAM”), a listed company, had duties to prepare and submit a financial statement for the year 2022 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 28, 2023. However, RAM submitted the financial statement for the year 2022 to the SET on March 2, 2023 later than the specified period. | | Criminal Fine | imposing a fine of 46,200.00 Baht according to 13/2567 | |
| 766 | 30/01/2024 | RAMKHAMHAENG HOSPITAL PUBLIC COMPANY LIMITED | 56(4) / SEC Act | RAMKHAMHAENG HOSPITAL PUBLIC COMPANY LIMITED (“RAM”), a listed company, had duties to prepare and submit an interim management discussion and analysis for the year 2022 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 28, 2022. However, RAM submitted the interim management discussion and analysis for the year 2022 to the SET on March 1, 2023 later than the specified period. | | Criminal Fine | imposing a fine of 46,200.00 Baht according to 13/2567 | |
| 767 | 30/01/2024 | Mr. Panet Chongvatana | 300 in conjunction with 56(2) / SEC Act | Mr. Panet Chongvatana, Chief executive officer for the operation of PATKOL PUBLIC COMPANY LIMITED (“PK”), shall be liable for PK’s failure to prepare and submit a financial statement for the year 2022 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 45,600.00 Baht according to 12/2567 | |
| 768 | 30/01/2024 | Mr. Panet Chongvatana | 300 in conjunction with 56(4) / SEC Act | Mr. Panet Chongvatana, Chief executive officer for the operation of PATKOL PUBLIC COMPANY LIMITED (“PK”), shall be liable for PK’s failure to prepare and submit an interim management discussion and analysis for the year 2022 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act in accordance with the duties required to be performed. | | Criminal Fine | imposing a fine of 45,600.00 Baht according to 12/2567 | |
| 769 | 30/01/2024 | PATKOL PUBLIC COMPANY LIMITED | 56(2) / SEC Act | PATKOL PUBLIC COMPANY LIMITED (“PK”), a listed company, had duties to prepare and submit a financial statement for the year 2022 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 28, 2023. However, PK submitted the financial statement for the year 2022 to the SET on March 1, 2023 later than the specified period. | | Criminal Fine | imposing a fine of 45,600.00 Baht according to 11/2567 | |
| 770 | 30/01/2024 | PATKOL PUBLIC COMPANY LIMITED | 56(4) / SEC Act | PATKOL PUBLIC COMPANY LIMITED (“PK”), a listed company, had duties to prepare and submit an interim management discussion and analysis for the year 2022 through the transmission system of the Stock Exchange of Thailand (“SET”) within the period specified by the Capital Market Supervisory Board which is within February 28, 2022. However, PK submitted the interim management discussion and analysis for the year 2022 to the SET on March 1, 2023 later than the specified period. | | Criminal Fine | imposing a fine of 45,600.00 Baht according to 11/2567 | |
| 771 | 30/01/2024 | Mr. Pongpat Patanavanich | 300 in conjunction with 56(4) / SEC Act | Mr. Pongpat Patanavanich, who is responsible for the operation of Mahachai Hospital Public Company Limited ("M-CHAI"), shall be liable for M-CHAI’s failure to prepare and submit an Interim Management Discussion and Analysis for the year 2021 (MD&A) through the transmission system of the SEC office within the period specified in the notification resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 136,200.00 Baht according to 10/2567 | |
| 772 | 30/01/2024 | Mahachai Hospital Public Company Limited | 56(4) / SEC Act | Mahachai Hospital Public Company Limited ("M-CHAI") had duties to prepare and submit an Interim Management Discussion and Analysis for the year 2022 ("MD&A") through the transmission system of the SEC office within the period specified in the notification which is within February 28, 2023. However, M-CHAI submitted the MD&A to the SEC office on April 20, 2023 later than the period specified by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 136,200.00 Baht according to 9/2567 | |
| 773 | 30/01/2024 | MR. CHOOKIAT RUJANAPORNPAJEE | 300 in conjunction with 56(3)(4) / SEC Act | Mr. Chookiat Rujanapornpajee, Chief Executive Officer who is responsible for the operation of Sabuy Technology Public Company Limited (“SABUY”) shall be liable for SABUY’s failure to prepare and submit 56-1 One Report of the year 2022 within the period specified by the Notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is duly required to be performed. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 8/2567 | |
| 774 | 30/01/2024 | SABUY TECHNOLOGY PUBLIC COMPANY LIMITED | 56(3)(4) / SEC Act | Sabuy Technology Public Company Limited (“SABUY”) had a duty to prepare and submit the 56-1 One Report of the year 2022 within 31 March 2023. However, SABUY prepared and submitted the 56-1 One Report of the year 2022 on 3 April 2023, which failed to prepare and submit financial statement within the period specified by the Notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 7/2567 | |
| 775 | 30/01/2024 | MR. APICHAI TAECHAUBOL | 300 in conjunction with 56(4) / SEC Act | Mr. Apichai Taechaubol, Executive Chairman who is responsible for the operation of JCK International Public Company Limited (“JCK”) shall be liable for JCK’s failure to prepare and submit the key financial ratio of the year 2022 within the period specified by the Notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is duly required to be performed. | | Criminal Fine | imposing a fine of 81,000.00 Baht according to 6/2567 | |
| 776 | 30/01/2024 | JCK INTERNATIONAL PUBLIC COMPANY LIMITED | 56(4) / SEC Act | JCK International Public Company Limited (“JCK”) had a duty to prepare and submit the key financial ratio of the year 2022 within 28 February 2023. However, JCK prepared and submitted the key financial ratio of the year 2022 on 15 March 2023, which failed to prepare and submit financial statement within the period specified by the Notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 54,000.00 Baht according to 5/2567 | |
| 777 | 30/01/2024 | Mr. Saithsiri Saksitthisereekul | 300 in conjunction with 56(4) / SEC Act | Mr. Saithsiri Saksitthisereekul, Chief Executive Officer who is responsible for the operation of Clover Power Public Company Limited ("CV") shall be liable for CV's failure to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 4/2567 | |
| 778 | 30/01/2024 | Clover Power Public Company Limited | 56(4) / SEC Act | Clover Power Public Company Limited ("CV") had duties to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification which is within February 28, 2023. However, CV submitted the key financial ratio report for the year 2022 to the SEC office on March 1, 2023 later than the period specified by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 3/2567 | |
| 779 | 30/01/2024 | Mr. Pramoth Sudjitporn | 300 / SEC Act | Mr. Pramoth Sudjitporn, Chief Executive Officer at the time of the incident who was responsible for the operation of Asphere Innovations Public Company Limited (“AS”), shall be liable for AS’s failure to offer newly issued securities to directors or employees which is in compliance with rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is duly required to be performed. | | Criminal Fine | imposing a fine of 50,000.00 Baht according to 2/2567 | |
| 780 | 30/01/2024 | Mr. Maurice Wee Ming Sheng | 94 / DAB Act | Mr. Maurice Wee Ming Sheng, a former managing director of a digital asset exchange called Orbix Trade Company Limited ("Orbix") at the time of the incident, was responsible for the operation of Orbix. His failure to perform the required duty of his position resulted in the offence committed by Orbix concerning the case that between January 30, 2023 to May 30, 2023 Orbix failed to keep customers' digital assets in accordance with the notification of the SEC for 121 days. In this regard, Orbix did not deposit customers' digital assets with digital asset depository service providers (3rd Party Custodian) and keep customers' digital assets in digital wallets connected to the internet when conducting transactions only (cold wallet) in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 2,250,000.00 Baht according to 2/2567 | |
| 781 | 30/01/2024 | Asphere Innovations Public Company Limited | 35 / SEC Act | Asphere Innovations Public Company Limited (“AS”) offered newly issued securities to directors or employees which is not in compliance with rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 50,000.00 Baht according to 1/2567 | |
| 782 | 30/01/2024 | Orbix Trade Company Limited | 30 and 31 / DAB Act | Between January 30, 2023 to May 30, 2023, Orbix Trade Company Limited ("Orbix"), a digital asset exchange which was named Satang Corporation Company Limited at the time of the incident, did not keep customers' digital assets in accordance with the notification of the SEC for 121 days. In this regard, Orbix did not deposit customers' digital assets with digital asset depository service providers and keep them in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 3,375,000.00 Baht according to 1/2567 | |
| 783 | 23/01/2024 | Mr. Amorn Meemano | 307 308 311 313 / SEC Act | During the month of June 2014, Mr. Amorn Meemano (“Mr. Amorn”) at the time holding the positions of Chief Executive Officer and Managing Director of Crown Tech Advance Public Company Limited (“AJD”). The present changed name to AJ Advance Technology Public Company Limited (“AJA”) and Mr. Pipat Patiwetphinyo (“Mr. Pipat”) (at the time holding the positions of AJD Chief Operating Officer and Director) jointly decided, approved and issued a cheque to pay Winsound (Thailand) Company Limited a deposit of 145 million baht on the purchase order of set-top boxes from a company located in China. The examination reveals that the deposit was not paid to any company in China, but was withdrawn or transferred from Winsound (Thailand)’s bank account to Mr. Amorn and others. The acts of Mr. Amorn and Mr. Pipat were deemed a dishonest breach of duties offense, an asset misappropriation and seeking unlawful benefits for themselves and their associates, causing damage to AJA. In addition, the acts mentioned above were assisted or facilitated by Winsound (Thailand) and Mr. Thanachart Siriphanukhema.
| 23/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 784 | 23/01/2024 | Mr. Pipat Patiwetphinyo | 307 308 311 313 / SEC Act | During the month of June 2014, Mr. Amorn Meemano (“Mr. Amorn”) at the time holding the positions of Chief Executive Officer and Managing Director of Crown Tech Advance Public Company Limited (“AJD”). The present changed name to AJ Advance Technology Public Company Limited (“AJA”) and Mr. Pipat Patiwetphinyo (“Mr. Pipat”) (at the time holding the positions of AJD Chief Operating Officer and Director) jointly decided, approved and issued a cheque to pay Winsound (Thailand) Company Limited a deposit of 145 million baht on the purchase order of set-top boxes from a company located in China. The examination reveals that the deposit was not paid to any company in China, but was withdrawn or transferred from Winsound (Thailand)’s bank account to Mr. Amorn and others. The acts of Mr. Amorn and Mr. Pipat were deemed a dishonest breach of duties offense, an asset misappropriation and seeking unlawful benefits for themselves and their associates, causing damage to AJA. In addition, the acts mentioned above were assisted or facilitated by Winsound (Thailand) and Mr. Thanachart Siriphanukhema.
| 23/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 785 | 23/01/2024 | Mr. Thanachart Siriphanukhema | 307 308 311 in conjunction with 315 and section 86 of the Penal Code / SEC Act | During the month of June 2014, Mr. Amorn Meemano (“Mr. Amorn”) at the time holding the positions of Chief Executive Officer and Managing Director of Crown Tech Advance Public Company Limited (“AJD”). The present changed name to AJ Advance Technology Public Company Limited (“AJA”) and Mr. Pipat Patiwetphinyo (“Mr. Pipat”) (at the time holding the positions of AJD Chief Operating Officer and Director) jointly decided, approved and issued a cheque to pay Winsound (Thailand) Company Limited a deposit of 145 million baht on the purchase order of set-top boxes from a company located in China. The examination reveals that the deposit was not paid to any company in China, but was withdrawn or transferred from Winsound (Thailand)’s bank account to Mr. Amorn and others. The acts of Mr. Amorn and Mr. Pipat were deemed a dishonest breach of duties offense, an asset misappropriation and seeking unlawful benefits for themselves and their associates, causing damage to AJA. In addition, the acts mentioned above were assisted or facilitated by Winsound (Thailand) and Mr. Thanachart Siriphanukhema.
| 23/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 786 | 23/01/2024 | WINSOUND (THAILAND) COMPANY LIMITED | 307 308 311 in conjunction with 315 and section 86 of the Penal Code / SEC Act | During the month of June 2014, Mr. Amorn Meemano (“Mr. Amorn”) at the time holding the positions of Chief Executive Officer and Managing Director of Crown Tech Advance Public Company Limited (“AJD”). The present changed name to AJ Advance Technology Public Company Limited (“AJA”) and Mr. Pipat Patiwetphinyo (“Mr. Pipat”) (at the time holding the positions of AJD Chief Operating Officer and Director) jointly decided, approved and issued a cheque to pay Winsound (Thailand) Company Limited a deposit of 145 million baht on the purchase order of set-top boxes from a company located in China. The examination reveals that the deposit was not paid to any company in China, but was withdrawn or transferred from Winsound (Thailand)’s bank account to Mr. Amorn and others. The acts of Mr. Amorn and Mr. Pipat were deemed a dishonest breach of duties offense, an asset misappropriation and seeking unlawful benefits for themselves and their associates, causing damage to AJA. In addition, the acts mentioned above were assisted or facilitated by Winsound (Thailand) and Mr. Thanachart Siriphanukhema.
| 23/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 787 | 22/01/2024 | Mr. Morakot Chaithongkum | 90 / SEC Act | Mr. Morakot Chaithongkum operated securities businesses of investment advisory and private fund management by giving advice in the normal course of business to the public concerning the value of securities or the suitability of investing in those securities and managing funds of a person or group of persons to acquire benefit from securities in consideration of a fee or other remuneration such as Clubhouse application, Line group and Facebook without obtaining license from the SEC by in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 020/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official | |
| 788 | 11/01/2024 | Mr. Suraphong Triamchanchai | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading.
| 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 789 | 11/01/2024 | Nippon Pack (Thailand) Public Company Limited | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading.
| 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 790 | 11/01/2024 | Miss Tipparat Sakornsuksriruek | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading.
| 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
| |
| 791 | 11/01/2024 | Miss Rinnapa Kunawatsatit | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 792 | 11/01/2024 | Mr. Wattana Swatthong | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 793 | 11/01/2024 | Mr. Danuj Bunnag | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading.
| 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 794 | 11/01/2024 | Mr. Praphol Milindhachinda | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading.
| 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 795 | 11/01/2024 | Mrs. Kingkarn Samitanon | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading.
| 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 796 | 11/01/2024 | P-SAT Corporation Company Limited | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 797 | 11/01/2024 | Mr. Anupon Sriard | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 7/2024 | Criminal Complaints | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | |
| 798 | 11/01/2024 | Mr. Kijjapat Itthiritthanon | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 799 | 11/01/2024 | Mrs. Ananya Ruengsakvichit | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading.
| 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 800 | 11/01/2024 | Mr. Nattapon Chalermpot | 243(1) in conjunction with 244 and 243(2) / SEC Act | During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently, the name has been changed to Global Consumer Public Company Limited) (3) Miss Tipparat Sakornsuksriruek (4) Miss Rinnapa Kunawatsatit (5) Mr. Wattana Swatthong (6) Mr. Danuj Bunnag (7) Mr. Praphol Milindhachinda (8) Mrs. Kingkarn Samitanon (9) P-SAT Corporation Company Limited (10) Mr. Anupon Sriar (11) Mr. Kijjapat Itthiritthanon (12) Mrs. Ananya Ruengsakvichit and (13) Mr. Nattapon Chalermpot, colluded in manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. | 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 801 | 11/01/2024 | Mr. Praphol Milindhachinda | 246 / SEC Act | On 19 October 2015, Mr. Praphol Milindhachinda acquired of Filter Vision Public Company Limited (“FVC”)’s shares held in his securities trading account, as well as in the securities accounts of the persons acting in concert with him, namely Mrs. Kingkarn Samitanon, Mrs. Ananya Ruengsakvichit and P-SAT Corporation Company Limited. This acquisition increased his aggregate holding of FVC shares to 12.48 million share, or 5.14 % of the total number of voting rights of FVC, thereby reaching or exceeding the five percent threshold that required him to submit Form 246 – 2 to the SEC Office as specified in the notification of the Capital Market Supervisory Board. However, he failed to submit the form and comply the rules. | 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 802 | 11/01/2024 | Mr. Anupon Sriard | 134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 / SEC Act | During the period of 25 – 31 August 2015, Mr. Anupon Sriard, as a private fund manager, instructed the securities trading accounts of the clients of the private fund to place orders to buy and sell Filter Vision Public Company Limited (“FVC”)’s shares in a manner that manipulated FVC’s share price. This behavior constituted dishonest and unethical conduct, and failed to properly safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. | 7/2024 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 803 | 05/01/2024 | Mr. Atthavut Skonthawat | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code and 297 para.2 / SEC Act (the fifth amendment) | During 16 November 2018 – 28 December 2018 Mr. Atthavut Skonthawat and Mrs. Sujeera Skonthawat colluded to manipulate the stock price of Thai Enger Holding Public Company Limited (“TIGER”) by placing trading orders or trading TIGER’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. The said persons cooperated by using 8 securities trading accounts: Mr. Atthavut’s 2 securities accounts Mrs. Sujeera’s 3 securities accounts, and Miss Pilaipit Asawasuwan’s 3 securities accounts. In this regard, Mr. Atthavut and Ms. Sujeera managed the financial transactions regarding their trading of TIGER's stocks. | 207/2023 | Civil Sanction | 05/01/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 2,723,575.00 Baht
- a civil monetary penalty of 4,085,362.50 Baht
- a suspension of securities and derivatives trading between 05/01/2024 and 04/11/2024
- a bar from serving as a director or executive in a securities issuing company between 05/01/2024 and 04/09/2025
- a bar from serving as a director or executive in a securities company between 05/01/2024 and 04/09/2025
- a reimbursement of investigative expenses in an amount of 27,541.50 Baht | |
| 804 | 05/01/2024 | Mrs. Sujeera Skonthawat | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code and 297 para.2 / SEC Act (the fifth amendment) | During 16 November 2018 – 28 December 2018 Mrs. Sujeera Skonthawat and Mr. Atthavut Skonthawat colluded to manipulate the stock price of Thai Enger Holding Public Company Limited (“TIGER”) by placing trading orders or trading TIGER’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. The said persons cooperated by using 8 securities trading accounts: Mrs. Sujeera’s 3 securities accounts, Mr. Atthavut’s 2 securities accounts, and Miss Pilaipit Asawasuwan’s 3 securities accounts. In this regard, Mrs. Sujeera and Mr. Atthavut managed the financial transactions regarding their trading of TIGER's stocks. | 207/2023 | Civil Sanction | 05/01/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 2,723,575.00 Baht
- a civil monetary penalty of 4,085,362.50 Baht
- a suspension of securities and derivatives trading between 05/01/2024 and 04/07/2024
- a bar from serving as a director or executive in a securities issuing company between 05/01/2024 and 04/01/2025
- a bar from serving as a director or executive in a securities company between 05/01/2024 and 04/01/2025
- a reimbursement of investigative expenses in an amount of 27,541.50 Baht | |
| 805 | 05/01/2024 | Mr ATTHAVUT SKONTHAWAT | | | | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 05/01/2024 to 04/09/2025 |
| 806 | 27/12/2023 | Mr. Chanin Yensudchai | 242 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Chanin Yensudchai (formerly chairman of the board of directors of Stark Corporation Public Company Limited ("STARK")) colluded with others used an inside information material to negative changes in the price of STARK's share to commit offense in using Miss Yosabavorn Amarit's securities trading account to sell STARK shares on February 2023 before STARK disclosed the inside information to the Stock Exchange of Thailand. | 260/2023 | Criminal Complaints | | |
| 807 | 27/12/2023 | Mr. Sathar Chantrasettalead | 242 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Sathar Chantrasettalead (formerly board of directors, chief financial officer, and company secretary of Stark Corporation Public Company Limited ("STARK")) colluded with others used an inside information material to negative changes in the price of STARK's share to commit offense in using Miss Yosabavorn Amarit's securities trading account to sell STARK shares on February 2023 before STARK disclosed the inside information to the Stock Exchange of Thailand. | 260/2023 | Criminal Complaints | | |
| 808 | 27/12/2023 | Miss Yosabavorn Amarit | 242 in conjunction with Section 83 of the Penal Code / SEC Act | Miss Yosabavorn Amarit colluded with others used an inside information material to negative changes in the price of Stark Corporation Public Company Limited ("STARK")'s share to commit offense in using her securities trading account to sell STARK shares on February 2023 before STARK disclosed the inside information to the Stock Exchange of Thailand. | 260/2023 | Criminal Complaints | | |
| 809 | 27/12/2023 | ENERGY MAHANAKHON COMPANY LIMITED | 34 / SEC Act | | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 810 | 27/12/2023 | Mr. Pornlert Techaratanopas | 34 / SEC Act | | | Criminal Complaints | | |
| 811 | 27/12/2023 | Miss Yaowaluck Pukpikul | 34 / SEC Act | | | Criminal Complaints | | |
| 812 | 22/12/2023 | Bybit Fintech Limited | 26 / DAB Act | Bybit Fintech Limited (“Bybit”) operates www.bybit.com, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. Starting from March 2022, it was discovered that Bybit solicited in Thai-language to use its services via its website, Facebook Page: Bybit Thai, Telegram : Bybit ประกาศภาษาไทย and Instagram : bybitthailand. Additionally, Mr. Arrom Pohundratanakul and Mr. Natach Klungpremjit has assisted or facilitated to Bybit in publicize its services and promotion via Facebook Page and Youtube : “ไม่มี Moon หมาไม่ซื้อ” and Line Open Chat : “Stop Loss Club”. The aforementioned actions by Bybit are deemed to be conductin digital asset business without a license, with Mr. Arrom and Mr. Natach supporting this activity. | 257/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 813 | 22/12/2023 | Mr. Arrom Pohundratanakul | 26 and Section 86 of Penal Code / DAB Act | Bybit Fintech Limited (“Bybit”) operates www.bybit.com, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. Starting from March 2022, it was discovered that Bybit solicited in Thai-language to use its services via its website, Facebook Page: Bybit Thai, Telegram : Bybit ประกาศภาษาไทย and Instagram : bybitthailand. Additionally, Mr. Arrom Pohundratanakul and Mr. Natach Klungpremjit has assisted or facilitated to Bybit in publicize its services and promotion via Facebook Page and Youtube : “ไม่มี Moon หมาไม่ซื้อ” and Line Open Chat : “Stop Loss Club”. The aforementioned actions by Bybit are deemed to be conductin digital asset business without a license, with Mr. Arrom and Mr. Natach supporting this activity. | 257/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 814 | 22/12/2023 | Mr. Natach Klungpremjit | 26 and Section 86 of Penal Code / DAB Act | Bybit Fintech Limited (“Bybit”) operates www.bybit.com, providing a digital asset trading platform and applying a 0.1% transaction fee on customers' digital asset trades. Starting from March 2022, it was discovered that Bybit solicited in Thai-language to use its services via its website, Facebook Page: Bybit Thai, Telegram : Bybit ประกาศภาษาไทย and Instagram : bybitthailand. Additionally, Mr. Arrom Pohundratanakul and Mr. Natach Klungpremjit has assisted or facilitated to Bybit in publicize its services and promotion via Facebook Page and Youtube : “ไม่มี Moon หมาไม่ซื้อ” and Line Open Chat : “Stop Loss Club”. The aforementioned actions by Bybit are deemed to be conductin digital asset business without a license, with Mr. Arrom and Mr. Natach supporting this activity. | 257/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 815 | 18/12/2023 | Mr NUTTAPON TEACHASITTICHAI | | | 245/2023 | Administrative Orders | Revocation | Effective Date 18/12/2023 to 17/06/2026 |
| 816 | 18/12/2023 | Mr YODSAPOL PISIVIROJ | | | 245/2023 | Administrative Orders | Revocation | Effective Date 18/12/2023 to 17/06/2026 |
| 817 | 18/12/2023 | Mr YODSAWAT PISIVIROJ | | | 245/2023 | Administrative Orders | Revocation | Effective Date 18/12/2023 to 17/06/2026 |
| 818 | 18/12/2023 | Miss KOTTCHAPHON AROONTHASIRI | | | 245/2023 | Administrative Orders | Suspension | Effective Date 18/12/2023 to 17/03/2025 |
| 819 | 18/12/2023 | Miss WALAITHIP RUNGROJJANATORN | | | 245/2023 | Administrative Orders | Suspension | Effective Date 18/12/2023 to 17/03/2025 |
| 820 | 18/12/2023 | Miss PURICHITA SUKHONPITUMART | | | 245/2023 | Administrative Orders | Suspension | Effective Date 18/12/2023 to 17/03/2025 |
| 821 | 15/12/2023 | Miss Orranan Boonma | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 83 of the Penal Code / SEC Act | During 2017 - 2018, two former directors of Top Line Living Company Limited ("TOPLINE") which is the subsidiary of Polaris Capital Public Company Limited, namely (1) Miss Orranan Boonma and (2) Mr. Nugul Phengkham, sold units of TOPLINE's condominium, The Clover Phuket, to four persons, namely (3) Mr. Thanyapong Limwongyut (4) Mr. Akkaradech Wattana (5) Miss Watcharawee Kongkraijirakit (formerly known as Miss Pannipa Nuntaudomcharoen) and (6) Prince Grand Company Limited ("Prince Grand"). The mentioned units of the condominium were sold at a price significantly lower than the market price at that time. As a result, these four buyers obtained benefit from selling their condominium units to other persons at a price significantly higher than the price purchased from TOPLINE. Moreover, Miss Orranan committed siphon money received from the sale of TOPLINE condominiums away from TOPLINE. These act of six persons caused damage to TOPLINE in approximate total value of 88 million baht. In this regard, Miss Orranan and Mr. Nugul failed to perform the duties with dishonest intent causing damage to TOPLINE or causing themselves or another person to obtain any benefit from contravention or failure to comply with such duties. In addition, the act of Miss Orranan and Mr. Nugul was assisted or facilitated by Mr. Thanyapong, Mr. Akkaradech, Miss Watcharawee and Prince Grand. | 246/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 822 | 15/12/2023 | Mr. Nugul Phengkham | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 83 of the Penal Code / SEC Act | During 2017 - 2018, two former directors of Top Line Living Company Limited ("TOPLINE") which is the subsidiary of Polaris Capital Public Company Limited, namely (1) Miss Orranan Boonma and (2) Mr. Nugul Phengkham, sold units of TOPLINE's condominium, The Clover Phuket, to four persons, namely (3) Mr. Thanyapong Limwongyut (4) Mr. Akkaradech Wattana (5) Miss Watcharawee Kongkraijirakit (formerly known as Miss Pannipa Nuntaudomcharoen) and (6) Prince Grand Company Limited ("Prince Grand"). The mentioned units of the condominium were sold at a price significantly lower than the market price at that time. As a result, these four buyers obtained benefit from selling their condominium units to other persons at a price significantly higher than the price purchased from TOPLINE. Moreover, Miss Orranan committed siphon money received from the sale of TOPLINE condominiums away from TOPLINE. These act of six persons caused damage to TOPLINE in approximate total value of 88 million baht. In this regard, Miss Orranan and Mr. Nugul failed to perform the duties with dishonest intent causing damage to TOPLINE or causing themselves or another person to obtain any benefit from contravention or failure to comply with such duties. In addition, the act of Miss Orranan and Mr. Nugul was assisted or facilitated by Mr. Thanyapong, Mr. Akkaradech, Miss Watcharawee and Prince Grand. | 246/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 823 | 15/12/2023 | Mr. Thanyapong Limwongyut | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 86 of the Penal Code / SEC Act | During 2017 - 2018, two former directors of Top Line Living Company Limited ("TOPLINE") which is the subsidiary of Polaris Capital Public Company Limited, namely (1) Miss Orranan Boonma and (2) Mr. Nugul Phengkham, sold units of TOPLINE's condominium, The Clover Phuket, to four persons, namely (3) Mr. Thanyapong Limwongyut (4) Mr. Akkaradech Wattana (5) Miss Watcharawee Kongkraijirakit (formerly known as Miss Pannipa Nuntaudomcharoen) and (6) Prince Grand Company Limited ("Prince Grand"). The mentioned units of the condominium were sold at a price significantly lower than the market price at that time. As a result, these four buyers obtained benefit from selling their condominium units to other persons at a price significantly higher than the price purchased from TOPLINE. Moreover, Miss Orranan committed siphon money received from the sale of TOPLINE condominiums away from TOPLINE. These act of six persons caused damage to TOPLINE in approximate total value of 88 million baht. In this regard, Miss Orranan and Mr. Nugul failed to perform the duties with dishonest intent causing damage to TOPLINE or causing themselves or another person to obtain any benefit from contravention or failure to comply with such duties. In addition, the act of Miss Orranan and Mr. Nugul was assisted or facilitated by Mr. Thanyapong, Mr. Akkaradech, Miss Watcharawee and Prince Grand. | 246/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 824 | 15/12/2023 | Mr. Akkaradech Wattana | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 86 of the Penal Code / SEC Act | During 2017 - 2018, two former directors of Top Line Living Company Limited ("TOPLINE") which is the subsidiary of Polaris Capital Public Company Limited, namely (1) Miss Orranan Boonma and (2) Mr. Nugul Phengkham, sold units of TOPLINE's condominium, The Clover Phuket, to four persons, namely (3) Mr. Thanyapong Limwongyut (4) Mr. Akkaradech Wattana (5) Miss Watcharawee Kongkraijirakit (formerly known as Miss Pannipa Nuntaudomcharoen) and (6) Prince Grand Company Limited ("Prince Grand"). The mentioned units of the condominium were sold at a price significantly lower than the market price at that time. As a result, these four buyers obtained benefit from selling their condominium units to other persons at a price significantly higher than the price purchased from TOPLINE. Moreover, Miss Orranan committed siphon money received from the sale of TOPLINE condominiums away from TOPLINE. These act of six persons caused damage to TOPLINE in approximate total value of 88 million baht. In this regard, Miss Orranan and Mr. Nugul failed to perform the duties with dishonest intent causing damage to TOPLINE or causing themselves or another person to obtain any benefit from contravention or failure to comply with such duties. In addition, the act of Miss Orranan and Mr. Nugul was assisted or facilitated by Mr. Thanyapong, Mr. Akkaradech, Miss Watcharawee and Prince Grand. | 246/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 825 | 15/12/2023 | Miss Watcharawee Kongkraijirakit (formerly known as Miss Pannipa Nuntaudomcharoe | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 86 of the Penal Code / SEC Act | During 2017 - 2018, two former directors of Top Line Living Company Limited ("TOPLINE") which is the subsidiary of Polaris Capital Public Company Limited, namely (1) Miss Orranan Boonma and (2) Mr. Nugul Phengkham, sold units of TOPLINE's condominium, The Clover Phuket, to four persons, namely (3) Mr. Thanyapong Limwongyut (4) Mr. Akkaradech Wattana (5) Miss Watcharawee Kongkraijirakit (formerly known as Miss Pannipa Nuntaudomcharoen) and (6) Prince Grand Company Limited ("Prince Grand"). The mentioned units of the condominium were sold at a price significantly lower than the market price at that time. As a result, these four buyers obtained benefit from selling their condominium units to other persons at a price significantly higher than the price purchased from TOPLINE. Moreover, Miss Orranan committed siphon money received from the sale of TOPLINE condominiums away from TOPLINE. These act of six persons caused damage to TOPLINE in approximate total value of 88 million baht. In this regard, Miss Orranan and Mr. Nugul failed to perform the duties with dishonest intent causing damage to TOPLINE or causing themselves or another person to obtain any benefit from contravention or failure to comply with such duties. In addition, the act of Miss Orranan and Mr. Nugul was assisted or facilitated by Mr. Thanyapong, Mr. Akkaradech, Miss Watcharawee and Prince Grand. | 246/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 826 | 15/12/2023 | Prince Grand Company Limited | 281/2 paragraph 2 in conjunction with 89/7, 89/24 in conjunction with section 86 of the Penal Code / SEC Act | During 2017 - 2018, two former directors of Top Line Living Company Limited ("TOPLINE") which is the subsidiary of Polaris Capital Public Company Limited, namely (1) Miss Orranan Boonma and (2) Mr. Nugul Phengkham, sold units of TOPLINE's condominium, The Clover Phuket, to four persons, namely (3) Mr. Thanyapong Limwongyut (4) Mr. Akkaradech Wattana (5) Miss Watcharawee Kongkraijirakit (formerly known as Miss Pannipa Nuntaudomcharoen) and (6) Prince Grand Company Limited ("Prince Grand"). The mentioned units of the condominium were sold at a price significantly lower than the market price at that time. As a result, these four buyers obtained benefit from selling their condominium units to other persons at a price significantly higher than the price purchased from TOPLINE. Moreover, Miss Orranan committed siphon money received from the sale of TOPLINE condominiums away from TOPLINE. These act of six persons caused damage to TOPLINE in approximate total value of 88 million baht. In this regard, Miss Orranan and Mr. Nugul failed to perform the duties with dishonest intent causing damage to TOPLINE or causing themselves or another person to obtain any benefit from contravention or failure to comply with such duties. In addition, the act of Miss Orranan and Mr. Nugul was assisted or facilitated by Mr. Thanyapong, Mr. Akkaradech, Miss Watcharawee and Prince Grand. | 246/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 827 | 13/12/2023 | Mr PONGPAT THAVISOMBOON | | | 245/2023 | Administrative Orders | Revocation | Effective Date 13/12/2023 to 12/12/2028 |
| 828 | 13/12/2023 | Mr TORPONG KRITHAYAKRIEN | | | 245/2023 | Administrative Orders | Revocation | Effective Date 13/12/2023 to 12/06/2026 |
| 829 | 13/12/2023 | Mr THANAKORN CHONGSUKSIRICHOK | | | 245/2023 | Administrative Orders | Revocation | Effective Date 13/12/2023 to 12/06/2026 |
| 830 | 13/12/2023 | Mr CHOTIWIT JIRATANANUWONG | | | 245/2023 | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 13/12/2023 to 12/03/2025 |
| 831 | 13/12/2023 | Mr PHUWIT PONGCHALOEM | | | 245/2023 | Administrative Orders | Suspension | Effective Date 13/12/2023 to 12/03/2025 |
| 832 | 16/11/2023 | Mr. Kumpol Plussind | 242 (1) / SEC Act (the fifth amendment) | Mr. Kumpol Plussind as the Managing Director and Director of Chularat Hospital Public Company Limited (CHG) during the incident, knew or possessed an inside information material which might affect to positive change in the price of CHG's share which was the fact that the CHG's Q3/2019 performance which would significantly improve because of receive a huge medical treatment income of chronic diseases from Social Security Office. Subsequently, Mr. Kumpol Plussind commit offense in using Mr. Krit Plussind's and Miss Kullapa Plussind's securities trading accounts to purchase CHG shares in such a way as to take advantage of other persons before CHG disclosed the inside information to the public on 15 November 2019. | 210/2023 | Civil Sanction | 16/11/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 3,011,454.00 Baht
- a civil monetary penalty of 3,764,317.50 Baht
- a bar from serving as a director or executive in a securities issuing company between 16/11/2023 and 15/01/2025
- a bar from serving as a director or executive in a securities company between 16/11/2023 and 15/01/2025
- a reimbursement of investigative expenses in an amount of 98,082.50 Baht | |
| 833 | 16/11/2023 | Mr. Krit Plussind | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | Mr. Krit Plussind aided or abetted Mr. Kumpol Plussind to purchase Chularat Hospital Public Company Limited (CHG) shares by using positive substantial inside information about CHG's Q3/2019 performance would significantly improve because of receive a huge medical treatment income of chronic diseases from Social Security Office through his securities trading accounts during 10 October 2019 – 14 November 2019 prior to the disclosure of such inside information to the public on 15 November 2019. | 210/2023 | Civil Sanction | 16/11/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 16/11/2023 and 15/08/2024
- a bar from serving as a director or executive in a securities company between 16/11/2023 and 15/08/2024
- a reimbursement of investigative expenses in an amount of 98,082.00 Baht | |
| 834 | 16/11/2023 | Miss Kullapa Plussind | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | Miss Kullapa Plussind aided or abetted Mr. Kumpol Plussind to purchase Chularat Hospital Public Company Limited (CHG) shares by using positive substantial inside information about CHG's Q3/2019 performance would significantly improve because of receive a huge medical treatment income of chronic diseases from Social Security Office through her securities trading accounts during 10 October 2019 – 14 November 2019 prior to the disclosure of such inside information to the public on 15 November 2019. | 210/2023 | Civil Sanction | 16/11/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 16/11/2023 and 15/08/2024
- a bar from serving as a director or executive in a securities company between 16/11/2023 and 15/08/2024
- a reimbursement of investigative expenses in an amount of 98,082.00 Baht | |
| 835 | 14/11/2023 | Mr. Chirasak Chiyachantana | 308 311 and 313 / SEC Act | During 2017, Mr. Chirasak Chiyachantana, the Chairman and CEO of World Corporation Public Company Limited ("WORLD"), with the assistance of Ms. Chirawin Hongsri, received a refund from its vendor under the Land sale contract in the amount of 30 million baht. However, there is no evidence showing that Mr. Chirasak or Ms. Chirawin returned the money to WORLD in any way. Therefore, Mr. Chirasak's actions constitute dishonestly converting WORLD's property for himself or a third party, and obtaining unlawful gains for himself or another person and caused damage to WORLD. In addition, the acts mentioned above were assisted or facilitated by Ms. Chirawin. | 211/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 836 | 14/11/2023 | Ms. Chirawin Hongsri | 308 311 and 315 / SEC Act | During 2017, Mr. Chirasak Chiyachantana, the Chairman and CEO of World Corporation Public Company Limited ("WORLD"), with the assistance of Ms. Chirawin Hongsri, received a refund from its vendor under the Land sale contract in the amount of 30 million baht. However, there is no evidence showing that Mr. Chirasak or Ms. Chirawin returned the money to WORLD in any way. Therefore, Mr. Chirasak's actions constitute dishonestly converting WORLD's property for himself or a third party, and obtaining unlawful gains for himself or another person and caused damage to WORLD. In addition, the acts mentioned above were assisted or facilitated by Ms. Chirawin. | 211/2023 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 837 | 01/11/2023 | Renaissance Fund Management LTD. | 97 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 838 | 01/11/2023 | Renaissance Fund Management LTD. | section 105 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 839 | 01/11/2023 | Renaissance Fund Management LTD. | 105 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 840 | 01/11/2023 | Renaissance Fund Management LTD | 105 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 841 | 01/11/2023 | Renaissance Fund Management LTD | 106 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 842 | 01/11/2023 | Renaissance Fund Management LTD | 106 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 843 | 01/11/2023 | Renaissance Fund Management LTD | 106 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 844 | 01/11/2023 | Renaissance Fund Management LTD | 104 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 845 | 01/11/2023 | Renaissance Fund Management LTD | 133 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 846 | 01/11/2023 | Renaissance Fund Management LTD. | 133 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 847 | 01/11/2023 | Renaissance Fund Management LTD. | 133 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 848 | 01/11/2023 | Renaissance Fund Management LTD. | 143 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 849 | 01/11/2023 | Renaissance Fund Management LTD | section 302 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 850 | 01/11/2023 | Renaissance Fund Management LTD | section 302 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 851 | 01/11/2023 | Renaissance Fund Management LTD | section 302 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 852 | 01/11/2023 | Renaissance Fund Management LTD | section 302 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 853 | 01/11/2023 | Renaissance Fund Management LTD | section 302 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 854 | 19/10/2023 | Miss SAOWARAT BOONCHOO | | | 188/2023 | Administrative Orders | Revocation | Effective Date 19/10/2023 to 18/10/2033 |
| 855 | 27/09/2023 | Mr PHISIT TANINRUNGROJ | | | 167/2023 | Administrative Orders | Revocation | Effective Date 27/09/2023 to 26/09/2033 |
| 856 | 21/09/2023 | Mr. Winyu Chaiyawan | 300 in conjunction with 33 / SEC Act | Mr. Winyu Chaiyawan, chief Executive Officer who is responsible for the operation of Thaicredit Retail Bank Public Company Limited (“TCR”), shall be liable for TCR offer for sale newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 71/2566 | |
| 857 | 21/09/2023 | Thaicredit Retail Bank Public Company Limited | 33 / SEC Act | On 1 March, 2017 Thaicredit Retail Bank Public Company Limited (“TCR”) offer for sale newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 70/2566 | |
| 858 | 22/08/2023 | Miss Laksana Supsakorn | 242 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | Miss Laksana Supsakorn as the Chairman and Authorized Director of Tipco Foods Public Company Limited ("TIPCO") and Director of Tipco Asphalt Public Company Limited (TASCO), knew or possessed an inside information material which might affect to positive change in the price of TIPCO's share which was the fact that the distribution of interim dividend payment (No.2) and dividend payment for the year of 2020 at total rate of 0.69 Baht per share, which was extraordinary payment and the highest rate of payment in five years. Subsequently, Miss Laksana colluded with Mr. Sommart Dhupchinda to commit offense in using Mr. Sommart's securities trading account to purchase TIPCO shares in such a way as to take advantage of other persons before TIPCO disclosed the inside information to the public on 18 February 2021. | 142/2023 | Civil Sanction | 22/08/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,056,202.50 Baht
- a civil monetary penalty of 1,320,253.12 Baht
- a bar from serving as a director or executive in a securities issuing company between 22/08/2023 and 21/10/2024
- a bar from serving as a director or executive in a securities company between 22/08/2023 and 21/10/2024
- a reimbursement of investigative expenses in an amount of 108,984.38 Baht | |
| 859 | 22/08/2023 | Mr. Sommart Dhupchinda | 242 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | Mr. Sommart Dhupchinda colluded with Miss Laksana Supsakorn who was the insider which knew or possessed an inside information material which might affect to positive change in the price of TIPCO's share which were the fact that the distribution of interim dividend payment (No.2) and dividend payment for the year of 2020 at total rate of 0.69 Baht per share, which was extraordinary payment and the highest rate of payment in five years. Subsequently, they commit offense in using Mr. Sommart's securities trading account to purchase TIPCO shares in such a way as to take advantage of other persons before TIPCO disclosed the inside information to the public on 18 February 2021. | 142/2023 | Civil Sanction | 22/08/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,056,202.50 Baht
- a civil monetary penalty of 1,320,253.12 Baht
- a bar from serving as a director or executive in a securities issuing company between 22/08/2023 and 21/08/2024
- a bar from serving as a director or executive in a securities company between 22/08/2023 and 21/08/2024
- a reimbursement of investigative expenses in an amount of 108,984.38 Baht | |
| 860 | 17/08/2023 | LLC Fair Expo | 46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB Act | Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai Zahorski, managing director. They agreed that LLC Fair Expo would perform as a market maker to provide liquidity to Satang Pro Exchange, and Satang would provide credit line to LLC Fair Expo for the performance of liquidity providing. Between 4 January 2019 and 9 September 2019, LLC Fair Expo placed purchasing and selling orders of USDT XLM และ XZC to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement.
LLC Fair Expo’s offence was resulted from the instruction or the failure to give instruction of Mr. Mikalai, managing director, which is duly required to be performed. | 146/2023 | Civil Sanction | 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 861 | 17/08/2023 | Mr. Mikalai Zahorski | 94 in conjunction with 46 (1) in conjunction with 48 (2) (3) / DAB Act | Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai Zahorski, managing director. They agreed that LLC Fair Expo would perform as a market maker to provide liquidity to Satang Pro Exchange, and Satang would provide credit line to LLC Fair Expo for the performance of liquidity providing. Between 4 January 2019 and 9 September 2019, LLC Fair Expo placed purchasing and selling orders of USDT XLM และ XZC to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement.
LLC Fair Expo’s offence was resulted from the instruction or the failure to give instruction of Mr. Mikalai, managing director, which is duly required to be performed. | 146/2023 | Civil Sanction | 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 862 | 17/08/2023 | Mr. Khajornkiat Ung-aram | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – January 2020, Mr. Khajornkiat Ung-aram and 13 offenders, which are (1) Miss Porntip Meteecharoenwong, (2) Mrs. Tasanee Yampradit, (3) Miss Mutita Ekawipat, (4) Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya), (5) Mr. Methasit Machawna, (6) Miss Metinee Sittikornmetakul, (7) Miss Variya Khemthongpradit, (8) Mr. Tanaphol Khemthongpradit, (9) Miss Achara Suvidejkosol, (10) Miss Photchana Phisetphok, (11) Mr. Sittapawee Chawaranggoon, (12) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), and (13) Miss Mewika Disri, colluded to manipulate the stock price of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019, (2) Global Service Center Public Company Limited (GSC) on 13 December 2019, (3) Asian Sea Corporation Public Company Limited (ASIAN) on 16 December 2019, (4) Floyd Public Company Limited (FLOYD) on 20 December 2019 between 10.05.35 a.m. and 11.56.02 a.m. and (5) Raja Ferry Port Public Company Limited (RP) between 23 January 2020 at 3.13.08 p.m. and 24 January 2022 at 10.01.59 a.m. (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 22/03/2024 filed a lawsuit to a civil court 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Khajornkiat Ung-aram and other 10 persons jointly manipulating the share price of SCI. The other 4 cases are currently under the state attorney process |
| 863 | 17/08/2023 | Miss Porntip Meteecharoenwong | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – January 2020, Miss Porntip Meteecharoenwong and 13offenders, which are (1) Mr. Khajornkiat Ung-aram, (2) Mrs. Tasanee Yampradit, (3) Miss Mutita Ekawipat, (4) Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya), (5) Mr. Methasit Machawna, (6) Miss Metinee Sittikornmetakul, (7) Miss Variya Khemthongpradit, (8) Mr. Tanaphol Khemthongpradit, (9) Miss Achara Suvidejkosol, (10) Miss Photchana Phisetphok, (11) Mr. Sittapawee Chawaranggoon, (12) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), and (13) Miss Mewika Disri, colluded to manipulate the stock price of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019, (2) Global Service Center Public Company Limited (GSC) on 13 December 2019, (3) Asian Sea Corporation Public Company Limited (ASIAN) on 16 December 2019, (4) Floyd Public Company Limited (FLOYD) on 20 December 2019 between 10.05.35 a.m. and 11.56.02 a.m. and (5) Raja Ferry Port Public Company Limited (RP) between 23 January 2020 at 3.13.08 p.m. and 24 January 2022 at 10.01.59 a.m. (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 22/03/2024 filed a lawsuit to a civil court 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Miss Porntip Meteecharoenwong and other 10 persons jointly manipulating the share price of SCI. The other 4 cases are currently under the state attorney process |
| 864 | 17/08/2023 | Mrs. Tasanee Yampradit | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – December 2019, Mrs. Tasanee Yampradit and 10 offenders, which are (1) Mr. Khajornkiat Ung-aram (2) Miss Porntip Meteecharoenwong (3) Miss Mutita Ekawipat (4) Mr. Methasit Machawna (5) Miss Metinee Sittikornmetakul (6) Miss Variya Khemthongpradit (7) Mr. Tanaphol Khemthongpradit (8) Miss Achara Suvidejkosol (9) Mr. Sittapawee Chawaranggoon, and (10) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), colluded to manipulate the stock price of of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019 (2) Global Service Center Public Company Limited (GSC) on 13 December 2019 (3) Asian Sea Corporation Public Company Limited (ASIAN) on 16 December 2019 (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 22/03/2024 filed a lawsuit to a civil court 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mrs. Tasanee Yampradit and other 10 persons jointly manipulating the share price of SCI. The other 2 cases are currently under the state attorney process |
| 865 | 17/08/2023 | Miss Mutita Ekawipat | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – December 2019, Miss Mutita Ekawipat and 10 offenders, which are (1) Mr. Khajornkiat Ung-aram, (2) Miss Porntip Meteecharoenwong, (3) Mrs. Tasanee Yampradit, (4) Mr. Methasit Machawna, (5) Miss Metinee Sittikornmetakul, (6) Miss Variya Khemthongpradit, (7) Mr. Tanaphol Khemthongpradit, (8) Miss Achara Suvidejkosol, (9) Mr. Sittapawee Chawaranggoon, and (10) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), colluded to manipulate the stock price of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019, (2) Global Service Center Public Company Limited (GSC) on 13 December 2019, and (3) Floyd Public Company Limited (FLOYD) on 20 December 2019 between 10.05.35 a.m. and 11.56.02 a.m. (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 22/03/2024 filed a lawsuit to a civil court 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Miss Mutita Ekawipat and other 10 persons jointly manipulating the share price of SCI. The other 2 cases are currently under the state attorney process. |
| 866 | 17/08/2023 | Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya) | 244/3 (2) / SEC Act (the fifth amendment) | Between 23 January 2020 at 3.13.08 p.m. and 24 January 2022 at 10.01.59 a.m., Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya) and 9 offenders, which are (1) Mr. Khajornkiat Ung-aram, (2) Miss Porntip Meteecharoenwong, (3) Mr. Methasit Machawna, (4) Miss Variya Khemthongpradit, (5) Mr. Tanaphol Khemthongpradit, (6) Miss Photchana Phisetphok, (7) Mr. Sittapawee Chawaranggoon, (8) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), and (9) Miss Mewika Disri, colluded to manipulate the stock price of Raja Ferry Port Public Company Limited (RP) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 867 | 17/08/2023 | Mr. Methasit Machawna | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – January 2020, Mr. Methasit Machawna and 13 offenders, which are (1) Mr. Khajornkiat Ung-aram, (2) Miss Porntip Meteecharoenwong, (3) Mrs. Tasanee Yampradit, (4) Miss Mutita Ekawipat, (5) Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya), (6) Miss Metinee Sittikornmetakul, (7) Miss Variya Khemthongpradit, (8) Mr. Tanaphol Khemthongpradit, (9) Miss Achara Suvidejkosol, (10) Miss Photchana Phisetphok, (11) Mr. Sittapawee Chawaranggoon, (12) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), and (13) Miss Mewika Disri, colluded to manipulate the stock price of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019, (2) Global Service Center Public Company Limited (GSC) on 13 December 2019, (3) Asian Sea Corporation Public Company Limited (ASIAN) on 16 December 2019, and (4) Raja Ferry Port Public Company Limited (RP) between 23 January 2020 at 3.13.08 p.m. and 24 January 2022 at 10.01.59 a.m. (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 22/03/2024 filed a lawsuit to a civil court 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Methasit Machawna and other 10 persons jointly manipulating the share price of SCI. The other 3 cases are currently under the state attorney process. |
| 868 | 17/08/2023 | Miss Variya Khemthongpradit | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – January 2020, Miss Variya Khemthongpradit and 13 offenders, which are (1) Mr. Khajornkiat Ung-aram (2) Miss Porntip Meteecharoenwong, (3) Mrs. Tasanee Yampradit, (4) Miss Mutita Ekawipat, (5) Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya), (6) Mr. Methasit Machawna, (7) Miss Metinee Sittikornmetakul, (8) Mr. Tanaphol Khemthongpradit, (9) Miss Achara Suvidejkosol, (10) Miss Photchana Phisetphok, (11) Mr. Sittapawee Chawaranggoon, (12) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), and (13) Miss Mewika Disri, colluded to manipulate the stock price of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019, (2) Global Service Center Public Company Limited (GSC) on 13 December 2019, (3) Asian Sea Corporation Public Company Limited (ASIAN) on 16 December 2019, and (4) Raja Ferry Port Public Company Limited (RP) between 23 January 2020 at 3.13.08 p.m. and 24 January 2022 at 10.01.59 a.m. (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 22/03/2024 filed a lawsuit to a civil court 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Miss Variya Khemthongpradit and other 10 persons jointly manipulating the share price of SCI. The other 3 cases are currently under the state attorney process. |
| 869 | 17/08/2023 | Mr. Tanaphol Khemthongpradit | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – January 2020, Mr. Tanaphol Khemthongpradit and 13 offenders, which are (1) Mr. Khajornkiat Ung-aram (2) Miss Porntip Meteecharoenwong, (3) Mrs. Tasanee Yampradit, (4) Miss Mutita Ekawipat, (5) Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya), (6) Mr. Methasit Machawna, (7) Miss Metinee Sittikornmetakul, (8) Miss Variya Khemthongpradit, (9) Miss Achara Suvidejkosol, (10) Miss Photchana Phisetphok, (11) Mr. Sittapawee Chawaranggoon, (12) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), and (13) Miss Mewika Disri,colluded to manipulate the stock price of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019, (2) Global Service Center Public Company Limited (GSC) on 13 December 2019, (3) Asian Sea Corporation Public Company Limited (ASIAN) on 16 December 2019, (4) Floyd Public Company Limited (FLOYD) on 20 December 2019 between 10.05.35 a.m. and 11.56.02 a.m., and (5) Raja Ferry Port Public Company Limited (RP) between 23 January 2020 at 3.13.08 p.m. and 24 January 2022 at 10.01.59 a.m. (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 22/03/2024 filed a lawsuit to a civil court 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Tanaphol Khemthongpradit and other 10 persons jointly manipulating the share price of SCI. The other 4 cases are currently under the state attorney process. |
| 870 | 17/08/2023 | Miss Achara Suvidejkosol | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – December 2019, Miss Achara Suvidejkosol and 10 offenders, which are (1) Mr. Khajornkiat Ung-aram, (2) Miss Porntip Meteecharoenwong, (3) Mrs. Tasanee Yampradit, (4) Miss Mutita Ekawipat, (5) Mr. Methasit Machawna, (6) Miss Metinee Sittikornmetakul, (7) Miss Variya Khemthongpradit, (8) Mr. Tanaphol Khemthongpradit, (9) Mr. Sittapawee Chawaranggoon, and (10) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), colluded to manipulate the stock price of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019, (2) Asian Sea Corporation Public Company Limited (ASIAN) on 16 December 2019, and (3) Floyd Public Company Limited (FLOYD) on 20 December 2019 between 10.05.35 a.m. and 11.56.02 a.m. (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 22/03/2024 filed a lawsuit to a civil court 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Miss Achara Suvidejkosol and other 10 persons jointly manipulating the share price of SCI. The other 2 cases are currently under the state attorney process. |
| 871 | 17/08/2023 | Miss Photchana Phisetphok | 244/3 (2) / SEC Act (the fifth amendment) | Between 23 January 2020 at 3.13.08 p.m. and 24 January 2022 at 10.01.59 a.m., Miss Photchana Phisetphok and 9 offenders, which are (1) Mr. Khajornkiat Ung-aram, (2) Miss Porntip Meteecharoenwong, (3) Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya), (4) Mr. Methasit Machawna, (5) Miss Variya Khemthongpradit, (6) Mr. Tanaphol Khemthongpradit, (7) Mr. Sittapawee Chawaranggoon, (8) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), and (9) Miss Mewika Disri, colluded to manipulate the stock price of Raja Ferry Port Public Company Limited (RP) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 872 | 17/08/2023 | Mr. Sittapawee Chawaranggoon | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – January 2020, Mr. Sittapawee Chawaranggoon and 13 offenders, which are (1) Mr. Khajornkiat Ung-aram, (2) Miss Porntip Meteecharoenwong, (3) Mrs. Tasanee Yampradit, (4) Miss Mutita Ekawipat, (5) Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya), (6) Mr. Methasit Machawna, (7) Miss Metinee Sittikornmetakul, (8) Miss Variya Khemthongpradit, (9) Mr. Tanaphol Khemthongpradit, (10) Miss Achara Suvidejkosol, (11) Miss Photchana Phisetphok, (12) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), and (13) Miss Mewika Disri, colluded to manipulate the stock price of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019, (2) Global Service Center Public Company Limited (GSC) on 13 December 2019, (3) Asian Sea Corporation Public Company Limited (ASIAN) on 16 December 2019, (4) Floyd Public Company Limited (FLOYD) on 20 December 2019 between 10.05.35 a.m. and 11.56.02 a.m., and (5) Raja Ferry Port Public Company Limited (RP) between 23 January 2020 at 3.13.08 p.m. and 24 January 2022 at 10.01.59 a.m. (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 22/03/2024 filed a lawsuit to a civil court 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Sittapawee Chawaranggoon and other 10 persons jointly manipulating the share price of SCI. The other 4 cases are currently under the state attorney process. |
| 873 | 17/08/2023 | Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn) | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – January 2020, Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn) and 13 offenders, which are (1) Mr. Khajornkiat Ung-aram, (2) Miss Porntip Meteecharoenwong, (3) Mrs. Tasanee Yampradit, (4) Miss Mutita Ekawipat, (5) Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya), (6) Mr. Methasit Machawna, (7) Miss Metinee Sittikornmetakul, (8) Miss Variya Khemthongpradit, (9) Mr. Tanaphol Khemthongpradit, (10) Miss Achara Suvidejkosol, (11) Miss Photchana Phisetphok, (12) Mr. Sittapawee Chawaranggoon, and (13) Miss Mewika Disri, colluded to manipulate the stock price of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019, (2) Global Service Center Public Company Limited (GSC) on 13 December 2019, (3) Asian Sea Corporation Public Company Limited (ASIAN) on 16 December 2019, (4) Floyd Public Company Limited (FLOYD) on 20 December 2019 between 10.05.35 a.m. and 11.56.02 a.m., and (5) Raja Ferry Port Public Company Limited (RP) between 23 January 2020 at 3.13.08 p.m. and 24 January 2022 at 10.01.59 a.m. (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 22/03/2024 filed a lawsuit to a civil court 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn) and other 10 persons jointly manipulating the share price of SCI. The other 4 cases are currently under the state attorney process. |
| 874 | 17/08/2023 | Miss Mewika Disri | 244/3 (2) / SEC Act (the fifth amendment) | Between 23 January 2020 at 3.13.08 p.m. and 24 January 2022 at 10.01.59 a.m., Miss Mewika Disri and 9 offenders, which are (1) Mr. Khajornkiat Ung-aram, (2) Miss Porntip Meteecharoenwong, (3) Miss Chanisakan Choksahapiphat (formerly Miss Warisara Chaijaroenpanya), (4) Mr. Methasit Machawna, (5) Miss Variya Khemthongpradit, (6) Mr. Tanaphol Khemthongpradit, (7) Miss Photchana Phisetphok, (8) Mr. Sittapawee Chawaranggoon, and (9) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), colluded to manipulate the stock price of Raja Ferry Port Public Company Limited (RP) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 148/2023 | Civil Sanction | 17/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 875 | 09/08/2023 | Mr. Panya Boonyapiwat | 300 in conjunction with 33 / SEC Act | Mr Panya Boonyapiwat, a former Chairman of the Board responsible for the operation of Dimet (Siam) Public Company Limited ("DIMET") shall be liable for DIMET offering for sale of newly issued securities in the category of shares (Private Placement) without approval from the SEC office resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 67/2566 | |
| 876 | 09/08/2023 | Mr. Somchai Pruangviriya | 33 / SEC Act | Mr. Somchai Pruangviriya, Authorized director of Family Corporation Company Limited ("Family"), shall be liable for Family’s offering for sale newly issued securities in the category of debentures between August 11, 2017 and August 5, 2020 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 66/2566 | |
| 877 | 09/08/2023 | Family Corporation Company Limited | 33 / SEC Act | Between August 11, 2017 and August 5, 2020 Family Corporation Company Limited offered for sale newly issued securities in the category of promissory note without the approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 65/2566 | |
| 878 | 04/08/2023 | Mr TEERASAK TIPBOONSRI | | performing duties without honesty and behaviors that imply dishonesty | 136/2023 | Administrative Orders | Revocation | Effective Date 04/08/2023 to 03/08/2033 |
| 879 | 03/08/2023 | Mrs. Chatkaew Gajaseni | 242 (1) and 242 (2) / SEC Act (the fifth amendment) | Mrs. Chatkaew Gajaseni, while being director and executive director of PTG Energy Public Company Limited (PTG), knew or possessed negative substantial inside information about PTG’s Q3/2018 performance which would significantly worsen. Subsequently, during 3 September 2018 to 2 November 2018 prior to PTG’s disclosure of such inside information to the public on 8 November 2018, Mrs. Chatkaew sold PTG stocksstocks by using such inside information through securities trading accounts of Ms. Lapat-orn Gajaseni, Mr. Sahadchai Gajaseni, Mr. Khemmapope Gajaseni. Furthermore, Mrs. Chatkaew also disclosed such inside information to Mrs. Kotchakorn Phiboonthammasak, who also sold PTG stocks by using such inside information prior to PTG’s disclosure of such inside information to the public. | 086/2023 | Civil Sanction | 03/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 880 | 03/08/2023 | Ms. Lapat-orn Gajaseni | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | Ms. Lapat-orn Gajaseni aided or abetted Mrs. Chatkaew Gajaseni to sell PTG Energy Public Company Limited (PTG) stocks by using negative substantial inside information about PTG’s Q3/2018 performance which would significantly worsen through her securities trading accounts during 4 – 5 October 2018 prior to the disclosure of such inside information to the public on 8 November 2018. | 086/2023 | Civil Sanction | 03/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 881 | 03/08/2023 | Mr. Sahadchai Gajaseni | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | Mr. Sahadchai Gajaseni aided or abetted Mrs. Chatkaew Gajaseni to sell PTG Energy Public Company Limited (PTG) stocks by using negative substantial inside information about PTG’s Q3/2018 performance which would significantly worsen through his securities trading accounts on 4 October 2018 prior to the disclosure of such inside information to the public on 8 November 2018. | 086/2023 | Civil Sanction | 03/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 882 | 03/08/2023 | Mr. Khemmapope Gajaseni | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | Mr. Khemmapope Gajaseni aided or abetted Mrs. Chatkaew Gajaseni to sell PTG Energy Public Company Limited (PTG) stocks by using negative substantial inside information about PTG’s Q3/2018 performance which would significantly worsen through his securities trading accounts during 3 September 2018 to 2 November 2018 prior to the disclosure of such inside information to the public on 8 November 2018. | 086/2023 | Civil Sanction | 03/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 883 | 03/08/2023 | Mrs. Kotchakorn Phiboonthammasak | 242 (1) / SEC Act (the fifth amendment) | Mrs. Kotchakorn Phiboonthammasak knew or possessed negative substantial inside information about PTG Energy Public Company Limited (PTG) Q3/2018 performance which would significantly worsen disclosed by Mrs. Chatkaew Gajaseni. Subsequently, during 3 September 2018 to 6 November 2018 prior to PTG’s disclosure of such inside information to the public on 8 November 2018, Mrs. Kotchakorn sold PTG stocks by using such inside information through her securities trading accounts. | 086/2023 | Civil Sanction | 03/08/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,930,300.00 Baht
- a civil monetary penalty of 2,219,845.00 Baht
- a reimbursement of investigative expenses in an amount of 37,586.00 Baht | |
| 884 | 03/08/2023 | Mr. Tharathon Phiboonthammasak | 242 (1) / SEC Act (the fifth amendment) | Mr. Tharathon Phiboonthammasak knew or possessed negative substantial inside information about PTG Energy Public Company Limited (PTG) Q3/2018 performance which would significantly worsen. Subsequently, during 3 September 2018 to 5 November 2018 prior to PTG’s disclosure of such inside information to the public on 8 November 2018, Mr. Tharathon sold PTG stocks by using such inside information through his securities trading accounts. | 086/2023 | Civil Sanction | 03/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 885 | 06/07/2023 | Stark Corporation Public Company Limited | 278 and 281/10 / SEC Act | Stark Corporation Public Company Limited ("STARK") made a false statement and concealed a fact that should have been stated in the registration statement and draft prospectus submitted to the SEC Office during the period between 2021 and 2022. Regarding the registration statement and draft prospectus, STARK disclosed the financial statements for the year 2021 that were falsified and disclosed investments in LEONI Kabel GmbH and LEONIsche Holding Inc, which were not completed due to a failure to meet preconditions. | 116/2023 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 886 | 06/07/2023 | Mr. Chanin Yensudchai | 312 281/2 paragraph 2 in conjunction with 89/7 and 89/7 in conjunction with 89/24 278 281/10 in conjunction with 300 and 306 / SEC Act | During the period between 2021 and 2022, five former directors and executives of STARK Corporation Public Company Limited ("STARK") and its subsidiaries, namely (1) Mr. Chanin Yensudchai, (2) Mr. Chinawat Assavapokee, (3) Mr. Vonnarat Tangkaravakoon, (4) Mr. Sathar Chantrasettalead, and (5) Mr. Kittisak Jitprasertngam, colluded or consented to falsify, misrepresent, or omit material facts in the financial statements or documents of STARK and its subsidiaries (financial statement manipulation) to deceive any person. Moreover, they also facilitated STARK in making false statements and concealing facts that should have been stated in the registration statement and draft prospectus submitted to the SEC Office, which included falsified financial statements for the year 2021 and disclosure of investments in LEONI Kabel GmbH and LEONIsche Holding Inc, even though the investments in these entities were not fully completed due to failure to meet preconditions. Furthermore, after STARK received funds from the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. The acts mentioned above were assisted or facilitated by four juristic persons, namely (1) Phelps Dodge International (Thailand) Limited, (2) Thai Cable International Company Limited, (3) Adisorn Songkhla Company Limited and (4) Asia Pacific Drilling Engineering Company Limited. | 116/2023 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 887 | 06/07/2023 | Mr. Chinawat Assavapokee | 312 281/2 paragraph 2 in conjunction with 89/7 and 89/7 in conjunction with 89/24 278 281/10 in conjunction with 300 and 306 / SEC Act | During the period between 2021 and 2022, five former directors and executives of STARK Corporation Public Company Limited ("STARK") and its subsidiaries, namely (1) Mr. Chanin Yensudchai, (2) Mr. Chinawat Assavapokee, (3) Mr. Vonnarat Tangkaravakoon, (4) Mr. Sathar Chantrasettalead, and (5) Mr. Kittisak Jitprasertngam, colluded or consented to falsify, misrepresent, or omit material facts in the financial statements or documents of STARK and its subsidiaries (financial statement manipulation) to deceive any person. Moreover, they also facilitated STARK in making false statements and concealing facts that should have been stated in the registration statement and draft prospectus submitted to the SEC Office, which included falsified financial statements for the year 2021 and disclosure of investments in LEONI Kabel GmbH and LEONIsche Holding Inc, even though the investments in these entities were not fully completed due to failure to meet preconditions. Furthermore, after STARK received funds from the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. The acts mentioned above were assisted or facilitated by four juristic persons, namely (1) Phelps Dodge International (Thailand) Limited, (2) Thai Cable International Company Limited, (3) Adisorn Songkhla Company Limited and (4) Asia Pacific Drilling Engineering Company Limited. | 116/2023 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. The case was deemed final. | |
| 888 | 06/07/2023 | Mr. Vonnarat Tangkaravakoon | 312 281/2 paragraph 2 in conjunction with 89/7 and 89/7 in conjunction with 89/24 and 306 / SEC Act | During the period between 2021 and 2022, five former directors and executives of STARK Corporation Public Company Limited ("STARK") and its subsidiaries, namely (1) Mr. Chanin Yensudchai, (2) Mr. Chinawat Assavapokee, (3) Mr. Vonnarat Tangkaravakoon, (4) Mr. Sathar Chantrasettalead, and (5) Mr. Kittisak Jitprasertngam, colluded or consented to falsify, misrepresent, or omit material facts in the financial statements or documents of STARK and its subsidiaries (financial statement manipulation) to deceive any person. Furthermore, after STARK received funds from the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. The acts mentioned above were assisted or facilitated by four juristic persons, namely (1) Phelps Dodge International (Thailand) Limited, (2) Thai Cable International Company Limited, (3) Adisorn Songkhla Company Limited and (4) Asia Pacific Drilling Engineering Company Limited. | 116/2023 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 889 | 06/07/2023 | Mr. Sathar Chantrasettalead | 312 281/2 paragraph 2 in conjunction with 89/7 and 89/7 in conjunction with 89/24 278 281/10 in conjunction with 300 and 306 / SEC Act | During the period between 2021 and 2022, five former directors and executives of STARK Corporation Public Company Limited ("STARK") and its subsidiaries, namely (1) Mr. Chanin Yensudchai, (2) Mr. Chinawat Assavapokee, (3) Mr. Vonnarat Tangkaravakoon, (4) Mr. Sathar Chantrasettalead, and (5) Mr. Kittisak Jitprasertngam, colluded or consented to falsify, misrepresent, or omit material facts in the financial statements or documents of STARK and its subsidiaries (financial statement manipulation) to deceive any person. Moreover, they also facilitated STARK in making false statements and concealing facts that should have been stated in the registration statement and draft prospectus submitted to the SEC Office, which included falsified financial statements for the year 2021 and disclosure of investments in LEONI Kabel GmbH and LEONIsche Holding Inc, even though the investments in these entities were not fully completed due to failure to meet preconditions. Furthermore, after STARK received funds from the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. The acts mentioned above were assisted or facilitated by four juristic persons, namely (1) Phelps Dodge International (Thailand) Limited, (2) Thai Cable International Company Limited, (3) Adisorn Songkhla Company Limited and (4) Asia Pacific Drilling Engineering Company Limited. | 116/2023 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 890 | 06/07/2023 | Mr. Kittisak Jitprasertngam | 312 281/2 paragraph 2 in conjunction with 89/7 and 89/7 in conjunction with 89/24 and 306 / SEC Act | During the period between 2021 and 2022, five former directors and executives of STARK Corporation Public Company Limited ("STARK") and its subsidiaries, namely (1) Mr. Chanin Yensudchai, (2) Mr. Chinawat Assavapokee, (3) Mr. Vonnarat Tangkaravakoon, (4) Mr. Sathar Chantrasettalead, and (5) Mr. Kittisak Jitprasertngam, colluded or consented to falsify, misrepresent, or omit material facts in the financial statements or documents of STARK and its subsidiaries (financial statement manipulation) to deceive any person. Furthermore, after STARK received funds from the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. The acts mentioned above were assisted or facilitated by four juristic persons, namely (1) Phelps Dodge International (Thailand) Limited, (2) Thai Cable International Company Limited, (3) Adisorn Songkhla Company Limited and (4) Asia Pacific Drilling Engineering Company Limited. | 116/2023 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 891 | 06/07/2023 | Phelps Dodge International (Thailand) Limited | 312 306 in conjunction with 315 / SEC Act | During the period between 2021 and 2022, four juristic persons, namely (1) Phelps Dodge International (Thailand) Limited, (2) Thai Cable International Company Limited, (3) Adisorn Songkhla Company Limited and (4) Asia Pacific Drilling Engineering Company Limited, assisted or facilitated five former directors and executives of STARK Corporation Public Company Limited ("STARK") and its subsidiaries, namely (1) Mr. Chanin Yensudchai, (2) Mr. Chinawat Assavapokee, (3) Mr. Vonnarat Tangkaravakoon, (4) Mr. Sathar Chantrasettalead, and (5) Mr. Kittisak Jitprasertngam, in colluding or consenting to falsify, misrepresent, or omit material facts in the financial statements or documents of STARK and its subsidiaries (financial statement manipulation) to deceive any person. Furthermore, after STARK received funds from the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. | 116/2023 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 892 | 06/07/2023 | Thai Cable International Company Limited | 312 306 in conjunction with 315 / SEC Act | During the period between 2021 and 2022, four juristic persons, namely (1) Phelps Dodge International (Thailand) Limited, (2) Thai Cable International Company Limited, (3) Adisorn Songkhla Company Limited and (4) Asia Pacific Drilling Engineering Company Limited, assisted or facilitated five former directors and executives of STARK Corporation Public Company Limited ("STARK") and its subsidiaries, namely (1) Mr. Chanin Yensudchai, (2) Mr. Chinawat Assavapokee, (3) Mr. Vonnarat Tangkaravakoon, (4) Mr. Sathar Chantrasettalead, and (5) Mr. Kittisak Jitprasertngam, in colluding or consenting to falsify, misrepresent, or omit material facts in the financial statements or documents of STARK and its subsidiaries (financial statement manipulation) to deceive any person. Furthermore, after STARK received funds from the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. | 116/2023 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 893 | 06/07/2023 | Adisorn Songkhla Company Limited | 312 306 in conjunction with 315 / SEC Act | During the period between 2021 and 2022, four juristic persons, namely (1) Phelps Dodge International (Thailand) Limited, (2) Thai Cable International Company Limited, (3) Adisorn Songkhla Company Limited and (4) Asia Pacific Drilling Engineering Company Limited, assisted or facilitated five former directors and executives of STARK Corporation Public Company Limited ("STARK") and its subsidiaries, namely (1) Mr. Chanin Yensudchai, (2) Mr. Chinawat Assavapokee, (3) Mr. Vonnarat Tangkaravakoon, (4) Mr. Sathar Chantrasettalead, and (5) Mr. Kittisak Jitprasertngam, in colluding or consenting to falsify, misrepresent, or omit material facts in the financial statements or documents of STARK and its subsidiaries (financial statement manipulation) to deceive any person. Furthermore, after STARK received funds from the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. | 116/2023 | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 894 | 06/07/2023 | Asia Pacific Drilling Engineering Company Limited | 312 306 in conjunction with 315 / SEC Act | During the period between 2021 and 2022, four juristic persons, namely (1) Phelps Dodge International (Thailand) Limited, (2) Thai Cable International Company Limited, (3) Adisorn Songkhla Company Limited and (4) Asia Pacific Drilling Engineering Company Limited, assisted or facilitated five former directors and executives of STARK Corporation Public Company Limited ("STARK") and its subsidiaries, namely (1) Mr. Chanin Yensudchai, (2) Mr. Chinawat Assavapokee, (3) Mr. Vonnarat Tangkaravakoon, (4) Mr. Sathar Chantrasettalead, and (5) Mr. Kittisak Jitprasertngam, in colluding or consenting to falsify, misrepresent, or omit material facts in the financial statements or documents of STARK and its subsidiaries (financial statement manipulation) to deceive any person. Furthermore, after STARK received funds from the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. | 116/2023 | Criminal Complaints | This case is in the process of investigation by the inquiry official.
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| 895 | 27/06/2023 | Mr. Apimuk Bamrungwong | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Apimuk Bamrungwong colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 896 | 27/06/2023 | Mr. Akapat Phornprapha | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Akapat Phornprapha colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 897 | 27/06/2023 | Mr. Atipat Phornprapha | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Atipat Phornprapha colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 898 | 27/06/2023 | Mrs. Orapin Phornprapha | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mrs. Orapin Phornprapha colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 899 | 27/06/2023 | Mr. Itthiwat Wannaiampikul | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Itthiwat Wannaiampikul colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 900 | 27/06/2023 | Tong Hua Capital Company Limited | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Tong Hua Capital Company Limited colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 901 | 27/06/2023 | Tong Hua Media Lab Company Limited | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Tong Hua Media Lab Company Limited colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 902 | 27/06/2023 | Mr. Somnuk Kyavatanakij | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Somnuk Kyavatanakij colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 903 | 27/06/2023 | Mr. Sophon Waraporn | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Sophon Waraporn colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 904 | 27/06/2023 | Mr. Vasant Chawala | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Vasant Chawala colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 905 | 27/06/2023 | Mr. Shubhodeep Pransanta Das | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Shubhodeep Pransanta Das colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 906 | 27/06/2023 | Mr. Prayoon Asakan | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Prayoon Asakan colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 907 | 27/06/2023 | Miss Jirawan Chaiponpati | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Miss Jirawan Chaiponpati colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 908 | 27/06/2023 | Miss Susiri Preedasuttichit | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Miss Susiri Preedasuttichit colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 909 | 27/06/2023 | Miss Puntharee Israngkul Na Ayudthaya | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Miss Puntharee Israngkul Na Ayudthaya colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 910 | 27/06/2023 | Miss Ailada Chinnavat | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Miss Ailada Chinnavat colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 911 | 27/06/2023 | Mr. Ummarit Klomchitcharoen | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Ummarit Klomchitcharoen colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 912 | 27/06/2023 | Mr. Munkong Sathienthirakul | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Munkong Sathienthirakul colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 913 | 27/06/2023 | Miss Onkao Kaiyasit | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Miss Onkao Kaiyasit colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 914 | 27/06/2023 | Mr. Kriangsak Wongosotphanich | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Kriangsak Wongosotphanich colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 915 | 27/06/2023 | Miss Sirirat Somnasri | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Miss Sirirat Somnasri colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 916 | 27/06/2023 | Mr. Theeraphong Danwanichwong | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Theeraphong Danwanichwong colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 917 | 27/06/2023 | Mr. Witsarut Chiamchitphonchai | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Witsarut Chiamchitphonchai colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 918 | 27/06/2023 | Mr. Poranat Nuchachartpong | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Poranat Nuchachartpong colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 919 | 27/06/2023 | Mr. Pudit Sucharitkul | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Pudit Sucharitkul colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 920 | 27/06/2023 | Mr. Watcharin Yunghaipon | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Watcharin Yunghaipon colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 921 | 27/06/2023 | Mr. Thanayut Rukraksa | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Thanayut Rukraksa colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 922 | 27/06/2023 | Mr. Thamanoon Vechvittayakhlung | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Thamanoon Vechvittayakhlung colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 923 | 27/06/2023 | Mr. Patara Chatcharoensuk | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Patara Chatcharoensuk colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 924 | 27/06/2023 | Mr. Chayapol Panpae | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Chayapol Panpae colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 925 | 27/06/2023 | Mr. Pichet Pholsuwanchai | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mr. Pichet Pholsuwanchai colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 926 | 27/06/2023 | Mrs. Sasinapa Waraporn | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | During 18 July 2022 - 10 November 2022, Mrs. Sasinapa Waraporn colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 108/2023 | Criminal Complaints | | |
| 927 | 21/06/2023 | Mr. Piyadit Atsavasirisuk | 300 in conjunction with 33 / SEC Act | Mr. Piyadit Atsavasirisuk, the managing director and Chief Executive Officer, who is responsible for the operation of
Civil Construction Services and Products Company Limited (“CCSP”), shall be liable for CCSP's offering for sale of newly issued securities in the category of promissory note between 19 July 2018 to 30 October 2020, without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535, resulted from the instructions or the failure to give instructions which is a duty required to be performed.
| | Criminal Fine | imposing a fine of 500,000.00 Baht according to 58/2566 | |
| 928 | 21/06/2023 | Civil Construction Services and Products Company Limited | 33 / SEC Act | Between 19 July 2018 to 30 October 2020, Civil Construction Services and Products Company Limited (“CCSP”) offered for sale newly issued securities in the category of promissory note without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 57/2566 | |
| 929 | 21/06/2023 | Mr. Maurice Wee Ming Sheng | 94 in conjunction with 30 and 31 / DAB Act | Mr. Maurice Wee Ming Sheng, the managing director of a digital asset exchange called Satang Corporation Company Limited ("Satang"), is responsible for the operation of Satang.
His failure to perform the required duty of his position resulted in the offence committed by Satang concerning the case that between June 21, 2022 to December 31, 2022 Satang failed to keep customers' digital assets in accordance with the notification of the SEC for 194 days. In this regard, Satang did not deposit customers' digital assets with digital asset depository service providers and store the assets in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 3,273,000.00 Baht according to 4/2566 | |
| 930 | 06/06/2023 | Max Metal Corporation Public Company Limited | 56(1) / SEC Act | Max Metal Corporation Public Company Limited ("MAX") a listed company, failed to prepare and submit the financial reports through the transmission system of the Stock Exchange of Thailand within the period specified in the notification as follows : (1) the reviewed financial statements for Q1/2022, (2) the reviewed financial statements for Q2/2022 and (3) the reviewed financial statements for Q3/2022. | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 931 | 06/06/2023 | Mr. Pipat Chanasongkram | 300 in conjunction with 56(1) / SEC Act | Mr. Pipat Chanasongkram, Chairman of the Board responsible for the operation of Max Metal Corporation Public Company Limited ("MAX") failed to supervise MAX to prepare and submit (1) the reviewed financial statements for Q1/2022, (2) the reviewed financial statements for Q2/2022 and (3) the reviewed financial statements for Q3/2022 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 932 | 06/06/2023 | Mr. Kusol Sangkananta | 300 in conjunction with 56(1) / SEC Act | Mr. Kusol Sangkananta, Vice Chairman of the Board responsible for the operation of Max Metal Corporation Public Company Limited ("MAX") failed to supervise MAX to prepare and submit (1) the reviewed financial statements for Q1/2022, (2) the reviewed financial statements for Q2/2022 and (3) the reviewed financial statements for Q3/2022 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 933 | 31/05/2023 | Asia Wealth Securities Public Company Limited | 97 / SEC Act | Asia Wealth Securities Public Company Limited, as a securities broker, violated The Securities and Exchange Act B.E. 2535 Act, in total 4 cases as follows;
(1) engaged in an act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board. That is, the securities broker failed to Inefficient management and management of liquidity risks.
(2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission.
(3) failed to submitting an accurate and truthful report of the net capital to the office of Securities and Exchange Commission.
(4) failed to maintain net capital in accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission.
| | Criminal Complaints | | |
| 934 | 30/05/2023 | Thanathip Consult Company Limited | 33 / SEC Act | Thanathip Consult Company Limited offered for sale newly issued securities in the category of debentures (Private Placement : PP) without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 935 | 30/05/2023 | Miss Usawan Meeboon | 300 in conjunction with 33 / SEC Act | Miss Usawan Meeboon, Authorized director who is responsible for the operation of Thanathip Consult Company Limited shall be liable for Thanathip Consult Company Limited offering for sale of newly issued securities in the category of debentures (Private Placement) without approval from the SEC office resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 936 | 29/05/2023 | General Chaowarit | 300 in conjunction with 240 / SEC Act (the fifth amendment) | On 2 August 2019, PP Prime Public Company Limited (“PPPM”) published information through the Stock Exchange of Thailand’s ELCID (Electronic Company Information
Disclosure) system that according to the Debenture No. 2 amount of 319.50 million baht which would be due on 2 August 2019, PPPM would repay the principal and interest on 7 August 2019. However, PPPM published such information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. The published information may mislead investors about PPPM’s materiality information that is likely to have effect on the price of PPPM’s stocks or the decision making on PPPM’s stocks investment.
During the time of the offense, General Chaowarit Prapajit, Mr. Praween Deekajonedej, Miss PhatcharadaJutaprateep, and Mrs.
Kanokwan Wannabuit, who were responsible for the operation of PPPM involved in publishing such information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. leading to information publishing through the Stock Exchange of Thailand’s ELCID system by PPPM on 2 August 2019. | 049/2023 | Civil Sanction | 29/05/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 29/05/2023 and 28/01/2025
- a bar from serving as a director or executive in a securities company between 29/05/2023 and 28/01/2025
- a reimbursement of investigative expenses in an amount of 30,662.00 Baht | |
| 937 | 29/05/2023 | Mr. Praween Deekajonedej | 300 in conjunction with 240 / SEC Act (the fifth amendment) | On 2 August 2019, PP Prime Public Company Limited (“PPPM”) published information through the Stock Exchange of Thailand’s ELCID (Electronic Company Information
Disclosure) system that according to the Debenture No. 2 amount of 319.50 million baht which would be due on 2 August 2019, PPPM would repay the principal and interest on 7 August 2019. However, PPPM published such information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. The published information may mislead investors about PPPM’s materiality information that is likely to have effect on the price of PPPM’s stocks or the decision making on PPPM’s stocks investment.
During the time of the offense, General Chaowarit Prapajit, Mr. Praween Deekajonedej, Miss PhatcharadaJutaprateep, and Mrs.
Kanokwan Wannabuit, who were responsible for the operation of PPPM involved in publishing such information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. leading to information publishing through the Stock Exchange of Thailand’s ELCID system by PPPM on 2 August 2019. | 049/2023 | Civil Sanction | 29/05/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 29/05/2023 and 28/01/2025
- a bar from serving as a director or executive in a securities company between 29/05/2023 and 28/01/2025
- a reimbursement of investigative expenses in an amount of 30,662.00 Baht | |
| 938 | 29/05/2023 | Miss PhatcharadaJutaprateep | 300 in conjunction with 240 / SEC Act (the fifth amendment) | On 2 August 2019, PP Prime Public Company Limited (“PPPM”) published information through the Stock Exchange of Thailand’s ELCID (Electronic Company Information
Disclosure) system that according to the Debenture No. 2 amount of 319.50 million baht which would be due on 2 August 2019, PPPM would repay the principal and interest on 7 August 2019. However, PPPM published such information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. The published information may mislead investors about PPPM’s materiality information that is likely to have effect on the price of PPPM’s stocks or the decision making on PPPM’s stocks investment.
During the time of the offense, General Chaowarit Prapajit, Mr. Praween Deekajonedej, Miss PhatcharadaJutaprateep, and Mrs.
Kanokwan Wannabuit, who were responsible for the operation of PPPM involved in publishing such information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. leading to information publishing through the Stock Exchange of Thailand’s ELCID system by PPPM on 2 August 2019. | 049/2023 | Civil Sanction | 29/05/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 29/05/2023 and 28/01/2025
- a bar from serving as a director or executive in a securities company between 29/05/2023 and 28/01/2025
- a reimbursement of investigative expenses in an amount of 30,662.00 Baht | |
| 939 | 29/05/2023 | Mrs. Kanokwan Wannabuit | 300 in conjunction with 240 / SEC Act (the fifth amendment) | On 2 August 2019, PP Prime Public Company Limited (“PPPM”) published information through the Stock Exchange of Thailand’s ELCID (Electronic Company Information
Disclosure) system that according to the Debenture No. 2 amount of 319.50 million baht which would be due on 2 August 2019, PPPM would repay the principal and interest on 7 August 2019. However, PPPM published such information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. The published information may mislead investors about PPPM’s materiality information that is likely to have effect on the price of PPPM’s stocks or the decision making on PPPM’s stocks investment.
During the time of the offense, General Chaowarit Prapajit, Mr. Praween Deekajonedej, Miss PhatcharadaJutaprateep, and Mrs.
Kanokwan Wannabuit, who were responsible for the operation of PPPM involved in publishing such information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. leading to information publishing through the Stock Exchange of Thailand’s ELCID system by PPPM on 2 August 2019. | 049/2023 | Civil Sanction | 29/05/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 29/05/2023 and 28/01/2025
- a bar from serving as a director or executive in a securities company between 29/05/2023 and 28/01/2025
- a reimbursement of investigative expenses in an amount of 30,662.00 Baht | |
| 940 | 18/05/2023 | Mr. Supamit Kitjapipat | 300 in conjunction with 33 / SEC Act | Mr. Supamit Kitjapipat, a Chief Executive Officer for the operation of EakPhoomsub Developmant Company Limited ("EakPhoomsub"), shall be liable for EakPhoomsub’s offering for sale newly issued securities in the category of debentures without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 54/2566 | |
| 941 | 18/05/2023 | EakPhoomsub Development Company Limited | 33 / SEC Act | EakPhoomsub Development Company Limited offered for sale newly issued securities in the category of debentures without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 53/2566 | |
| 942 | 18/05/2023 | Mr. Vorachai Phakdeesanaeha | 300 in conjunction with 33 / SEC Act | Mr. Vorachai Pakdeesaneha, managing director who is responsible for the operation of Vorakit Construction Company Limited ("VKK") shall be liable for VKK's offering for sale of newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 52/2566 | |
| 943 | 18/05/2023 | Vorakit Construction Company Limited | 33 / SEC Act | Vorakit Construction Company Limited offered for sale newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 51/2566 | |
| 944 | 11/05/2023 | Miss UNCHALIN INTAJAK | | | 77/2023 | Administrative Orders | Revocation | Effective Date 11/05/2023 to 10/01/2030 |
| 945 | 24/04/2023 | Mr. Kajonsit Singsansern | 300 in conjunction with 33 / SEC Act | Mr. Kajonsit Singsansern, chief Executive Officer who is responsible for the operation of Siamese Asset Public Company Limited (“SA”), shall be liable for SA offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 44/2566 | |
| 946 | 24/04/2023 | Siamese Asset Public Company Limited | 33 / SEC Act | Siamese Asset Public Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 43/2566 | |
| 947 | 24/04/2023 | Mr. Akalarp Yimwilai | 94 in conjunction with 31 / DAB Act | Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action, or his failure to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that during September 15, 2021 to May 7, 2022, Zipmex kept and maintained digital assets of Zipmex’s customers that were deposited to earn returns in Thailand in a way that Zipmex, without doubt, could not segregate digital assets of the customers and may use such digital assets for any other purposes. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 370,000.00 Baht according to 2/2566 | |
| 948 | 24/04/2023 | Mr. Akalarp Yimwilai | 94 in conjunction with 30 / DAB Act | Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action, or his failure to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that during May 8, 2022, to July 20, 2022, Zipmex induced its own customers to deploy ZipUp+, which is the service of Zipmex Pte. Ltd, and gained benefits from digital asset exchange fees. Additionally, such operation of Zipmex had no measure to protect the conflict of interest and to control the risk to customers' assets. The operation shall be obtained the approval from the SEC prior to the operation, but Zipmex did not do so. Accordingly, the act of Zipmex did not operate other than the digital asset business in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 670,000.00 Baht according to 2/2566 | |
| 949 | 24/04/2023 | Mr. Akalarp Yimwilai | 94 in conjunction with 30 / DAB Act | Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited (“Zipmex”), is responsible for the operation of Zipmex. His order or action, or his failure to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that during the middle of 2020 to September 7, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, did not provide management structure, operating system and a sufficient number of personnel in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 980,000.00 Baht according to 2/2566 | |
| 950 | 24/04/2023 | Mr. Akalarp Yimwilai | 94 in conjunction with 30 / DAB Act | Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action, or his failure to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that Zipmex has been failing to report a summary of the assignment of other persons to perform work related to business operations in the year 2022 within the period specified in the notification of the SEC, that is December 31, 2022. | | Criminal Fine | imposing a fine of 697,000.00 Baht according to 2/2566 | |
| 951 | 24/04/2023 | Mr. Akalarp Yimwilai | 94 in conjunction with 30 / DAB Act | Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action, or his failure to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that since January 1, 2022, Zipmex has not been providing policies, measures, and guidance for assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 2,150,000.00 Baht according to 2/2566 | |
| 952 | 24/04/2023 | Mr. Akalarp Yimwilai | 94 in conjunction with 30 / DAB Act | Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action, or his failure to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that Zipmex has duties to submit the report of penetration test result to the SEC office within July 14, 2022. However, Zipmex submitted the report to the SEC office on August 8, 2022, later than the period specified in the notification of the SEC. | | Criminal Fine | imposing a fine of 325,000.00 Baht according to 2/2566 | |
| 953 | 24/04/2023 | Mr. Akalarp Yimwilai | 94 in conjunction with 30 / DAB Act | Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action, or his failure to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that during April 7, 2022 to July20, 2022, Zipmex did not fully disclosed necessary information for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among Zipmex, Zipmex Asia Pte. Ltd. and Zipmex Pte. Ltd. Accordingly, the disclosure of such information by Zipmex was not in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 665,000.00 Baht according to 2/2566 | |
| 954 | 18/04/2023 | PACE DEVELOPMENT CORPORATION PUBLIC COMPANY LIMITED | 56(2)(4) / SEC Act | | | Criminal Complaints | | |
| 955 | 18/04/2023 | Mr. Sorapoj Techakraisri | 300 in conjunction with 56(2)(4) / SEC Act | | | Criminal Complaints | | |
| 956 | 03/04/2023 | PP Prime Public Company Limited | 240 / SEC Act (the fifth amendment) | On 2 August 2019, PP Prime Public Company Limited (“PPPM”) published information through the Stock Exchange of Thailand’s ELCID (Electronic Company Information Disclosure) system that according to the Debenture No. 2 amount of 319.50 million baht which would be due on 2 August 2019, PPPM would repay the principal and interest on 7 August 2019. However, PPPM published such information by knowing that PPPM had insufficient liquidity to repay principal and interest of the Debenture No.2. The published information may mislead investors about PPPM’s materiality information that is likely to have effect on the price of PPPM’s stocks or the decision making on PPPM’s stocks investment. | 049/2023 | Civil Sanction | 03/04/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a reimbursement of investigative expenses in an amount of 30,662.00 Baht | |
| 957 | 31/03/2023 | 1000X Limited | 26 and Section 83 of Penal Code / DAB Act | Since January 12, 2022, 1000X Limited ("1000X"), the owner of https://www.1000x.live ("1000x.live"), has provided services or held itself out to the public as available to provide services with respect to the trading or exchange of digital assets for its own account in the normal course of business outside the digital asset exchange. Additionally, 1000X has actively solicited and promoted its services in Thai language through a Facebook page called 1000X Thailand. Moreover, Mr. Worawat Narknawdee, the owner and operator of ACTPAY, was responsible for providing a notification system when the transactions occurred with 5,000 wallet addresses on 1000x.live leading to the completion of the system for operating the business on 1000x.live. Accordingly, 1000X and Mr. Worawat have jointly operated a digital asset dealer without a license. | | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 958 | 31/03/2023 | Mr. Worawat Narknawdee | 26 and Section 83 of Penal Code / DAB Act | From January 12, 2022, to June 30, 2022, Mr. Worawat Narknawdee, the owner and operator of ACTPAY, was responsible for providing a notification system that would notify 1000X Limited ("1000X") of transactions occurring with 5,000 wallet addresses on its website, https://www.1000x.live ("1000x.live"). This system was essential for the successful operation of 1000X as a digital asset dealer on its platform. Additionally, Mr. Worawat promoted 1000X's services in Thai language through his social media. As a result, Mr. Worawat and 1000X jointly operated the digital asset dealer without a license during the mentioned period. | | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 959 | 22/03/2023 | Miss NARU-ORN CHOKSIRIRUNGRUANG formerly (Miss NARU-ORN CHOKSIRIUNGRUANG) | | | 50/2023 | Administrative Orders | Revocation | Effective Date 22/03/2023 to 21/11/2029 |
| 960 | 13/03/2023 | Three Sixty Five Public Company Limited | 56(4) / SEC Act | Three Sixty Five Public Company Limited (TSF), a listed company, failed to prepare and submit the financial reports to SEC Office within the period specified in the notification as follows : the first half of the fiscal year 2022 together with an interim management discussion and analysis | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 961 | 13/03/2023 | Mr. Jesada Supasai | 300 in conjunction with 56(4) / SEC Act | Mr. Jesada Supasai, the Chairman Of the Board Of Directors for the operation of Three Sixty Five Public Company Limited (TSF), shall be liable for TSF failure to prepare and submit the first half of the fiscal year 2022 together with an interim management discussion and analysis | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 962 | 13/03/2023 | Bitazza Company Limited | 30 / DAB Act | Bitazza Company Limited ("Bitazza"), a digital asset broker, is obligated to submit a financial statement for the year 2021 to SEC office and notify the financial statement on Bitazza's website within the period specified in the notification of the Securities and Exchange Commission, which is within May 3, 2022. However, Bitazza has not fulfilled this obligation. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 963 | 07/03/2023 | Group Lease Public Company Limited | Section 56(1)(2)(4) / SEC Act | Group Lease Public Company Limited (GL) failed to prepare and submit (1) the financial statement for the year 2021 (2)
the annual registration statement (Form 56-1 One Report) for the year 2021 (3) the reviewed financial statements for Q1/2022 (4) the reviewed financial statements for Q2/2022 (5) the reviewed financial statements for Q3/2022 to the SEC within the specified period by the notification of the Capital Market Board. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 964 | 07/03/2023 | Mr. Riki Ishigami | 300 / SEC Act | Mr. Riki Ishigami, the Chief Executive Officer for the operation of Group Lease Public Company Limited (GL) who is responsible for the operation of GL, shall be liable for GL's failure to prepare and submit (1) the financial statement for the year 2021 (2) the annual registration statement (Form 56-1 One Report) for the year 2021 (3) the reviewed financial statements for Q1/2022 (4) the reviewed financial statements for Q2/2022 (5) the reviewed financial statements for Q3/2022 to the SEC within the specified period by the notification of the Capital Market Board. within the period specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 965 | 03/03/2023 | Miss Metinee Sittikornmetakul | 244/3 (2) / SEC Act (the fifth amendment) | During November 2019 – December 2019, Miss Metinee Sittikornmetakul and 10 offenders, which are (1) Mr. Khajornkiat Ung-aram, (2) Miss Porntip Meteecharoenwong, (3) Mrs. Tasanee Yampradit, (4) Miss Mutita Ekawipat, (5) Mr. Methasit Machawna, (6) Miss Variya Khemthongpradit, (7) Mr. Tanaphol Khemthongpradit, (8) Miss Achara Suvidejkosol, (9) Mr. Sittapawee Chawaranggoon, and (10) Miss Achiraya Kiatthayakorn (formerly Miss Ganpaorn Kieattayakorn), colluded to manipulate the stock price of (1) SCI Electric Public Company Limited (SCI) between 25 November 2019 and 12 December 2019, (2) Global Service Center Public Company Limited (GSC) on 13 December 2019, (3) Asian Sea Corporation Public Company Limited (ASIAN) on 16 December 2019, and (4) Floyd Public Company Limited (FLOYD) on 20 December 2019 between 10.05.35 a.m. and 11.56.02 a.m. by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 025/2023 | Civil Sanction | 03/03/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 131,227.00 Baht
- a civil monetary penalty of 2,000,000.00 Baht
- a suspension of securities and derivatives trading between 03/03/2023 and 02/09/2025
- a bar from serving as a director or executive in a securities issuing company between 03/03/2023 and 02/03/2028
- a bar from serving as a director or executive in a securities company between 03/03/2023 and 02/03/2028
- a reimbursement of investigative expenses in an amount of 31,777.00 Baht | |
| 966 | 01/03/2023 | Mr. Tongchai Limthongsittikun | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Mr. Tongchai Limthongsittikun colluded with 11 offenders, which are (1) Mr. Paisal Panichavong, (2) Mr. Kittiphat Pattarapob Ittisanyakorn (formerly Pattarapob Ittisanyakorn), (3) Mr. Sutat Sivapiromrat, (4) Equities First Holdings, LLC, (5) Mr. Vincent DeFilippo, (6) Mr. Al Christy, Jr., (7) (A) (8) Mr. Apichet Bhusry, (9) Miss Petcharat Chanyathammapoj, (10) Mr. Vasant Bunsirisakul, and (11) Miss Patchrawan Pajaree, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price or the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 967 | 01/03/2023 | Mr. Paisal Panichavong | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Mr. Paisal Panichavongcolluded with 11 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (3) Mr. Sutat Sivapiromrat, (4) Equities First Holdings, LLC, (5) Mr. Vincent DeFilippo, (6) Mr. Al Christy, Jr., (7) (A) (8) Mr. Apichet Bhusry, (9) Miss Petcharat Chanyathammapoj, (10) Mr. Vasant Bunsirisakul, and (11) Miss Patchrawan Pajaree, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price or the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of the Court of First Instance. | |
| 968 | 01/03/2023 | Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn) | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn) colluded with 11 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Sutat Sivapiromrat, (4) Equities First Holdings, LLC, (5) Mr. Vincent DeFilippo, (6) Mr. Al Christy, Jr., (7) (A), (8) Mr. Apichet Bhusry, (9) Miss Petcharat Chanyathammapoj, (10) Mr. Vasant Bunsirisakul, and (11) Miss Patchrawan Pajaree, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price or the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of the Court of First Instance. | |
| 969 | 01/03/2023 | Mr. Sutat Sivapiromrat | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Mr. Sutat Sivapiromrat colluded with 11 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (4) Equities First Holdings, LLC, (5) Mr. Vincent DeFilippo, (6) Mr. Al Christy, Jr., (7) (A), (8) Mr. Apichet Bhusry, (9) Miss Petcharat Chanyathammapoj, (10) Mr. Vasant Bunsirisakul, and (11) Miss Patchrawan Pajaree, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price or the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 970 | 01/03/2023 | Equities First Holdings, LLC (EFH) | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Equities First Holdings, LLC colluded with 11 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (4) Mr. Sutat Sivapiromrat, (5) Mr. Vincent DeFilippo, (6) Mr. Al Christy, Jr., (7)(A) (8) Mr. Apichet Bhusry, (9) Miss Petcharat Chanyathammapoj, (10) Mr. Vasant Bunsirisakul, and (11) Miss Patchrawan Pajaree, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price or the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 971 | 01/03/2023 | Mr. Vincent DeFilippo | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Mr. Vincent DeFilippo colluded with 11 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (4) Mr. Sutat Sivapiromrat, (5) Equities First Holdings, LLC, (6) Mr. Al Christy, Jr., (7) (A)Tiaviwat, (8) Mr. Apichet Bhusry, (9) Miss Petcharat Chanyathammapoj, (10) Mr. Vasant Bunsirisakul, and (11) Miss Patchrawan Pajaree, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price or the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 972 | 01/03/2023 | Mr. Al Christy, Jr. | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Mr. Al Christy, Jr. colluded with 11 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (4) Mr. Sutat Sivapiromrat, (5) Equities First Holdings, LLC, (6) Mr. Vincent DeFilippo, (7) (A), (8) Mr. Apichet Bhusry, (9) Miss Petcharat Chanyathammapoj, (10) Mr. Vasant Bunsirisakul, and (11) Miss Patchrawan Pajaree, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price or the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 973 | 01/03/2023 | Mr. Apichet Bhusry | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Mr. Apichet Bhusry colluded with 11 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (4) Mr. Sutat Sivapiromrat, (5) Equities First Holdings, LLC, (6) Mr. Vincent DeFilippo, (7) Mr. (A) Christy, Jr., (8)(A), (9) Miss Petcharat Chanyathammapoj, (10) Mr. Vasant Bunsirisakul, and (11) Miss Patchrawan Pajaree, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price or the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 974 | 01/03/2023 | Miss Petcharat Chanyathammapoj | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Miss Petcharat Chanyathammapoj colluded with 11 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (4) Mr. Sutat Sivapiromrat, (5) Equities First Holdings, LLC, (6) Mr. Vincent DeFilippo, (7) Mr. Al Christy, Jr., (8) (A), (9) Mr. Apichet Bhusry, (10) Mr. Vasant Bunsirisakul, and (11) Miss Patchrawan Pajaree, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price or the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 975 | 01/03/2023 | Mr. Vasant Bunsirisakul | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Mr. Vasant Bunsirisakul colluded with 11 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (4) Mr. Sutat Sivapiromrat, (5) Equities First Holdings, LLC, (6) Mr. Vincent DeFilippo, (7) Mr. Al Christy, Jr., (8)(A) (9) Mr. Apichet Bhusry, (10) Miss Petcharat Chanyathammapoj, and (11) Miss Patchrawan Pajaree, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price or the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 976 | 01/03/2023 | Miss Patchrawan Pajaree | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Miss Patchrawan Pajaree colluded with 11 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (4) Mr. Sutat Sivapiromrat, (5) Equities First Holdings, LLC, (6) Mr. Vincent DeFilippo, (7) Mr. Al Christy, Jr., (8) (A), (9) Mr. Apichet Bhusry, (10) Miss Petcharat Chanyathammapoj, and (11) Mr. Vasant Bunsirisakul, and 2 accessories, which are (12) Mrs. Anchisa Buakaew , and (13) Mr. Chawanart Sithibhud, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price and the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 977 | 01/03/2023 | Mrs. Anchisa Buakaew | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Mrs. Anchisa Buakaew aided and abetted 12 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (4) Mr. Sutat Sivapiromrat, (5) Equities First Holdings, LLC, (6) Mr. Vincent DeFilippo, (7) Mr. Al Christy, Jr., (8)(A), (9) Mr. Apichet Bhusry, (10) Miss Petcharat Chanyathammapoj, and (11) Mr. Vasant Bunsirisakul, and (12) Miss Patchrawan Pajaree, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price and the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 978 | 01/03/2023 | Mr. Chawanart Sithibhud | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During January 5 2015 – February 19 2015, Mr. Chawanart Sithibhud aided and abetted 12 offenders, which are (1) Mr. Tongchai Limthongsittikun, (2) Mr. Paisal Panichavong, (3) Mr. Kittiphat Ittisanyakorn (formerly Mr. Pattarapob Ittisanyakorn), (4) Mr. Sutat Sivapiromrat, (5) Equities First Holdings, LLC, (6) Mr. Vincent DeFilippo, (7) Mr. Al Christy, Jr., (8)(A) (9) Mr. Apichet Bhusry, (10) Miss Petcharat Chanyathammapoj, and (11) Mr. Vasant Bunsirisakul, and (12) Miss Patchrawan Pajaree, to manipulate the stock price of K.C. Property Public Company Limited (“KC”) causing the price and the volume of KC stocks to be inconsistent with the normal market condition. | 040/2023 | Criminal Complaints | This case is in the process of inquiry by the DSI. | |
| 979 | 28/02/2023 | Kannithi Company Limited | 64 paragraph 2 / SEC Act | Kannithi Company Limited had duties to prepare and submit 3 results of the bill of exchange sale report to the SEC Office within the period as specified by the Securities and Exchange Commission. However, Kannithi Company Limited reported the 3 results of the sale report to the SEC Office later than the period specified by the notification of the SEC. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 980 | 28/02/2023 | Kannithi Company Limited | 33 / SEC Act | Kannithi Company Limited offered for sale newly issued securities in the category of debentures (Private Placement : PP) without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535.
| | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 981 | 28/02/2023 | Mrs. Saychon Sibmong | 300 in conjunction with 33 / SEC Act | Mrs. Saychon Sibmong, Authorized director who is responsible for the operation of Kannithi Company Limited shall be liable for Kannithi Company Limited offering for sale of newly issued securities in the category of debentures (Private Placement : PP) without approval from the SEC office resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 982 | 28/02/2023 | K-TECH Construction Public Company Limited | 56 / SEC Act | K-TECH Construction Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2021, (2) the annual report for the year 2021 (Form 56-2, 2021) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 983 | 28/02/2023 | Ms. Rachanee Tripipatkul | 300 / SEC Act | Ms. Rachanee Tripipatkul, Director responsible for the operation of K-TECH Construction Public Company Limited ("KTECH") failed to supervise KTECH to prepare and submit (1) the audited financial statements for the year 2021 and (2) the annual report for the year 2021 (Form 56-2, 2021) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 984 | 28/02/2023 | Lt.Gen. Punluk Suvanadat | 300 / SEC Act | Lt.Gen. Punluk Suvanadat, Director responsible for the operation of K-TECH Construction Public Company Limited ("KTECH") failed to supervise KTECH to prepare and submit (1) the audited financial statements for the year 2021 and (2) the annual report for the year 2021 (Form 56-2, 2021) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 985 | 28/02/2023 | Mr. Sitthikun Thiamprasert | 300 / SEC Act | Mr. Sitthikun Thiamprasert, Director responsible for the operation of K-TECH Construction Public Company Limited ("KTECH") failed to supervise KTECH to prepare and submit (1) the audited financial statements for the year 2021 and (2) the annual report for the year 2021 (Form 56-2, 2021) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 986 | 28/02/2023 | Mr. Chatchon Karnasuta | 300 / SEC Act | Mr. Chatchon Karnasutat, Director responsible for the operation of K-TECH Construction Public Company Limited ("KTECH") failed to supervise KTECH to prepare and submit (1) the audited financial statements for the year 2021 and (2) the annual report for the year 2021 (Form 56-2, 2021) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 987 | 27/02/2023 | Mr. Wittawat Pornkul | 242 (1) / SEC Act (the fifth amendment) | Mr. Wittawat Pornkul as the Chief Executive Officer, Managing Director and Director of Dcon Product Public Company Limited ("DCON"), knew or possessed an inside information material which might affect to negative change in the price of DCON's share which were the fact that (1) the net profit in financial statements of 2016 significantly decreases because of decreased revenue and increased expense from reservation of allowance for impairment losses of unused machine and doubtful accounts, (2) decreasing ratio of dividend payment for the year of 2016. Mr. Wittawat had accessed the information from attending the director meeting and related discussion. Subsequently, Mr. Wittawat sold his DCON shares through Miss Visara Pornkul's securities trading account to avoid impact incurred from a decline in the price of DCON's share before DCON disclosed such information to the Stock Exchange of Thailand (SET) on 23 February 2017 at 9.13 p.m. and 9.20 p.m. | 023/2023 | Civil Sanction | 27/02/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 759,281.96 Baht
- a civil monetary penalty of 949,102.45 Baht
- a bar from serving as a director or executive in a securities issuing company between 27/02/2023 and 26/04/2024
- a bar from serving as a director or executive in a securities company between 27/02/2023 and 26/04/2024
- a reimbursement of investigative expenses in an amount of 20,883.59 Baht | |
| 988 | 27/02/2023 | Mr. Chana Towan | 242 (1) / SEC Act (the fifth amendment) | Mr. Chana Towan as the Executive Vice-President and Director of Dcon Product Public Company Limited ("DCON"), knew or possessed an inside information material which might affect to negative change in the price of DCON's share which was the fact that (1) the net profit in financial statements of 2016 significantly decreases because of decreased revenue and increased expense from reservation of allowance for impairment losses of unused machine and doubtful accounts, (2) decreasing ratio of dividend payment for the year of 2016. Mr. Chana had accessed the information from attending the director meeting. Subsequently, Mr. Chana sold his DCON shares through Miss Arisara Towan's and Miss Asama Towan's securities trading accounts to avoid impact incurred from a decline in the price of DCON’s share before DCON disclosed such information to the Stock Exchange of Thailand (SET) on 23 February 2017 at 9.13 p.m. and 9.20 p.m. | 023/2023 | Civil Sanction | 27/02/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 453,440.00 Baht
- a civil monetary penalty of 566,800.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 27/02/2023 and 26/04/2024
- a bar from serving as a director or executive in a securities company between 27/02/2023 and 26/04/2024
- a reimbursement of investigative expenses in an amount of 20,883.00 Baht | |
| 989 | 14/02/2023 | Mr VORRAPOTE TELUMPUSUT | | | 30/2023 | Administrative Orders | Revocation | Effective Date 14/02/2023 to 13/06/2026 |
| 990 | 10/02/2023 | Mr. Apimuk Bamrungwong | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Apimuk Bamrungwong colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 991 | 10/02/2023 | Mr. Akapat Phornprapha | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Akapat Phornprapha colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 992 | 10/02/2023 | Mr. Atipat Phornprapha | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Atipat Phornprapha colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 993 | 10/02/2023 | Mrs. Orapin Phornprapha | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mrs. Orapin Phornprapha colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 994 | 10/02/2023 | Mr. Itthiwat Wannaiampikul | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Itthiwat Wannaiampikul colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 995 | 10/02/2023 | Tong Hua Capital Company Limited | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Tong Hua Capital Company Limited colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 996 | 10/02/2023 | Tong Hua Media Lab Company Limited | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Tong Hua Media Lab Company Limited colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 997 | 10/02/2023 | Mr. Somnuk Kyavatanakij | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Somnuk Kyavatanakij colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 998 | 10/02/2023 | Mr. Prayoon Asakan | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Prayoon Asakan colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 999 | 10/02/2023 | Mr. Vasant Chawala | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Vasant Chawala colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 1000 | 10/02/2023 | Mr. Shubhodeep Pransanta Das | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Shubhodeep Pransanta Das colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 1001 | 10/02/2023 | Miss Jirawan Chaiponpati | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Miss Jirawan Chaiponpati colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 1002 | 10/02/2023 | Miss Puntharee Israngkul Na Ayudthaya | 244/3(1)(2) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Miss Puntharee Israngkul Na Ayudthaya colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 1003 | 10/02/2023 | Miss Ailada Chinnavat | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Miss Ailada Chinnavat colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 1004 | 10/02/2023 | Miss Susiri Preedasuttichit | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Miss Susiri Preedasuttichit colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 1005 | 10/02/2023 | Mr. Munkong Sathienthirakul | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Munkong Sathienthirakul colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 1006 | 10/02/2023 | Mr. Sophon Waraporn | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Sophon Waraporn colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 1007 | 10/02/2023 | Mr. Ummarit Klomchitcharoen | 244/3(1) in conjunction with 244/5 244/6 and Section 83 of the Penal Code / SEC Act | On 10 November 2022, Mr. Ummarit Klomchitcharoen colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price and the volume of MORE stocks to be inconsistent with the normal market condition. | 027/2023 | Criminal Complaints | | |
| 1008 | 10/02/2023 | Rich Asia Corporation Public Company Limited | 56(2) / SEC Act | Rich Asia Corporation Public Company Limited (RICH) failed to prepare and submit a financial statement for the year 2020 and a financial statement for the year 2021 to the SEC within the specified period by the notification of the Capital Market Board. | | Criminal Complaints | Criminal Complaints | This case is in the process of inquiry by the inquiry official. |
| 1009 | 10/02/2023 | Miss Angkakarn Tantiviroon | 300 in conjunction with 56(2) / SEC Act | Miss Angkakarn Tantiviroon, the authorized director, who was responsible for the operation of Rich Asia Corporation Public Company Limited ("RICH"), shall be liable for RICH failure to prepare and submit a financial statement for the year 2020 to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | Criminal Complaints | This case is in the process of inquiry by the inquiry official. |
| 1010 | 10/02/2023 | Mr. Somkiat Vongsarojana | 300 in conjunction with 56(2) / SEC Act | Mr. Somkiat Vongsarojana, the authorized director, who was responsible for the operation of Rich Asia Corporation Public Company Limited ("RICH"), shall be liable for RICH failure to prepare and submit a financial statement for the year 2020 to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | Criminal Complaints | This case is in the process of inquiry by the inquiry official. |
| 1011 | 10/02/2023 | Mr. Teera Phoncharoensuk | 300 in conjunction with 56(2) / SEC Act | Mr. Teera Phoncharoensuk, the authorized director, who was responsible for the operation of Rich Asia Corporation Public Company Limited ("RICH"), shall be liable for RICH failure to prepare and submit a financial statement for the year 2020 to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | Criminal Complaints | This case is in the process of inquiry by the inquiry official. |
| 1012 | 10/02/2023 | Mr. Jumphol Vatasunthonkul | 300 in conjunction with 56(2) / SEC Act | Mr. Jumphol Vatasunthonkul, the authorized director, who was responsible for the operation of Rich Asia Corporation Public Company Limited ("RICH"), shall be liable for RICH failure to prepare and submit a financial statement for the year 2021 to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | Criminal Complaints | This case is in the process of inquiry by the inquiry official. |
| 1013 | 10/02/2023 | Miss Vachira Chobchoopol | 300 in conjunction with 56(2) / SEC Act | Miss Vachira Chobchoopol, the authorized director, who was responsible for the operation of Rich Asia Corporation Public Company Limited ("RICH"), shall be liable for RICH failure to prepare and submit a financial statement for the year 2021 to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | Criminal Complaints | This case is in the process of inquiry by the inquiry official. |
| 1014 | 30/01/2023 | MEC Far East International Public Company Limited | 56(3) / SEC Act | MEC Far East International Public Company Limited (“MEC”) had duties to prepare and submit the annual report for the year 2019 and 2020 (Form 56-2) in electronics form to the SEC Office within 15 November 2019 and 16 November 2020 respectively. However, MEC submitted the annual report for the year 2019 to the SEC Office on 2 September 2021 and submitted the annual report for the year 2020 to the SEC Office on 20 October 2021, later than the period specified by the notification of the Capital Market Board. | | Criminal Complaints | Criminal Complaints | This case is in the process of inquiry by the inquiry official. |
| 1015 | 30/01/2023 | Mr. Anuwat Burapachaisri | 56(3) / SEC Act | Mr. Anuwat Burapachaisri, the managing director, who is responsible for the operation of MEC Far East International Public Company Limited (“MEC”), shall be liable for MEC failure to prepare and submit the annual report for the year 2019 and 2020 (Form 56-2) to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Complaints | Criminal Complaints | This case is in the process of inquiry by the inquiry official. |
| 1016 | 30/01/2023 | Mr. Poramin Insom | 94 in conjunction with 46 (1) in conjunction with 48 (2) (3) / DAB Act | Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai Zahorski, managing director. They agreed that LLC Fair Expo would perform as a market maker to provide liquidity to Satang Pro Exchange, and Satang would provide credit line to LLC Fair Expo for the performance of liquidity providing. Between 4 January 2019 and 9 September 2019, LLC Fair Expo placed purchasing and selling orders of USDT XLM และ XZC to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement.
Satang’s offence was resulted from the instruction or the failure to give instruction of Mr. Poramin, Chief Executive Officer and authorized director, which is duly required to be performed. | 242/2022 | Civil Sanction | 30/01/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 3,000,000.00 Baht
- a reimbursement of investigative expenses in an amount of 2,810.00 Baht | |
| 1017 | 27/01/2023 | Kannithi Aviation Company Limited | 64 paragraph 2 / SEC Act | Kannithi Aviation Company Limited had duties to prepare and submit 10 results of the bill of exchange sale report to the SEC Office within the period as specified by the Securities and Exchange Commission. However, Kannithi Aviation Company Limited reported the 10 results of the sale report to the SEC Office later than the period specified by the notification of the SEC. | | Criminal Complaints | | |
| 1018 | 27/01/2023 | Mrs. Saychon Sibmong | 300 in conjunction with 64 paragraph 2 / SEC Act | Mrs. Saychon Sibmong, Authorized director who is responsible for the operation of Kannithi Aviation Company Limited shall be liable for Kannithi Aviation Company Limited failure to prepare and submit 10 results of the bill of exchange sale report within the period as specified by the Securities and Exchange Commission resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Complaints | | |
| 1019 | 16/01/2023 | Satang Corporation | 46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB Act | Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai Zahorski, managing director. They agreed that LLC Fair Expo would perform as a market maker to provide liquidity to Satang Pro Exchange, and Satang would provide credit line to LLC Fair Expo for the performance of liquidity providing. Between 4 January 2019 and 9 September 2019, LLC Fair Expo placed purchasing and selling orders of USDT XLM และ XZC to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement.
Satang’s offence was resulted from the instruction or the failure to give instruction of Mr. Poramin, Chief Executive Officer and authorized director, which is duly required to be performed. | 242/2022 | Civil Sanction | 16/01/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 3,000,000.00 Baht
- a reimbursement of investigative expenses in an amount of 2,810.00 Baht | |
| 1020 | 13/01/2023 | Mr.Anurak Chueachai | 46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB Act | Bitkub Online Co., Ltd. (“Bitkub”) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai. They agreed that Mr. Anurak would perform as a market maker to provide liquidity to Bitkub Exchange, and Bitkub would provide financial support to Mr. Anurak for the performance of liquidity providing. Between 4 January 2019 and 5 September 2019, Mr. Anurak placed purchasing and selling orders of ABT ADA BSV CVC GNT IOST JFIN KNC LINK LTC MANA OMG SNT USDT WAN XLM ZIL to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, Bitkub by Mr. Sakolkorn acknowledged such action but did not oppose. | 241/2022 | Civil Sanction | 13/01/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 25,000,000.00 Baht
- a suspension of digital assets and derivatives contracts related to digital assets trading between 22/05/2023 and 21/09/2023
- a bar from serving as a director or executive in a digital token offeror between 22/11/2023 and 21/07/2024
- a bar from serving as a director or executive in a digital asset business operator between 22/11/2023 and 21/07/2024
- a reimbursement of investigative expenses in an amount of 3,747.00 Baht | |
| 1021 | 10/01/2023 | Bitkub Online Co., Ltd | 46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB Act | Bitkub Online Co., Ltd. (“Bitkub”) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai. They agreed that Mr. Anurak would perform as a market maker to provide liquidity to Bitkub Exchange, and Bitkub would provide financial support to Mr. Anurak for the performance of liquidity providing. Between 4 January 2019 and 5 September 2019, Mr. Anurak placed purchasing and selling orders of ABT ADA BSV CVC GNT IOST JFIN KNC LINK LTC MANA OMG SNT USDT WAN XLM ZIL to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, Bitkub by Mr. Sakolkorn acknowledged such action but did not oppose.
Bitkub’s offence was resulted from the instruction or the failure to give instruction of Mr. Sakolkorn, Chief Executive Officer and authorized director, which is duly required to be performed. | 241/2022 | Civil Sanction | 10/01/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 25,000,000.00 Baht
- a reimbursement of investigative expenses in an amount of 3,747.00 Baht | |
| 1022 | 10/01/2023 | Mr. Sakolkorn Sakavee | 94 in conjunction with 46 (1) in conjunction with 48 (2) (3) / DAB Act | Bitkub Online Co., Ltd. (“Bitkub”) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai. They agreed that Mr. Anurak would perform as a market maker to provide liquidity to Bitkub Exchange, and Bitkub would provide financial support to Mr. Anurak for the performance of liquidity providing. Between 4 January 2019 and 5 September 2019, Mr. Anurak placed purchasing and selling orders of ABT ADA BSV CVC GNT IOST JFIN KNC LINK LTC MANA OMG SNT USDT WAN XLM ZIL to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, Bitkub by Mr. Sakolkorn acknowledged such action but did not oppose.
Bitkub’s offence was resulted from the instruction or the failure to give instruction of Mr. Sakolkorn, Chief Executive Officer and authorized director, which is duly required to be performed. | 241/2022 | Civil Sanction | 10/01/2023 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 25,000,000.00 Baht
- a suspension of digital assets and derivatives contracts related to digital assets trading between 22/05/2023 and 21/09/2023
- a bar from serving as a director or executive in a digital token offeror between 22/11/2023 and 21/07/2024
- a bar from serving as a director or executive in a digital asset business operator between 22/11/2023 and 21/07/2024
- a reimbursement of investigative expenses in an amount of 3,747.00 Baht | |
| 1023 | 29/12/2022 | Asia Wealth Securities Company Limited | 98(3) / SEC Act | Is being processed. | 243/2022 | Criminal Complaints | | |
| 1024 | 23/12/2022 | Mr. Telapon Sinchai | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 7 July 2020 – 2 November 2020 Mr. Telapon Sinchai and Ms. Uraiwan Sae-lee colluded to manipulate the price of Multibax Public Company Limited (“MBAX”) share by placing a trading order or trading securities in such a way that misleads other persons regarding the price or volume of the securities trading and placing a securities trading order or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. The said persons cooperated by using Miss Uraiwan’s 6 securities accounts at Country Group Securities Public Company Limited, KGI Securities (Thailand) PCL., KTBST Securities Public Company Limited (“KTBST Securities”), Finansia Syrus Securities Public Company Limited and Krungthai Zmico Securities Company Limited which Ms. Uraiwan gave Mr. Telaphon an authority to trade securities in those securitites accounts on behalf of Ms. Uraiwan and Mr. Telapon’s 2 securities accounts at KTBST Securities and I V Global Securities Public Company in total of 8 securities accounts. In this regard, Ms. Uraiwan managed the financial transactions regarding thr trading of MBAX shares | 228/2022 | Civil Sanction | 23/12/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 30,880.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 23/12/2022 and 06/09/2023
- a bar from serving as a director or executive in a securities issuing company between 23/12/2022 and 22/05/2024
- a bar from serving as a director or executive in a securities company between 23/12/2022 and 22/05/2024
- a reimbursement of investigative expenses in an amount of 129,541.00 Baht | |
| 1025 | 22/12/2022 | Ms. Uraiwan Sae-lee | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 7 July 2020 – 2 November 2020 Ms. Uraiwan Sae-lee and Mr. Telapon Sinchai colluded to manipulate the stock price of Multibax Public Company Limited (“MBAX”) by placing trading orders or trading MBAX’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. The said persons cooperated by using 8 securities accounts: Miss Uraiwan’s 6 securities accounts of Country Group Securities Public Company Limited, KGI Securities (Thailand) PCL., KTBST Securities Public Company Limited (“KTBST Securities”), Finansia Syrus Securities Public Company Limited and Krungthai Zmico Securities Company Limited which Ms. Uraiwan gave Mr. Telaphon an authority to trade securities in those securitites accounts on behalf of Ms. Uraiwan; and Mr. Telapon’s 2 securities accounts at KTBST Securities and I V Global Securities Public Company. In this regard, Ms. Uraiwan managed the financial transactions regarding their trading of MBAX's stocks. | 228/2022 | Civil Sanction | 22/12/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 3,504,418.00 Baht
- a civil monetary penalty of 4,380,522.50 Baht
- a suspension of securities and derivatives trading between 23/12/2022 and 06/09/2023
- a bar from serving as a director or executive in a securities issuing company between 23/12/2022 and 22/05/2024
- a bar from serving as a director or executive in a securities company between 23/12/2022 and 22/05/2024
- a reimbursement of investigative expenses in an amount of 129,541.50 Baht | |
| 1026 | 21/12/2022 | Miss Usawan Meeboon | 300 in conjunction with 33 / SEC Act | Miss Usawan Meeboon, Authorized director who is responsible for the operation of Thanathip Consult Company Limited shall be liable for Thanathip Consult Company Limited offering for sale of newly issued securities in the category of debentures (Private Placement) without approval from the SEC office resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 191/2565 | |
| 1027 | 21/12/2022 | Mr. Akalarp Yimwilai | 94 in conjunction with 30 / DAB Act | Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action resulted in the offence committed by Zipmex concerning the case that between July 20 to 28, 2022 Zipmex suspended totally or partly digital asset trading services without provisions in Zipmex's rules, conditions and procedures for trading digital assets (trading rules) approved by the SEC. Also, the suspension did not comply with the standards as a professional required to perform and was the failure to deliver services in quality. | | Criminal Fine | imposing a fine of 540,000.00 Baht according to 23/2565 | |
| 1028 | 21/12/2022 | Mr. Akalarp Yimwilai | 94 in conjunction with 30 / DAB Act | Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action resulted in the offence committed by Zipmex concerning the case that between July 20, 2022 to August 25, 2022, Zipmex suspended the service of depositing and withdrawing customer's assets in Trade wallet and Z-wallet, which considered that such operation did not reach the standards as a professional required to perform, and failed to deliver services in quality. | | Criminal Fine | imposing a fine of 1,380,000.00 Baht according to 23/2565 | |
| 1029 | 16/12/2022 | Mr. Vichet Thientong | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 and 274 paragraph 2 in conjunction with 58(2) / SEC Act | During the month of February 2020, Mr. Vichet Thientong, director of Energy Earth Public Company Limited (“EARTH”) and other directors namely : (1) Mr. Patiphat Supasirisin (2) Mr. Sakesan Baisak and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to EARTH or others obtained benefit. In this regard, they jointly had the resolution in Board of Directors (“BOD”) Meeting No. 1/2563 to approve the arrangement of Extraordinary General Meeting of Shareholders (EGM) with an agenda for private placement of 973,241,553 shares of EARTH at a price of 0.0001 Baht per share for the total amount of 97,324 Baht for former EARTH executives, in which, affects EARTH shareholders, without their opinion as BOD about rationales and effects of the private placement on the invitation letter to the EGM. Mr. Vichet shall be liable for the penalties under section 281/2 of the SEC Act.
During the month of August 2021, 6 directors and former director of EARTH namely (1) Mr. Vichet Thientong (2) Mr. Patiphat Supasirisin (3) Mr. Sakesan Baisak (4) Mr. Yosapong Pothasuthon (5) Mr. Suriyan Thongpikul and (6) Colonel Kanayos Suksanguan failed to provide explanation to questions stated in SEC letter, in which, the SEC exercised the power under Section 58(2) of The Securities and Exchange Act of Thailand B.E. 2535 (1992) (“SEC Act”) instructing the directors of EARTH to provide explanation about the reasonability of private placement, the company and shareholders’ best interest regarding the private placement, effects to share price and shareholder control, reasons of offering shares of EARTH at a price of 0.0001 Baht per share, consideration of book value or fair value, and compliance to the SEC Act and other related law. They shall be liable for the penalties under section 274 paragraph 2 of the SEC Act. | 233/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1030 | 16/12/2022 | Mr. Patiphat Supasirisin | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 and 274 paragraph 2 in conjunction with 58(2) / SEC Act | During the month of February 2020, Mr. Patiphat Supasirisin, director of Energy Earth Public Company Limited (“EARTH”) and other directors namely : (1) Mr. Vichet Thientong (2) Mr. Sakesan Baisak and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to EARTH or others obtained benefit. In this regard, they jointly had the resolution in Board of Directors (“BOD”) Meeting No. 1/2563 to approve the arrangement of Extraordinary General Meeting of Shareholders (EGM) with an agenda for private placement of 973,241,553 shares of EARTH at a price of 0.0001 Baht per share for the total amount of 97,324 Baht for former EARTH executives, in which, affects EARTH shareholders, without their opinion as BOD about rationales and effects of the private placement on the invitation letter to the EGM. Mr. Patiphat shall be liable for the penalties under section 281/2 of the SEC Act.
During the month of August 2021, 6 directors and former director of EARTH namely (1) Mr. Patiphat Supasirisin (2) Mr. Vichet Thientong (3) Mr. Sakesan Baisak (4) Mr. Yosapong Pothasuthon (5) Mr. Suriyan Thongpikul and (6) Colonel Kanayos Suksanguan failed to provide explanation to questions stated in SEC letter, in which, the SEC exercised the power under Section 58(2) of The Securities and Exchange Act of Thailand B.E. 2535 (1992) (“SEC Act”) instructing the directors of EARTH to provide explanation about the reasonability of private placement, the company and shareholders’ best interest regarding the private placement, effects to share price and shareholder control, reasons of offering shares of EARTH at a price of 0.0001 Baht per share, consideration of book value or fair value, and compliance to the SEC Act and other related law. They shall be liable for the penalties under section 274 paragraph 2 of the SEC Act. | 233/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1031 | 16/12/2022 | Mr. Sakesan Baisak | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 and 274 paragraph 2 in conjunction with 58(2) / SEC Act | During the month of February 2020, Mr. Sakesan Baisak, director of Energy Earth Public Company Limited (“EARTH”) and other directors namely : (1) Mr. Vichet Thientong (2) Mr. Patiphat Supasirisin and (3) Mr. Partheep Chinsangtip jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to EARTH or others obtained benefit. In this regard, they jointly had the resolution in Board of Directors (“BOD”) Meeting No. 1/2563 to approve the arrangement of Extraordinary General Meeting of Shareholders (EGM) with an agenda for private placement of 973,241,553 shares of EARTH at a price of 0.0001 Baht per share for the total amount of 97,324 Baht for former EARTH executives, in which, affects EARTH shareholders, without their opinion as BOD about rationales and effects of the private placement on the invitation letter to the EGM. Mr. Sakesan shall be liable for the penalties under section 281/2 of the SEC Act.
During the month of August 2021, 6 directors and former director of EARTH namely (1) Mr. Sakesan Baisak (2) Mr. Vichet Thientong (3) Mr. Patiphat Supasirisin (4) Mr. Yosapong Pothasuthon (5) Mr. Suriyan Thongpikul and (6) Colonel Kanayos Suksanguan failed to provide explanation to questions stated in SEC letter, in which, the SEC exercised the power under Section 58(2) of The Securities and Exchange Act of Thailand B.E. 2535 (1992) (“SEC Act”) instructing the directors of EARTH to provide explanation about the reasonability of private placement, the company and shareholders’ best interest regarding the private placement, effects to share price and shareholder control, reasons of offering shares of EARTH at a price of 0.0001 Baht per share, consideration of book value or fair value, and compliance to the SEC Act and other related law. They shall be liable for the penalties under section 274 paragraph 2 of the SEC Act. | 233/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1032 | 16/12/2022 | Mr. Yosapong Pothasuthon | 274 paragraph 2 in conjunction with 58(2) / SEC Act | During the month of August 2021, 6 directors and former director of EARTH namely (1) Mr. Yosapong Pothasuthon (2) Mr. Vichet Thientong (3) Mr. Patiphat Supasirisin (4) Mr. Sakesan Baisak (5) Mr. Suriyan Thongpikul and (6) Colonel Kanayos Suksanguan failed to provide explanation to questions stated in SEC letter, in which, the SEC exercised the power under Section 58(2) of The Securities and Exchange Act of Thailand B.E. 2535 (1992) (“SEC Act”) instructing the directors of EARTH to provide explanation about the reasonability of private placement, the company and shareholders’ best interest regarding the private placement, effects to share price and shareholder control, reasons of offering shares of EARTH at a price of 0.0001 Baht per share, consideration of book value or fair value, and compliance to the SEC Act and other related law. They shall be liable for the penalties under section 274 paragraph 2 of the SEC Act. | 233/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1033 | 16/12/2022 | Mr. Suriyan Thongpikul | 274 paragraph 2 in conjunction with 58(2) / SEC Act | During the month of August 2021, 6 directors and former director of EARTH namely (1) Mr. Suriyan Thongpikul (2) Mr. Vichet Thientong (3) Mr. Patiphat Supasirisin (4) Mr. Sakesan Baisak (5) Mr. Yosapong Pothasuthon and (6) Colonel Kanayos Suksanguan failed to provide explanation to questions stated in SEC letter, in which, the SEC exercised the power under Section 58(2) of The Securities and Exchange Act of Thailand B.E. 2535 (1992) (“SEC Act”) instructing the directors of EARTH to provide explanation about the reasonability of private placement, the company and shareholders’ best interest regarding the private placement, effects to share price and shareholder control, reasons of offering shares of EARTH at a price of 0.0001 Baht per share, consideration of book value or fair value, and compliance to the SEC Act and other related law. They shall be liable for the penalties under section 274 paragraph 2 of the SEC Act | 233/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1034 | 16/12/2022 | Colonel Kanayos Suksanguan | 274 paragraph 2 in conjunction with 58(2) / SEC Act | During the month of August 2021, 6 directors and former director of EARTH namely (1) Colonel Kanayos Suksanguan (2) Mr. Vichet Thientong (3) Mr. Patiphat Supasirisin (4) Mr. Sakesan Baisak (5) Mr. Yosapong Pothasuthon and (6) Mr. Suriyan Thongpikul failed to provide explanation to questions stated in SEC letter, in which, the SEC exercised the power under Section 58(2) of The Securities and Exchange Act of Thailand B.E. 2535 (1992) (“SEC Act”) instructing the directors of EARTH to provide explanation about the reasonability of private placement, the company and shareholders’ best interest regarding the private placement, effects to share price and shareholder control, reasons of offering shares of EARTH at a price of 0.0001 Baht per share, consideration of book value or fair value, and compliance to the SEC Act and other related law. They shall be liable for the penalties under section 274 paragraph 2 of the SEC Act. | 233/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1035 | 16/12/2022 | Mr. Partheep Chinsangtip | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 / SEC Act | During the month of February 2020, Mr. Partheep Chinsangtip, director of Energy Earth Public Company Limited (“EARTH”) and other directors namely : (1) Mr. Vichet Thientong (2) Mr. Patiphat Supasirisin and (3) Mr. Sakesan Baisak jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to EARTH or others obtained benefit. In this regard, they jointly had the resolution in Board of Directors (“BOD”) Meeting No. 1/2563 to approve the arrangement of Extraordinary General Meeting of Shareholders (EGM) with an agenda for private placement of 973,241,553 shares of EARTH at a price of 0.0001 Baht per share for the total amount of 97,324 Baht for former EARTH executives, in which, affects EARTH shareholders, without their opinion as BOD about rationales and effects of the private placement on the invitation letter to the EGM. Mr. Sakesan shall be liable for the penalties under section 281/2 of the SEC Act. | 233/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1036 | 14/12/2022 | Dr. Boon Vanasin (M.D.) | 240 / SEC Act (the fifth amendment) | During July 12 – August 4, 2021, Dr. Boon Vanasin (M.D.), chairman of the board of directors of Thonburi Healthcare Group Public Company Limited (THG) had informed or disseminated to many media channels that THG would sign the contract to import mRNA COVID-19 vaccines (Pfizer) and the first 5 million doses of the vaccine would be delivered by July 2021 which does not happen as he stated. Furthermore, in early August 2021, Dr. Boon still confirmed that the vaccines would be import within August 2021 but later he admitted that such vaccines could not be imported as he confirmed. The statement of Dr. Boon may be materially misleading about the business operation, or any other information related to THG in such manner that is likely to have an effect on the price of THG shares or decision making on THG shares investment. | 230/2022 | Civil Sanction | 27/04/2023 filed a lawsuit to a civil court 14/12/2022 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1037 | 13/12/2022 | Three Sixty Five Public Company Limited | 56(2)(3)(4) / SEC Act | Three Sixty Five Public Company Limited (TSF), a listed company, failed to prepare and submit the financial reports to SEC Office within the period specified in the notification as follows : (1) the annual registration statement (Form 56-1) for the year 2019 (2) the annual report (Form 56-2) for the year 2019 (3) Form 56-1 for the year 2020 or the annual registration statement for the year/annual report (Form 56-1 One report) for the year 2020
(4) Form 56-2 for the year 2020 or Form 56-1 One report for the year 2020 (5) the audited financial statements for the year 2021 (6) Form 56-1 One report for the year 2021
| | Criminal Complaints | This case is in the process of inquiry by the court. | |
| 1038 | 13/12/2022 | Mr. Jesada Supasai | 300 in conjunction with 56(3)(4) / SEC Act | Mr. Jesada Supasai, the Chief Executive Officer (Acting) and Chairman Of the Board Of Directors for the operation of Three Sixty Five Public Company Limited ("TSF"), shall be liable for TSF failure to prepare and submit the financial reports to SEC Office within the period specified in the notification as follows : (1) the annual registration statement (Form 56-1) for the year 2020 or the annual registration statement for the year/annual report (Form 56-1 One report) for the year 2020
(2) the annual report (Form 56-2) for the year 2020 or Form 56-1 One report for the year 2020 (3) the audited financial statements for the year 2021
(4) Form 56-1 One report for the year 2021
| | Criminal Complaints | This case is in the process of inquiry by the court. | |
| 1039 | 08/12/2022 | Jc Kevin Development Company Limited | 56(2)(4) / SEC Act | Jc Kevin Development Company Limited (“JCKD”) had duty to prepare and submit the financial statement for the year 2020, the key financial ratio for the year 2020, and the six-month periods ended 30 June 2021 within 31 May 2021, 31 May 2021, and 30 September 2021, respectively. However, JCKD prepared and submitted the financial statement for the year 2020, the key financial ratio for the year 2020, and the financial statements for the six-month periods ended 30 June 2021 on 31 August 2021, 31 August 2021, and 5 May 2022, which failed to prepare and submit the financial statement for the year 2020 and those financial report within the period specified by the Notification of the Capital Market Supervisory Board. | | Criminal Complaints | The inquiry official sent the case back to the Settlement Committee. | |
| 1040 | 08/12/2022 | Mr. Apichai Taechaubol | 300 in conjunction with 56(2)(4) / SEC Act | Mr. Apichai Taechaubol, managing director who is responsible for the operation of Jc Kevin Development Company Limited (“JCKD”), shall be liable for JCKD’s failure to prepare and submit the financial statement for the year 2020, the key financial ratio for the year 2020, and the financial statements for the six-month periods ended 30 June 2021 within the period specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. | | Criminal Complaints | The inquiry official sent the case back to the Settlement Committee. | |
| 1041 | 08/12/2022 | Polaris Capital Public Company Limited | 56(1)(2)(3)(4) / SEC Act | Polaris Capital Public Company Limited ("POLAR"), a listed company, failed to prepare and submit the financial reports through the transmission system of the Stock Exchange of Thailand within the period specified in the notification as follows : (1) the reviewed financial statements for Q3/2019 (2) the interim management discussion and analysis (“MD&A”) of Q3/2019 (3) the audited financial statements for the year 2019 (4) MD&A of 2019 (5) the reviewed financial statements for Q1/2020 (6) MD&A of Q1/2020 (7) the reviewed financial statements for Q2/2020 (8) MD&A of Q2/2020 (9) the reviewed financial statements for Q3/2020 (10) MD&A of Q3/2020 (11) the audited financial statements for the year 2020 (12) MD&A of 2020 (13) the reviewed financial statements for Q1/2021 (14) MD&A of Q1/2021 (15) the reviewed financial statements for Q2/2021 (16) MD&A of Q2/2021 (17) the reviewed financial statements for Q3/2021 (18) MD&A of Q3/2021 (19) the audited financial statements for the year 2021 (20) MD&A of 2021 (21) the reviewed financial statements for Q1/2022 (22) MD&A of Q1/2022 (23) MD&A of Q2/2021 (24) the annual registration statement for the year 2019 (Form 56-1) (25) the annual report for the year 2019 (Form 56-2) (26) the annual registration statement for the year 2020 (Form 56-1) or the annual registration statement for the year/annual report for the year 2020 (Form 56-1 One report) (27) the annual report for the year 2020 (Form 56-2) or the annual registration statement for the year/annual report for the year 2020 (Form 56-1 One report) and (28) the annual registration statement for the year/annual report for the year 2021 (Form 56-1 One report). | | Criminal Complaints | The Criminal Court sentenced the accused to pay a fine of 27,000 Baht and a further fine of 100 Baht each day for 12,963 days starting from November 15, 2019 until January 10, 2023 totally 1,296,300 Baht. The amount of total fine for the accused is 1,323,000 Baht. Since the accused pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 13,500 and a further fine of Baht 50 Baht each day for 12,963 days starting from November 15, 2019 until January 10, 2023 totally 648,150 Baht. The amount of total fine for the accused is 661,650 Baht. | |
| 1042 | 08/12/2022 | Mr.Tischuan Nanavaratorn | 300 / SEC Act | Mr.Tischuan Nanavaratorn, the chairman of the board of the directors for the operation of Polaris Capital Public Company Limited ("POLAR"), shall be liable for POLAR’s failure to prepare and submit the financial reports through the transmission system within the period specified in the notification as follows : (1) the reviewed financial statements for Q3/2019 (2) the interim management discussion and analysis (“MD&A”) of Q3/2019 (3) the audited financial statements for the year 2019 (4) MD&A of 2019 (5) the reviewed financial statements for Q1/2020 (6) MD&A of Q1/2020 (7) the annual registration statement for the year 2019 (Form 56-1) (8) the annual report for the year 2019 (Form 56-2). | | Criminal Complaints | The Criminal Court sentenced the accused to pay a fine of 8,000 Baht and a further fine of 100 Baht each day for 5,146 days starting from November 15, 2019 until January 17, 2022 totally 514,600 Baht. The amount of total fine for the accused is 522,600 Baht. Since the accused pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 4,000 and a further fine of Baht 50 Baht each day for 5,146 days starting from November 15, 2019 until January 17, 2022 totally 257,300 Baht. The amount of total fine for the accused is 261,300 Baht. | |
| 1043 | 08/12/2022 | Mr. Phurich Nanavaratorn | 300 / SEC Act | Mr. Phurich Nanavaratorn, a managing director for the operation of Polaris Capital Public Company Limited ("POLAR"), shall be liable for POLAR’s failure to prepare and submit the financial reports through the transmission system within the period specified in the notification as follows : (1) the reviewed financial statements for Q2/2020 (2) MD&A of Q2/2020 (3) the reviewed financial statements for Q3/2020 (4) MD&A of Q3/2020 (5) the audited financial statements for the year 2020 (6) MD&A of 2020 (7) the reviewed financial statements for Q1/2021 (8) MD&A of Q1/2021 (9) the reviewed financial statements for Q2/2021 (10) MD&A of Q2/2021 (11) the reviewed financial statements for Q3/2021 (12) MD&A of Q3/2021 (13) the audited financial statements for the year 2021 (14) MD&A of 2021 (15) the reviewed financial statements for Q1/2022 (16) MD&A of Q1/2022 (17) MD&A of Q2/2021 (18) the annual registration statement for the year 2020 (Form 56-1) or the annual registration statement for the year/annual report for the year 2020 (Form 56-1 One report) (19) the annual report for the year 2020 (Form 56-2) or the annual registration statement for the year/annual report for the year 2020 (Form 56-1 One report) and (20) the annual registration statement for the year/annual report for the year 2021 (Form 56-1 One report). | | Criminal Complaints | The Criminal Court sentenced the accused to pay a fine of 19,000 Baht and a further fine of 100 Baht each day for 7,817 days starting from November 17, 2021 until January 10, 2023 totally 781,700 Baht. The amount of total fine for the accused is 800,700 Baht. Since the accused pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 9,500 and a further fine of Baht 50 Baht each day for 7,817 days starting from November 17, 2021 until January 10, 2023 totally 390,850 Baht. The amount of total fine for the accused is 400,350 Baht. | |
| 1044 | 07/12/2022 | Mr. Somboon Numtipjuntacharern | 300 in conjunction with 34 / SEC Act | Mr. Somboon Numtipjuntacharern, authorized director who is responsible for the operation of Thai Canal Rich Company Limited, order or act resulting in Thai Canal Rich Company Limited’s shares offering in the form of general or to the public without approval from the SEC office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 188/2565 | |
| 1045 | 07/12/2022 | Thai Canal Rich Company Limited | 34 / SEC Act | Thai Canal Rich Company Limited offered for sale of newly issued shares in the form of general or to the public without approval from the SEC office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 187/2565 | |
| 1046 | 07/12/2022 | M.L.Thongmakut Thongyai | 300 in conjunction with 33 / SEC Act | M.L.Thongmakut Thongyai chief executive officer who is responsible for the operation of Krungthai XSpring Securities Co., Ltd. (KTX) shall be liable for (1) KTX offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the securities. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 185/2565 | |
| 1047 | 07/12/2022 | Krungthai XSpring Securities Co., Ltd. | 33 / SEC Act | Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the securities which is in violation of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 184/2565 | |
| 1048 | 07/12/2022 | Miss RATTA KUEAKHAM | | | 225/2022 | Administrative Orders | Revocation | Effective Date 07/12/2022 to 06/12/2032 |
| 1049 | 01/12/2022 | Mr. Khajohnpong Khamdee | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mr. Kajohnpong and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1050 | 01/12/2022 | Mr. Phisudhi Phihakendr | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mr. Phisudhi and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1051 | 01/12/2022 | Mr. Phipat Phihakendr | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mr. Phipat and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1052 | 01/12/2022 | Mr. Phiroon Phihakendr | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mr. Phiroon and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | | This case is in the process of inquiry by the inquiry official.
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| 1053 | 01/12/2022 | Mr. Jittkasaem Kunchayangkul | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mr. Jittkasaem and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
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| 1054 | 01/12/2022 | Miss Roongkarn Sanyawirat | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mrs. Roongkarn and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1055 | 01/12/2022 | Miss Supaporn Saikham | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Miss Supaporn and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
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| 1056 | 01/12/2022 | Miss Prinyada Wisuthana | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Miss Prinyada and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
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| 1057 | 01/12/2022 | Mrs. Luckana Jantem | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mrs. Luckana and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
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| 1058 | 01/12/2022 | Mrs. Chidchanok Sri-in | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mrs. Chidchanok and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
| |
| 1059 | 01/12/2022 | Mr. Piboon Pihakane | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mr. Piboon and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
| |
| 1060 | 01/12/2022 | Mr. Pachawat Kunchayangkul | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mr. Pachawat and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
| |
| 1061 | 01/12/2022 | Mr. Kasaemson Kunchayangkul | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mr. Kasaemson and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
| |
| 1062 | 01/12/2022 | Mr. Sompong Bowonkraisri | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Between dated 5 September to 2 November, 2016 and 2 September to 13 October, 2016 Mr. Sompong and other suspects colluded and divided duties with each other to sell and purchase Energy Earth Public Company Limited (EARTH) shares and EARTH derivative contracts continuously in a way of concealment so as to mislead general public regarding the price or volume of EARTH shares and derivative contracts. Consequently, the conduct of them affected the price or volume of EARTH shares and derivative contracts to be inconsistent with the normal market condition. | 221/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official.
| |
| 1063 | 22/11/2022 | Bitkub Online Co., Ltd | 46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB Act | Bitkub Online Co., Ltd. (Bitkub) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai. They agreed that Mr. Anurak would perform as a market maker to provide liquidity to Bitkub Exchange, and Bitkub would provide financial support to Mr. Anurak for the performance of liquidity providing. During February 2019, Mr. Anurak placed purchasing and selling orders of BTC BCH ETH and XRP to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, Bitkub by Mr. Sakolkorn acknowledged such action but did not oppose.
Bitkub’s offence was resulted from the instruction or the failure to give instruction of Mr. Sakolkorn, Chief Executive Officer and authorized director, which is duly required to be performed. | 106/2022 | Civil Sanction | 22/11/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 8,000,000.00 Baht
- a reimbursement of investigative expenses in an amount of 53,764.00 Baht | |
| 1064 | 22/11/2022 | Mr.Anurak Chueachai | 46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB Act | Bitkub Online Co., Ltd. (Bitkub) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai. They agreed that Mr. Anurak would perform as a market maker to provide liquidity to Bitkub Exchange, and Bitkub would provide financial support to Mr. Anurak for the performance of liquidity providing. During February 2019, Mr. Anurak placed purchasing and selling orders of BTC BCH ETH and XRP to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, Bitkub by Mr. Sakolkorn acknowledged such action but did not oppose. | 106/2022 | Civil Sanction | 22/11/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 8,000,000.00 Baht
- a suspension of digital assets and derivatives contracts related to digital assets trading between 22/11/2022 and 21/05/2023
- a bar from serving as a director or executive in a digital token offeror between 22/11/2022 and 21/11/2023
- a bar from serving as a director or executive in a digital asset business operator between 22/11/2022 and 21/11/2023
- a reimbursement of investigative expenses in an amount of 53,764.00 Baht | |
| 1065 | 22/11/2022 | Mr. Sakolkorn Sakavee | 94 in conjunction with 46 (1) in conjunction with 48 (2) (3) / DAB Act | Bitkub Online Co., Ltd. (Bitkub) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai. They agreed that Mr. Anurak would perform as a market maker to provide liquidity to Bitkub Exchange, and Bitkub would provide financial support to Mr. Anurak for the performance of liquidity providing. During February 2019, Mr. Anurak placed purchasing and selling orders of BTC BCH ETH and XRP to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, Bitkub by Mr. Sakolkorn acknowledged such action but did not oppose.
Bitkub’s offence was resulted from the instruction or the failure to give instruction of Mr. Sakolkorn, Chief Executive Officer and authorized director, which is duly required to be performed. | 106/2022 | Civil Sanction | 22/11/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 8,000,000.00 Baht
- a suspension of digital assets and derivatives contracts related to digital assets trading between 22/11/2022 and 21/05/2023
- a bar from serving as a director or executive in a digital token offeror between 22/11/2022 and 21/11/2023
- a bar from serving as a director or executive in a digital asset business operator between 22/11/2022 and 21/11/2023
- a reimbursement of investigative expenses in an amount of 53,764.00 Baht | |
| 1066 | 12/11/2022 | Miss ARUNOTHAI SOYLIM | | | 200/2022 | Administrative Orders | Revocation | Effective Date 12/11/2022 to 11/11/2032 |
| 1067 | 11/11/2022 | Surya Kiran Investments Pte. Ltd. | 247 / SEC Act | Surya Kiran Investments Pte. Ltd. (“SKI”) failed to comply with the regulations as specified by the Capital Market Supervisory Board by reporting the preliminary result of the tender offer in Form 247-6-Khor by using the preliminary result of the tender offer before the last day of the period where the offeror allows acceptors to cancel such tenders throughout the offer period.which is in violation of the Securities and Exchange Act B.E. 2535.
| | Criminal Fine | imposing a fine of 53,500.00 Baht according to 176/2565 | |
| 1068 | 11/11/2022 | SMC Power Public Company Limited | 56 / SEC Act | SMC Power Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2021 and (2) the annual report for the year 2021 (Form 56-2, 2021) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1069 | 11/11/2022 | Mr. Paiwan Butrsa | 300 / SEC Act | Mr. Paiwan Butrsa, Director responsible for the operation of SMC Power Public Company Limited ("SMC") failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2021 and (2) the annual report for the year 2021 (Form 56-2, 2021) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1070 | 11/11/2022 | Mr. Songrit Butrngam | 300 / SEC Act | Mr. Songrit Butrngam, Director responsible for the operation of SMC Power Public Company Limited ("SMC") failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2021 and (2) the annual report for the year 20201 (Form 56-2, 2021) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1071 | 11/11/2022 | Mr. Saran Siriphantnon | 94 / DAB Act | Mr. Saran Siriphantnon, the Chief Executive Officer of a digital asset exchange called Satang Corporation Company Limited ("Satang"), is responsible for the operation of Satang. His failure to perform the required duty of his position resulted in the offence committed by Satang concerning the case that between August 1, 2021 to March 31, 2022 Satang failed to keep customers' digital assets in digital wallets connected to the internet when conducting transactions only (cold wallet) and deposit customers' digital assets with the digital asset depository service providers (3rd Party Custodian) in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 2,706,000.00 Baht according to 18/2565 | |
| 1072 | 11/11/2022 | Mr. Kavin Phongpandecha | 94 / DAB Act | Mr. Kavin Phongpandecha, the Chief Executive Officer of a digital asset broker called Bitazza Company Limited ("Bitazza"), is responsible for the operation of Bitazza. His failure to perform the required duty of his position resulted in the offence committed by Bitazza concerning the case that between August 1, 2021 to March 31, 2022 Bitazza failed to keep customers' digital assets in digital wallets connected to the internet when conducting transactions only (cold wallet) and deposit customers' digital assets with the digital asset depository service providers (3rd Party Custodian) in accordance with the notification of the SEC. | | Criminal Fine | imposing a fine of 3,165,000.00 Baht according to 17/2565 | |
| 1073 | 28/10/2022 | Group Lease Public Company Limited | 56(2)(4) / SEC Act | Group Lease Public Company Limited (“GL”) a securities issuer, failed to prepare and submit the inaccurate financial statement for Q3/2020 and the interim management discussion and analysis (“MD&A”) for Q3/2020 to the SEC office within the period specified in the notification which is within on November 16, 2020. but GL submitted that financial statement to the SEC office on March 19, 2021 and the auditor is limited its scope of the review or audit by the GL’s executives of the securities issuer for that the financial statement that caused MD&A for Q3/2020 which GL was submitted to SEC office is not accurate. | | Criminal Complaints | This case is in the process of inquiry by the court. | |
| 1074 | 28/10/2022 | Mr. Riki Ishigami | 300 in conjunction with 56(2)(4) / SEC Act | Mr. Riki Ishigami, a Chief Executive Officer for the operation of Group Lease Public Company Limited (GL), shall be liable for GL failure to prepare and submit the inaccurate audited financial statements for Q3/2020 and an interim management discussion and analysis (MD&A) for Q3/2020 within the period specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties required to be performed. | | Criminal Complaints | | |
| 1075 | 18/10/2022 | L.V. TECHNOLOGY Public Company Limited | 56(1)(2)(3)(4) / SEC Act | L.V. TECHNOLOGY Public Company Limited (“LVT”), delayed to prepare and submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board as follows : (1) financial statement for the year 2018 (2) the annual registration statement for the year 2018 (Form 56-1) (3) the annual report for the year 2018 (Form 56-2) (4) the reviewed financial statements for Q1/2019 (5) financial statement for the year 2019 (6) the annual report for the year 2019 (Form 56-2) (7) financial statement for the year 2020 (8) the annual report for the year 2020 (Form 56-2) (9) financial statement for the year 2021 and (10) the annual report for the year 2021 (Form 56-2). | | Criminal Complaints | | |
| 1076 | 18/10/2022 | Mr. Gancanapol Geert van Compernolle | 300 / SEC Act | Mr. Gancanapol Geert van Compernolle, authorized Director, responsible for the operation of L.V. TECHNOLOGY Public Company Limited (“LVT”), shall be liable for LVT delayed to prepare and submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board as follows : (1) financial statement for the year 2018 (2) the annual registration statement for the year 2018 (Form 56-1) (3) the annual report for the year 2018 (Form 56-2) (4) the reviewed financial statements for Q1/2019 (5) financial statement for the year 2019 (6) the annual report for the year 2019 (Form 56-2) (7) financial statement for the year 2020 (8) the annual report for the year 2020 (Form 56-2) (9) financial statement for the year 2021 and (10) the annual report for the year 2021 (Form 56-2). | | Criminal Complaints | | |
| 1077 | 18/10/2022 | Mr. Sumek Bamrungsuk | 300 / SEC Act | Mr. Sumek Bamrungsuk, authorized Director, responsible for the operation of L.V. TECHNOLOGY Public Company Limited (“LVT”), shall be liable for LVT delayed to prepare and submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board as follows : (1) financial statement for the year 2019 (2) the annual report for the year 2019 (Form 56-2) (3) financial statement for the year 2020 and (4) the annual report for the year 2020 (Form 56-2). | | Criminal Complaints | | |
| 1078 | 18/10/2022 | Mr. Michael Andersen | 300 / SEC Act | Mr. Michael Andersen, authorized Director, responsible for the operation of L.V. TECHNOLOGY Public Company Limited (“LVT”), shall be liable for LVT delayed to prepare and submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board as follows : (1) financial statement for the year 2021 and
(2) the annual report for the year 2021 (Form 56-2).
| | Criminal Complaints | | |
| 1079 | 29/09/2022 | SAMART TRAFFIC COMPANY LIMITED (SMT) | 33 / SEC Act | SAMART TRAFFIC COMPANY LIMITED (SMT) offered for sale newly issued securities in the category of debentures and bills without obtaining an approval from the SEC Office. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1080 | 29/09/2022 | Mr. Kritchthorn Chindapradist | 300 in conjunction with 33 / SEC Act | Mr. Kritchthorn Chindapradist, managing director who is responsible for the operation of SAMART TRAFFIC COMPANY LIMITED (“SMT”) shall be liable for SMT's offering for sale of newly issued securities in the category of debentures and bills without obtaining an approval from the SEC office resulted from the instructions or the failure to give instructions which is a duly required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1081 | 27/09/2022 | LLC Fair Expo | 46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB Act | Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai Zahorski, managing director. They agreed that LLC Fair Expo would perform as a market maker to provide liquidity to Satang Pro Exchange, and Satang would provide credit line to LLC Fair Expo for the performance of liquidity providing. During February 2019, LLC Fair Expo placed purchasing and selling orders of BTC ETH and XRP to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement.
LLC Fair Expo’s offence was resulted from the instruction or the failure to give instruction of Mr. Mikalai, managing director, which is duly required to be performed. | 161/2022 | Civil Sanction | 27/09/2022 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 1082 | 27/09/2022 | Mr. Mikalai Zahorski | 94 in conjunction with 46 (1) in conjunction with 48 (2) (3) / DAB Act | Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai Zahorski, managing director. They agreed that LLC Fair Expo would perform as a market maker to provide liquidity to Satang Pro Exchange, and Satang would provide credit line to LLC Fair Expo for the performance of liquidity providing. During February 2019, LLC Fair Expo placed purchasing and selling orders of BTC ETH and XRP to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement.
LLC Fair Expo’s offence was resulted from the instruction or the failure to give instruction of Mr. Mikalai, managing director, which is duly required to be performed.
| 161/2022 | Civil Sanction | 27/09/2022 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the state attorney process |
| 1083 | 14/09/2022 | Mr.Samret Wajanasathian | 42 (1) in conjunction with 43 (1) / DAB Act | Mr. Samret Wajanasathian, Chief Technology Officer of Bitkub Blockchain Technology Company Limited, purchased a lot of Bitkub Coins (KUB Coin) between September 4th, 2021 to November 2nd, 2021, while he knew or possessed inside information concerning a share purchase deal that SCB Securities Company Limited intended to purchase 51% of the total shares of Bitkub Online Company Limited ("BO Company") from Bitkub Capital Group Holdings Company Limited, valued approximately 17,850 million Baht. In the case that the result of due diligence of the BO Company must be satisfied and the parties have fully complied with the conditions in the share purchase agreement. Aforementioned purchases were made prior to the dissemination of such inside information by Siam Commercial Bank Public Company Limited (SCB) via the Stock Exchange of Thailand disclosure system at 6.53 p.m., November 2nd, 2021. | 135/2022 | Civil Sanction | 14/09/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 3,748,544.01 Baht
- a civil monetary penalty of 4,310,825.61 Baht
- a bar from serving as a director or executive in a digital token offeror between 14/09/2022 and 13/09/2023
- a bar from serving as a director or executive in a digital asset business operator between 14/09/2022 and 13/09/2023
- a reimbursement of investigative expenses in an amount of 471,013.38 Baht | |
| 1084 | 09/09/2022 | Mr. Noppadol Dej-Udom | 242 (1) / SEC Act (the fifth amendment) | Mr. Noppadol Dej-Udom while being an Executive Vice Chairman of the Executive Committee of True Corporation Public Company Limited (TRUE), knew or possessed inside information of TRUE about (1) the National Broadcasting and Telecommunications Commission (“NBTC”) imposed True Move Company Limited (“True Move”), a subsidiary company of TRUE, to submit Baht 3,381.95 million of its revenue from providing mobile phone service during the subscribers protection period starting from its entering into the interim subscribers protection measure pursuant to the NBTC’s Notification on Protection for Subscribers upon the Expiration of Concession Agreements or the Agreement to Operate B.E. 2013. and (2) the Arbitral Tribunal ordering TRUE to pay TOT Public Company Limited (“TOT”) penalty for a breach of contract as an amount of Baht 94,474.27 and interest until the payment is fully made. Subsequently, on 5 September, 2018, Mr. Noppadol sold 2,000,000 TRUE shares by using such inside information prior to the disclosure of such inside information to the public on same day at 7.25 p.m.
| 146/2022 | Civil Sanction | 09/09/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,200,000.00 Baht
- a civil monetary penalty of 1,380,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 09/09/2022 and 08/09/2023
- a reimbursement of investigative expenses in an amount of 125,470.00 Baht | |
| 1085 | 07/09/2022 | Zipmex Company Limited | 75 / DAB Act | Between July and September 2022, Zipmex Company Limited ("Zipmex") failed to comply with the competent officer's orders requesting Zipmex to deliver information about its business and operations such as electronic wallets for keeping and maintaining clients' assets and details and explanations of transactions in the wallets. In this regard, although Zipmex was notified by the competent officer to comply with such orders, Zipmex delivered only partial or incomplete information. In addition, Zipmex delayed the delivery of information requested by the competent officer without a reasonable cause or excuse. | 147/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1086 | 07/09/2022 | Mr. Akalarp Yimwilai | 75 / DAB Act | Between July and September 2022, Mr. Akalarp Yimwilai , a Chief Executive Officer of Zipmex Company Limited ("Zipmex"), failed to comply with the competent officer's orders requesting him to deliver information about Zipmex's business and operations such as electronic wallets for keeping and maintaining assets of its clients and details and explanations of transactions in the wallet. In this regard, although he was notified by the competent officer to comply with such orders, he delivered only partial or incomplete information. In addition, he delayed the delivery of information requested by the competent officer without a reasonable cause or excuse. | 147/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1087 | 01/09/2022 | Miss WONVISA ANOTHAISINDAVE | | committing wrongful acts against an investor's assets | 136/2022 | Administrative Orders | Revocation | Effective Date 01/09/2022 to 31/12/2025 |
| 1088 | 25/08/2022 | Mr. Poramin Insom | 94 in conjunction with 46 (1) in conjunction with 48 (2) (3) / DAB Act | Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai Zahorski, managing director. They agreed that LLC Fair Expo would perform as a market maker to provide liquidity to Satang Pro Exchange, and Satang would provide credit line to LLC Fair Expo for the performance of liquidity providing. During February 2019, LLC Fair Expo placed purchasing and selling orders of BTC ETH and XRP to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement.
Satang’s offence was resulted from the instruction or the failure to give instruction of Mr. Poramin, Chief Executive Officer and authorized director, which is duly required to be performed. | 107/2022 | Civil Sanction | 25/08/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 6,000,000.00 Baht
- a suspension of digital assets and derivatives contracts related to digital assets trading between 25/08/2022 and 24/02/2023
- a bar from serving as a director or executive in a digital token offeror between 25/08/2022 and 24/08/2023
- a bar from serving as a director or executive in a digital asset business operator between 25/08/2022 and 24/08/2023
- a reimbursement of investigative expenses in an amount of 40,323.00 Baht | |
| 1089 | 04/08/2022 | Mr PAL NAMRAT formerly (Mr PRACHPONG NAMRAT) | | committing wrongful acts against an investor's assets and seeking benefits from an investor by virtue of his position. | 128/2022 | Administrative Orders | Revocation | Effective Date 04/08/2022 to 03/08/2032 |
| 1090 | 03/08/2022 | Renaissance Fund Management LTD | 106 / SEC Act | Renaissance Fund Management LTD failed to prepare the balance sheet and the profit and loss account for the first six months of the financial year 2019 by posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office.
| | Criminal Complaints | This case is expired. | |
| 1091 | 03/08/2022 | Vorakit Construction Company Limited | 33 / SEC Act | Vorakit Construction Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1092 | 03/08/2022 | Mr. Vorachai Phakdeesanaeha | 300 in conjunction with 33 / SEC Act | Mr. Worachai Pakdeesaneha, managing director who is responsible for the operation of Vorakit Construction Company Limited ("VKK") shall be liable for VKK's offering for sale of newly issued securities in the category of debentures without approval from the SEC office resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1093 | 12/07/2022 | Satang Corporation Co., Ltd | 46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB Act | Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai Zahorski, managing director. They agreed that LLC Fair Expo would perform as a market maker to provide liquidity to Satang Pro Exchange, and Satang would provide credit line to LLC Fair Expo for the performance of liquidity providing. During February 2019, LLC Fair Expo placed purchasing and selling orders of BTC ETH and XRP to match with each other which misled other persons regarding the purchase volume or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement.
Satang’s offence was resulted from the instruction or the failure to give instruction of Mr. Poramin, Chief Executive Officer and authorized director, which is duly required to be performed. | 107/2022 | Civil Sanction | 12/07/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 6,000,000.00 Baht
- a reimbursement of investigative expenses in an amount of 40,323.00 Baht | |
| 1094 | 08/07/2022 | Mr. SITTILARP SUBSAKON | 242 (1) / SEC Act (the fifth amendment) | Mr. Sittilarp Subsakon while being the director of Tipco Asphalt Public Company Limited (“TASCO”) knew or possessed an inside information material to negative changes in the price of TASCO’s share which was the fact that TASCO would wind down its crude oil procurement of Venezuela by the end of November 2020, as a result, the company’s asphalt refinery in Kemaman, Malaysia, where most of the refinery’s feedstock was sourced from Venezuela and produced half of the company’s asphalt supply, shut down. Mr, Sittilarp had accessed the information from the company director meeting on 9 September 2020 and later on 10 September 2020 Mr. Sittilarp sold his TASCO shares through Miss Panida Kerdtoob’s securities trading account to avoid loss before TASCO disclosed such information to the Stock Exchange of Thailand (SET) on 11 September 2020. | 111/2022 | Civil Sanction | 08/07/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 5,555,000.00 Baht
- a civil monetary penalty of 6,943,750.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 08/07/2022 and 07/03/2024
- a bar from serving as a director or executive in a securities company between 08/07/2022 and 07/03/2024
- a reimbursement of investigative expenses in an amount of 97,185.00 Baht | |
| 1095 | 23/06/2022 | K-TECH Construction Public Company Limited | 56 / SEC Act | K-TECH Construction Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2020, (2) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1096 | 23/06/2022 | Mr. Dorn Romakorn | 300 / SEC Act | Mr. Dorn Romakorn, Director responsible for the operation of K-TECH Construction Public Company Limited ("KTECH") failed to supervise KTECH to prepare and submit (1) the audited financial statements for the year 2020 and (2) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1097 | 23/06/2022 | Ms. Rachanee Tripipatkul | 300 / SEC Act | Ms. Rachanee Tripipatkul, Director responsible for the operation of K-TECH Construction Public Company Limited ("KTECH") failed to supervise KTECH to prepare and submit (1) the audited financial statements for the year 2020 and (2) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1098 | 23/06/2022 | Lt.Gen. Punluk Suvanadat | 300 / SEC Act | Lt.Gen. Punluk Suvanadat, Director responsible for the operation of K-TECH Construction Public Company Limited ("KTECH") failed to supervise KTECH to prepare and submit (1) the audited financial statements for the year 2020 and (2) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1099 | 23/06/2022 | Mr. Sitthikun Thiamprasert | 300 / SEC Act | Mr. Sitthikun Thiamprasert, Director responsible for the operation of K-TECH Construction Public Company Limited ("KTECH") failed to supervise KTECH to prepare and submit (1) the audited financial statements for the year 2020 and (2) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1100 | 23/06/2022 | Mr. Chatchon Karnasuta | 300 / SEC Act | Mr. Chatchon Karnasutat, Director responsible for the operation of K-TECH Construction Public Company Limited ("KTECH") failed to supervise KTECH to prepare and submit (1) the audited financial statements for the year 2020 and (2) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1101 | 02/06/2022 | Miss JARUWAN SRIWANICH | | | 90/2022 | Administrative Orders | Revocation | Effective Date 02/06/2022 to 23/07/2030 |
| 1102 | 02/06/2022 | Miss KIRADA SORN-UN | | | 89/2022 | Administrative Orders | Revocation | Effective Date 02/06/2022 to 01/12/2029 |
| 1103 | 25/05/2022 | Mr. Viboon Wadcharasurang | 242 (1) / SEC Act (the fifth amendment) | Mr. Viboon Wadcharasurang, while being chairman of Royal Ceramic Industry Public Company Limited (RCI), knew or possessed inside information about DCC making
a tender offer for all of RCI shares at the offering price of 4.00 Baht, which is higher than market price at that time. Subsequently, on 31 July to 20 August 2019, Mr. Viboon purchased RCI shares by using such inside information through securities trading accounts of Miss Waree Kaewjinda prior to the disclosure of such inside information to the public on 28 August 2019.
| 069/2022 | Civil Sanction | 25/05/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 391,670.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 25/05/2022 and 24/07/2023 | |
| 1104 | 25/05/2022 | Mrs. Waree Kaewjinda | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | During 31 July to 20 August 2019, Mrs. Waree Kaewjinda aided or abetted
Mr. Viboon Wadcharasurang, who knew or possessed the inside information about DCC make a tender offer for all of RCI shares at the offering price of 4.00 Baht, which is higher than market price at that time by allowing Mr. Viboon to purchased RCI shares by using inside information through his securities’ s trading account prior to the disclosure of such inside information to the public on 28 August 2019.
| 069/2022 | Civil Sanction | 25/05/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 25/05/2022 and 24/02/2023 | |
| 1105 | 19/05/2022 | Mr. Roongroj Saengsastra | 242 (1) / SEC Act (the fifth amendment) | Mr. Roongroj Saengsastra , while being Chief Executive Officer and Director of Royal Ceramic Industry Public Company Limited (RCI) and Chief Executive Officer and Chairman of The Board of Dynasty Ceramic Public Company Limited (DCC) , knew or possessed inside information about DCC making a tender offer for all of RCI shares at the offering price of 4.00 Baht, which is higher than market price at that time. Subsequently, on 10 May 2019 to 27 August 2019, Mr. Roongroj purchased RCI shares by using such inside information through securities trading accounts of Miss Chatarose Uttamayothin, Miss Supanee Thongplengsri, Mr.Nakarin Saengsastra and ex-housewife prior to the disclosure of such inside information to the public on 28 August 2019. | 069/2022 | Civil Sanction | 19/05/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 4,473,882.50 Baht
- a civil monetary penalty of 3,579,106.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 19/05/2022 and 18/01/2024
- a reimbursement of investigative expenses in an amount of 75,137.50 Baht | |
| 1106 | 19/05/2022 | Miss Chatarose Uttamayothin | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | During 10 May to 27 August 2019, Miss Chatarose Uttamayothin aided or abetted Mr. Roongroj Saengsastra, who knew or possessed the inside information about DCC make a tender offer for all of RCI shares at the offering price of 4.00 Baht, Which is higher than market price at that time by allowing Mr. Roongroj to purchased RCI shares by using inside information through her securities’ s trading account prior to the disclosure of such inside information to the public on 28 August 2019. | 069/2022 | Civil Sanction | 19/05/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 19/05/2022 and 18/06/2023
- a reimbursement of investigative expenses in an amount of 75,138.00 Baht | |
| 1107 | 19/05/2022 | Miss Supanee Thongplengsri | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | During 17 May to 27 August 2019, Miss Supanee Thongplengsri , aided or abetted Mr. Roongroj Saengsastra, who knew or possessed the inside information about DCC make a tender offer for all of RCI shares at the offering price of 4.00 Baht, which is higher than market price at that time by allowing Mr. Roongroj to purchased RCI shares by using inside information through her securities’ s trading account prior to the disclosure of such inside information to the public on 28 August 2019. | 069/2022 | Civil Sanction | 19/05/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 19/05/2022 and 18/06/2023
- a reimbursement of investigative expenses in an amount of 75,138.00 Baht | |
| 1108 | 19/05/2022 | Mr.Nakarin Saengsastra | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | During 14 May to 9 August 2019, Mr.Nakarin Saengsastra, aided or abetted
Mr. Roongroj Saengsastra, who knew or possessed the inside information about DCC make a tender offer for all of RCI shares at the offering price of 4.00 Baht, which is higher than market price at that time by allowing Mr. Roongroj to purchased RCI shares by using inside information through his securities’ s trading account prior to the disclosure of such inside information to the public on 28 August 2019.
| 069/2022 | Civil Sanction | 19/05/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 19/05/2022 and 18/06/2023
- a reimbursement of investigative expenses in an amount of 75,138.00 Baht | |
| 1109 | 10/05/2022 | Miss ATITAYA BUATHONG | | | 67/2022 | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 10/05/2022 to 09/05/2032 |
| 1110 | 10/05/2022 | Miss ORNUMA NAMJAIDEE | | | 64/2022 | Administrative Orders | Revocation | Effective Date 10/05/2022 to 09/05/2032 |
| 1111 | 10/05/2022 | Miss PALMTIDA CHIANGLIANG | | | 66/2022 | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 10/05/2022 to 09/07/2026 |
| 1112 | 05/05/2022 | Mr. Vorachai Phakdeesanaeha | 300 in conjunction with 33 / SEC Act | Mr. Worachai Pakdeesaneha, managing director who is responsible for the operation of Vorakit Construction Company Limited ("VKK") shall be liable for VKK's offering for sale of newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 71/2565 | |
| 1113 | 05/05/2022 | Vorakit Construction Company Limited | 33 / SEC Act | Vorakit Construction Company Limited offered for sale newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 70/2565 | |
| 1114 | 05/05/2022 | Mr. Nithiwat Maneesint | 94 / DAB Act | Mr. Nithiwat Maneesint, a Director of the digital asset listing committee of Bitkub Online Company Limited ("BO"), was responsible for the listing of digital assets to be traded in the digital asset exchange. His failure to perform the required duty of his position resulted in the offence committed by BO concerning the listing of Bitkub Coin (KUB) for trading in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. | | Criminal Fine | imposing a fine of 2,533,500.00 Baht according to 9/2565 | |
| 1115 | 05/05/2022 | Mr. Sugrit Phutaviriya | 94 / DAB Act | Mr. Sugrit Phutaviriya, a Director of the digital asset listing committee of Bitkub Online Company Limited ("BO"), was responsible for the listing of digital assets to be traded in the digital asset exchange. His failure to perform the required duty of his position resulted in the offence committed by BO concerning the listing of Bitkub Coin (KUB) for trading in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. | | Criminal Fine | imposing a fine of 2,533,500.00 Baht according to 8/2565 | |
| 1116 | 05/05/2022 | Mr. Piyapong Kodchana | 94 / DAB Act | Mr. Piyapong Kodchana, a Director of the digital asset listing committee of Bitkub Online Company Limited ("BO"), was responsible for the listing of digital assets to be traded in the digital asset exchange. His failure to perform the required duty of his position resulted in the offence committed by BO concerning the listing of Bitkub Coin (KUB) for trading in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. | | Criminal Fine | imposing a fine of 2,533,500.00 Baht according to 7/2565 | |
| 1117 | 05/05/2022 | Mr. Pongsakorn Sutantayawalee | 94 / DAB Act | Mr. Pongsakorn Sutantayawalee, a Director of the digital asset listing committee of Bitkub Online Company Limited ("BO"), was responsible for the listing of digital assets to be traded in the digital asset exchange. His failure to perform the required duty of his position resulted in the offence committed by BO concerning the listing of Bitkub Coin (KUB) for trading in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure | | Criminal Fine | imposing a fine of 2,533,500.00 Baht according to 6/2565 | |
| 1118 | 05/05/2022 | Mr. Atthakrit Chimplapibul | 94 / DAB Act | Mr. Atthakrit Chimplapibul, a Chairman of the digital asset listing committee of Bitkub Online Company Limited ("BO"), was responsible for the listing of digital assets to be traded in the digital asset exchange. His failure to perform the required duty of his position resulted in the offence committed by BO concerning the listing of Bitkub Coin (KUB) for trading in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. | | Criminal Fine | imposing a fine of 2,533,500.00 Baht according to 5/2565 | |
| 1119 | 28/04/2022 | Scan Global Public Company Limited | 56 / SEC Act | Scan Global Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2019 and (2) the annual report for the year 2019 (Form 56-2, 2019) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1120 | 28/04/2022 | Ms. Jurairut Bonaitern | 300 / SEC Act | Ms. Jurairut Bonaitern, Director responsible for the operation of Scan Global Public Company Limited ("SCAN") failed to supervise SCAN to prepare and submit (1) the audited financial statements for the year 2019 and (2) the annual report for the year 2019 (Form 56-2, 2019) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1121 | 28/04/2022 | Mr. Rapeepat Katekawee | 300 / SEC Act | Mr. Rapeepat Katekawee, Director responsible for the operation of Scan Global Public Company Limited ("SCAN") failed to supervise SCAN to prepare and submit (1) the audited financial statements for the year 2019 and (2) the annual report for the year 2019 (Form 56-2, 2019) to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1122 | 20/04/2022 | Mr. Kraisorn Chansiri | 242 (1) / SEC Act (the fifth amendment) | Mr. Kraisorn Chansiri, while being chairman of Thai Union Group Public Company Limited (TU), knew or possessed inside information about TU’s Q3/2017 performance. Subsequently, on 18 October to 3 November 2017, Mr. Kraisorn using Mr. Disaphol Chansiri’s securities trading account to purchased TU shares prior to the disclosure of such inside information to the public on 6 November 2017 | 046/2022 | Civil Sanction | 20/04/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,500,000.00 Baht
- a civil monetary penalty of 1,875,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 20/04/2022 and 19/06/2023
- a reimbursement of investigative expenses in an amount of 51,809.00 Baht | |
| 1123 | 20/04/2022 | Mr. Disaphol Chansiri | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | During 18 October to 3 November 2017, Mr. Disaphol Chansiri aided or abetted Mr. Kraisorn Chansiri, who knew or possessed the inside information about Thai Union Group Public Company Limited (TU)’s Q3/2017 performance, by allowing Mr. Kraisorn to use his securities’ s trading account to purchased TU shares prior to the disclosure of such inside information to the public on 6 November 2017 | 046/2022 | Civil Sanction | 20/04/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 20/04/2022 and 19/01/2023
- a reimbursement of investigative expenses in an amount of 51,809.00 Baht | |
| 1124 | 20/04/2022 | Mr. Chan Hon Kit | 242 (1), 242 (2) and 242 (2) / SEC Act (the fifth amendment) | Mr. Chan Hon Kit, knew or possessed inside information about Thai Union Group Public Company Limited (TU)’s Q3/2017 performance. Subsequently, on 16 October to 3 November 2017, he purchased TU shares prior to the disclosure of such inside information to the public on 6 November 2017. Furthermore, he also disclosed such inside information to Mr. Chan Tin Shu and Mrs. Choy Yuen Chu, while he knew or ought reasonably to know that they may exploit such information for trading TU securities. | 046/2022 | Civil Sanction | 20/04/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 630,000.00 Baht
- a civil monetary penalty of 1,724,500.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 20/04/2022 and 19/04/2023
- a reimbursement of investigative expenses in an amount of 51,809.00 Baht | |
| 1125 | 20/04/2022 | Mr. Chan Tin Shu | 242 (1) / SEC Act (the fifth amendment) | Mr. Chan Tin Shu knew or possessed inside information about Thai Union Group Public Company Limited (TU)’s Q3/2017 performance, disclosed by Mr. Chan Hon Kit. Subsequently, on 9 October to 3 November 2017, he purchased TU shares prior to the disclosure of such inside information to the public on 6 November 2017. | 046/2022 | Civil Sanction | 20/04/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 340,000.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 20/04/2022 and 19/04/2023
- a reimbursement of investigative expenses in an amount of 51,809.00 Baht | |
| 1126 | 20/04/2022 | Mrs. Choy Yuen Chu | 242 (1) / SEC Act (the fifth amendment) | Mrs. Choy Yuen Chu knew or possessed inside information about TU’s Q3/2017 performance, disclosed by Mr. Chan Hon Kit. Subsequently, on 9 October to 3 November 2017, she purchased TU shares prior to the disclosure of such inside information to the public on 6 November 2017. | 046/2022 | Civil Sanction | 20/04/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 255,000.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 20/04/2022 and 19/04/2023
- a reimbursement of investigative expenses in an amount of 51,809.00 Baht | |
| 1127 | 20/04/2022 | Mr. Chuan Tangchansiri | 242 (1), 242 (2) and 242 (2) / SEC Act (the fifth amendment) | Mr. Chuan Tangchansiri, while being a director of Thai Union Group Public Company Limited (TU), knew or possessed inside information about TU’s Q3/2017 performance. Subsequently, on 9 October to 1 November 2017, Mr. Chuan using Mrs. Chen Yu-Chen and his uncle’s securities trading account to purchased TU shares prior to the disclosure of such inside information to the public on 6 November 2017. Furthermore, he also disclosed such inside information to Mr. Chan Hon Hung, while he knew or ought reasonably to know that Mr. Chan Hon Hung may exploit such information for trading TU securities. | 046/2022 | Civil Sanction | 20/04/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 150,000.00 Baht
- a civil monetary penalty of 1,500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 20/04/2022 and 19/06/2023
- a reimbursement of investigative expenses in an amount of 51,809.00 Baht | |
| 1128 | 20/04/2022 | Mrs. Chen Yu-Chen | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | During 9 October to 1 November 2017, Mrs. Chen Yu-Chen aided or abetted Mr. Chuan Tangchansiri, who knew or possessed the inside information about Thai Union Group Public Company Limited (TU)’s Q3/2017 performance, by allowing Mr. Chuan to use her securities’ s trading account to purchased TU shares prior to the disclosure of such inside information to the public on 6 November 2017 | 046/2022 | Civil Sanction | 20/04/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 20/04/2022 and 19/01/2023
- a reimbursement of investigative expenses in an amount of 51,809.00 Baht | |
| 1129 | 20/04/2022 | Mr. Chan Hon Hung | 242 (1) and 242 (2) / SEC Act (the fifth amendment) | Mr. Chan Hon Hung, knew or possessed inside information about TU’s Q3/2017 performance, disclosed by Mr. Chuan Tangchansiri. Subsequently, on 1 November 2017, he purchased TU shares prior to the disclosure of such inside information to the public on 6 November 2017. Furthermore, he also disclosed such inside information to Mrs. Hui Pui Wah, while he knew or ought reasonably to know that Mrs. Hui Pui Wah may exploit such information for trading TU securities. | 046/2022 | Civil Sanction | 20/04/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 750,000.00 Baht
- a civil monetary penalty of 1,362,500.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 20/04/2022 and 19/04/2023
- a reimbursement of investigative expenses in an amount of 51,809.00 Baht | |
| 1130 | 20/04/2022 | Mrs. Hui Pui Wah | 242 (1) / SEC Act (the fifth amendment) | Mrs. Hui Pui Wah knew or possessed inside information about Thai Union Group Public Company Limited (TU)’s Q3/2017 performance, disclosed by Mr. Chan Hon Hung. Subsequently, on 1 to 3 November 2017, she purchased TU shares prior to the disclosure of such inside information to the public on 6 November 2017. | 046/2022 | Civil Sanction | 20/04/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 310,000.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 20/04/2022 and 19/04/2023
- a reimbursement of investigative expenses in an amount of 51,809.00 Baht | |
| 1131 | 11/04/2022 | Energy Earth Public Company Limited | 56 / SEC Act | Energy Earth Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2019 (2) the annual report for the year 2019 (Form 56-2, 2019) (3) the audited financial statements for the year 2020 and (4) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1132 | 11/04/2022 | Mr. Vichet Thientong | 300 / SEC Act | Mr. Vichet Thientong, Director responsible for the operation of Energy Earth Public Company Limited ("EARTH") failed to supervise EARTH to prepare and submit (1) the audited financial statements for the year 2019 (2) the annual report for the year 2019 (Form 56-2, 2019) (3) the audited financial statements for the year 2020 and (4) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1133 | 11/04/2022 | Col. Khanayos Suksanguan | 300 / SEC Act | Col. Khanayos Suksanguan, Director responsible for the operation of Energy Earth Public Company Limited ("EARTH") failed to supervise EARTH to prepare and submit (1) the audited financial statements for the year 2019 (2) the annual report for the year 2019 (Form 56-2, 2019) (3) the audited financial statements for the year 2020 and (4) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1134 | 11/04/2022 | Mr. Partheep Chinsangtip | 300 / SEC Act | Mr. Partheep Chinsangtip, Director responsible for the operation of Energy Earth Public Company Limited ("EARTH") failed to supervise EARTH to prepare and submit (1) the audited financial statements for the year 2019 (2) the annual report for the year 2019 (Form 56-2, 2019) (3) the audited financial statements for the year 2020 and (4) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1135 | 11/04/2022 | Mr. Yosapong Pothasuthon | 300 / SEC Act | Mr. Yosapong Pothasuthon, Director responsible for the operation of Energy Earth Public Company Limited ("EARTH") failed to supervise EARTH to prepare and submit (1) the audited financial statements for the year 2019 and (2) the annual report for the year 2019 (Form 56-2, 2019) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1136 | 11/04/2022 | Mr. Attawat Rodphaet | 300 / SEC Act | Mr. Attawat Rodphaet, Director responsible for the operation of Energy Earth Public Company Limited ("EARTH") failed to supervise EARTH to prepare and submit (1) the audited financial statements for the year 2019 (2) the annual report for the year 2019 (Form 56-2, 2019) (3) the audited financial statements for the year 2020 and (4) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | In case of the audited financial statements for the year 2020, the Criminal Court sentenced the accused to pay a fine of 10,000 Baht and a further fine of 500 Baht each day starting from June 1, 2021 until December 13, 2021. Since the accused pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 10,000 and a further fine of Baht 250 Baht starting from June 1, 2021 until December 13, 2021. In case of the annual report for the year 2020, the Criminal Court sentenced the accused to pay a fine of 10,000 Baht and a further fine of 500 Baht each day starting from June 1, 2021 until December 13, 2021. Since the accused pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 10,000 and a further fine of Baht 250 Baht starting from June 1, 2021 until December 13, 2021. | |
| 1137 | 08/04/2022 | Mr. Kampanat Thepsuwan | 26 and Section 86 of Penal Code / DAB Act | From the beginning of August 2020 to the middle of March 2021, Mr. Kampanat Thepsuwan and Mr. Tanwa Arpornthip, who were volunteers in the Binance Angels program, persuaded Thai people and Thai investors via Facebook Page “Binance Thai Community” to use a digital asset exchange platform providing on www.binance.com (“Binance”). Additionally, they assisted and facilitated Binance in public relations and some parts of customer services such as giving Binance’s customers some advice and resolving their problems. The act mentioned above was considered as supporter of Binance in committing unlicensed digital asset exchange offense. | | Criminal Complaints | On March 7, 2024, the Criminal Court ruled against the accused for violating Section 3, 26 and 66 of the Emergency Decree on Digital Asset Businesses B.E. 2561. The court sentenced the accused to 2 year imprisonment and a fine of 200,000 Baht. Since the accused pleaded guilty, the Court sentenced the accused to 1 year imprisonment and a fine of 100,000 Baht. However, the imprisonment is suspended for a term of 2 years. | |
| 1138 | 08/04/2022 | Mr. Tanwa Arpornthip | 26 and Section 86 of Penal Code / DAB Act | From the beginning of August 2020 to the middle of March 2021, Mr. Kampanat Thepsuwan and Mr. Tanwa Arpornthip, who were volunteers in the Binance Angels program, persuaded Thai people and Thai investors via Facebook Page “Binance Thai Community” to use a digital asset exchange platform providing on www.binance.com (“Binance”). Additionally, they assisted and facilitated Binance in public relations and some parts of customer services such as giving Binance’s customers some advice and resolving their problems. The act mentioned above was considered as supporter of Binance in committing unlicensed digital asset exchange offense. | | Criminal Complaints | On March 7, 2024, the Criminal Court ruled against the accused for violating Section 3, 26 and 66 of the Emergency Decree on Digital Asset Businesses B.E. 2561. The court sentenced the accused to 2 year imprisonment and a fine of 200,000 Baht. Since the accused pleaded guilty, the Court sentenced the accused to 1 year imprisonment and a fine of 100,000 Baht. However, the imprisonment is suspended for a term of 2 years. | |
| 1139 | 04/04/2022 | Thai Canal Rich Company Limited | 34 / SEC Act | Thai Canal Rich Company Limited offered for sale of newly issued shares in the form of general or to the public without approval from the SEC office. | | Criminal Complaints | | |
| 1140 | 04/04/2022 | Mr. Somboon Numtipjuntacharern | 300 in conjunction with 34 / SEC Act | Mr. Somboon Numtipjuntacharern, authorized director who is responsible for the operation of Thai Canal Rich Company Limited, order or act resulting in Thai Canal Rich Company Limited’s shares offering in the form of general or to the public without approval from the SEC office. | | Criminal Complaints | | |
| 1141 | 24/03/2022 | The person using alias "Modkanhoon" and the person disseminated any statement vi | 240 (the fifth amendment) / SEC Act | Between September 11, 2019 and September 13, 2019 and between January 18, 2021 and March 22, 2021 the person using alias "Modkanhoon" including the person disseminating any statement via "Kanhoon" and "Tradehoonshow" Line Openchat group disseminated the false or materially misleading about financial condition, business operation, the price of securities statement related to 12 listed companies that are AEC Securities Public Company Limited ("AEC"), B.Grim Power Public Company Limited ("BGRIM"), CMO Public Company Limited ("CMO"), Floyd Public Company Limited ("FLOYD"), Gulf Energy Development Public Company Limited ("GULF"), Kiatnakin Phatra Bank Public Company Limited ("KKPS"), Kumwell Corporation Public Company Limited ("KUMWEL"), Pan Asia Footwear Public Company Limited ("PAF"), Phatra Leasing Public Company Limited ("PL"), Siameast Solutions Public Company Limited ("SE"), Thai Plastic Industrial (1994) Public Company Limited ("TPLAS") and Yggdrazil Group Public Company Limited ("YGG"), for instance, default in payment, tender offer, joint venture, backdoor listing and entire share sale in such a manner that is likely to have an effect on the price of securities or the decision making on securities investment. | 40/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1142 | 23/03/2022 | Mr KITTIPHAT KITWETCHAROEN | | | 38/2022 | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 23/03/2022 to 22/05/2026 |
| 1143 | 17/03/2022 | Thai Unique Coil Center Public Company Limited | 56 / SEC Act | Thai Unique Coil Center Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2019 and (2) the annual report for the year 2019 (Form 56-2, 2019) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1144 | 17/03/2022 | Mrs. Vacharee Ngamkaiwan | 300 / SEC Act | Mrs. Vacharee Ngamkaiwan, Director responsible for the operation of Thai Unique Coil Center Public Company Limited (“TUCC”) failed to supervise TUCC to prepare and submit (1) the audited financial statements for the year 2019 and (2) the annual report for the year 2019 (Form 56-2, 2019) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1145 | 17/03/2022 | Miss Nittaya Yongpitakwattana | 300 / SEC Act | Miss Nittaya Yongpitakwattana, Director responsible for the operation of Thai Unique Coil Center Public Company Limited (“TUCC”) failed to supervise TUCC to prepare and submit (1) the audited financial statements for the year 2019 and (2) the annual report for the year 2019 (Form 56-2, 2019) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1146 | 17/03/2022 | Miss Suttirat Sewee | 300 / SEC Act | Miss Suttirat Sewee, Director responsible for the operation of Thai Unique Coil Center Public Company Limited (“TUCC”) failed to supervise TUCC to prepare and submit (1) the audited financial statements for the year 2019 and (2) the annual report for the year 2019 (Form 56-2, 2019) to the SEC within the specified period. | | Criminal Complaints | In case of the audited financial statements for the year 2019, the Criminal Court sentenced the accused to pay a fine of Baht 40,000 and a further fine of Baht 200 each day for 859 days starting from June 1,2022 until October 7,2022 totally 171,800 Baht. The amount of total fine for the accused is 211,800 Baht. Since the accused pled guilty, the Court reduced the fines by half, resulting in a total fine of Baht 105,900 and a further fine of Baht 100 Baht each day starting from October 8, 2022 until the accused filed the financial statement to SEC office. (2) In case of the annual report for the year 2019 (Form 56-2) , the Criminal Court sentenced the accused to pay a fine of Baht 40,000 and a further fine of Baht 200 each day for 859 days starting from June 1,2022 until October 7,2022 totally 171,800 Baht. The amount of total fine for the accused is 211,800 Baht. Since the accused pled guilty, the Court reduced the fines by half, resulting in a total fine of Baht 105,900 and a further fine of Baht 100 Baht each day starting from October 8, 2022 until the accused filed the annual report to SEC office. | |
| 1147 | 11/03/2022 | Miss Nicharadee Sukjaroenkraisri | 307 311 312 and 313 in conjunction with Section 83 of Penal Code / SEC Act | During 2018-2019, Miss Nicharadee Sukjaroenkraisri and Miss Pimwalun Suwattikul, ex-directors and ex-executives of Asia Capital Group Public Company Limited ("ACAP"), with the assistance or facilitation of Alright House Company Limited ("Alright Co."), Mrs. Kingkarn Smitananda who is an authorized director of Alright Co., Shia Intemational Company Limited ("Shia Co.") and Mr. Tarayu Luejiengkam who is an authorized director of Shia Co., proceeded to make a contract to hire Alright Co. for constructing retaining walls and sewers and Shia Co. for supervising the construction. Later, it was found that there was no actual construction under the contract; however, the construction cost was paid with a total amount of 27.5 million baht. In addition, ACAP recorded the accounting documents with the documents related to such operations. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to ACAP as well as kept incorrect or inaccurate accounts to deceitfully deprive ACAP of their rightful benefit. | 036/2022 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. | |
| 1148 | 11/03/2022 | Miss Pimwalun Suwattikul | 307 311 312 and 313 in conjunction with Section 83 of Penal Code / SEC Act | During 2018-2019, Miss Nicharadee Sukjaroenkraisri and Miss Pimwalun Suwattikul, ex-directors and ex-executives of Asia Capital Group Public Company Limited ("ACAP"), with the assistance or facilitation of Alright House Company Limited ("Alright Co."), Mrs. Kingkarn Smitananda who is an authorized director of Alright Co., Shia Intemational Company Limited ("Shia Co.") and Mr. Tarayu Luejiengkam who is an authorized director of Shia Co., proceeded to make a contract to hire Alright Co. for constructing retaining walls and sewers and Shia Co. for supervising the construction. Later, it was found that there was no actual construction under the contract; however, the construction cost was paid with a total amount of 27.5 million baht. In addition, ACAP recorded the accounting documents with the documents related to such operations. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to ACAP as well as kept incorrect or inaccurate accounts to deceitfully deprive ACAP of their rightful benefit. | 036/2022 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. | |
| 1149 | 11/03/2022 | Alright House Company Limited | 307 and 311 in conjunction with 315 and section 86 of the Penal Code / SEC Act | During 2018-2019, Miss Nicharadee Sukjaroenkraisri and Miss Pimwalun Suwattikul, ex-directors and ex-executives of Asia Capital Group Public Company Limited ("ACAP"), with the assistance or facilitation of Alright House Company Limited ("Alright Co."), Mrs. Kingkarn Smitananda who is an authorized director of Alright Co., Shia Intemational Company Limited ("Shia Co.") and Mr. Tarayu Luejiengkam who is an authorized director of Shia Co., proceeded to make a contract to hire Alright Co. for constructing retaining walls and sewers and Shia Co. for supervising the construction. Later, it was found that there was no actual construction under the contract; however, the construction cost was paid with a total amount of 27.5 million baht. In addition, ACAP recorded the accounting documents with the documents related to such operations. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to ACAP as well as kept incorrect or inaccurate accounts to deceitfully deprive ACAP of their rightful benefit. | 036/2022 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. | |
| 1150 | 11/03/2022 | Mrs. Kingkarn Smitananda | 307 and 311 in conjunction with 315 and section 86 of the Penal Code / SEC Act | During 2018-2019, Miss Nicharadee Sukjaroenkraisri and Miss Pimwalun Suwattikul, ex-directors and ex-executives of Asia Capital Group Public Company Limited ("ACAP"), with the assistance or facilitation of Alright House Company Limited ("Alright Co."), Mrs. Kingkarn Smitananda who is an authorized director of Alright Co., Shia Intemational Company Limited ("Shia Co.") and Mr. Tarayu Luejiengkam who is an authorized director of Shia Co., proceeded to make a contract to hire Alright Co. for constructing retaining walls and sewers and Shia Co. for supervising the construction. Later, it was found that there was no actual construction under the contract; however, the construction cost was paid with a total amount of 27.5 million baht. In addition, ACAP recorded the accounting documents with the documents related to such operations. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to ACAP as well as kept incorrect or inaccurate accounts to deceitfully deprive ACAP of their rightful benefit. | 036/2022 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. | |
| 1151 | 11/03/2022 | Shia Intemational Company Limited | 307 and 311 in conjunction with 315 and section 86 of the Penal Code / SEC Act | During 2018-2019, Miss Nicharadee Sukjaroenkraisri and Miss Pimwalun Suwattikul, ex-directors and ex-executives of Asia Capital Group Public Company Limited ("ACAP"), with the assistance or facilitation of Alright House Company Limited ("Alright Co."), Mrs. Kingkarn Smitananda who is an authorized director of Alright Co., Shia Intemational Company Limited ("Shia Co.") and Mr. Tarayu Luejiengkam who is an authorized director of Shia Co., proceeded to make a contract to hire Alright Co. for constructing retaining walls and sewers and Shia Co. for supervising the construction. Later, it was found that there was no actual construction under the contract; however, the construction cost was paid with a total amount of 27.5 million baht. In addition, ACAP recorded the accounting documents with the documents related to such operations. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to ACAP as well as kept incorrect or inaccurate accounts to deceitfully deprive ACAP of their rightful benefit. | 036/2022 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. | |
| 1152 | 11/03/2022 | Mr. Tarayu Luejiengkam | 307 and 311 in conjunction with 315 and section 86 of the Penal Code / SEC Act | During 2018-2019, Miss Nicharadee Sukjaroenkraisri and Miss Pimwalun Suwattikul, ex-directors and ex-executives of Asia Capital Group Public Company Limited ("ACAP"), with the assistance or facilitation of Alright House Company Limited ("Alright Co."), Mrs. Kingkarn Smitananda who is an authorized director of Alright Co., Shia Intemational Company Limited ("Shia Co.") and Mr. Tarayu Luejiengkam who is an authorized director of Shia Co., proceeded to make a contract to hire Alright Co. for constructing retaining walls and sewers and Shia Co. for supervising the construction. Later, it was found that there was no actual construction under the contract; however, the construction cost was paid with a total amount of 27.5 million baht. In addition, ACAP recorded the accounting documents with the documents related to such operations. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to ACAP as well as kept incorrect or inaccurate accounts to deceitfully deprive ACAP of their rightful benefit. | 036/2022 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. | |
| 1153 | 07/03/2022 | SMC Power Public Company Limited | 56 / SEC Act | SMC Power Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2016, (2) the annual report for the year 2016 (Form 56-2, 2016), (3) the audited financial statements for the year 2017, (4) the annual report for the year 2017 (Form 56-2, 2017), (5) the audited financial statements for the year 2018 (6) the annual report for the year 2018 (Form 56-2, 2018) (7) the audited financial statements for the year 2019 (8) the annual report for the year 2019 (Form 56-2, 2019) (9) the audited financial statements for the year 2020 and (10) the annual report for the year 2020 (Form 56-2, 2020)to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1154 | 07/03/2022 | Ms. Jurairut Bonaitern | 300 / SEC Act | Ms. Jurairut Bonaitern, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2016, (2) the annual report for the year 2016 (Form 56-2, 2016), (3) the audited financial statements for the year 2017, (4) the annual report for the year 2017 (Form 56-2, 2017), (5) the audited financial statements for the year 2018 (6) the annual report for the year 2018 (Form 56-2, 2018) (7) the audited financial statements for the year 2019 and (8) the annual report for the year 2019 (Form 56-2, 2019) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1155 | 07/03/2022 | Mr. Rapeepat Katekawee | 300 / SEC Act | Mr. Rapeepat Katekawee, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2018 (2) the annual report for the year 2018 (Form 56-2, 2018) (3) the audited financial statements for the year 2019 and (4) the annual report for the year 2019 (Form 56-2, 2019) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1156 | 07/03/2022 | Mr. Songrit Butrngam | 300 / SEC Act | Mr. Songrit Butrngam, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2020 and (2) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1157 | 07/03/2022 | Mr. Paiwan Butrsa | 300 / SEC Act | Mr. Paiwan Butrsa, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2020 and (2) the annual report for the year 2020 (Form 56-2, 2020) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1158 | 07/03/2022 | Miss Tanyatorn Tantitham | 241 / SEC Act (before the fifth amendment) | Miss Tanyatorn Tantitham knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among MODERN, the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) through the assignment of the Securities Purchaser to be involved in the transaction. Subsequently, on 22 July to 11 August 2015, Miss Tanyatorn purchased TPAC shares in her securities trading account in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 07/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 12,430.00 Baht
- a civil monetary penalty of 500,000.00 Baht | |
| 1159 | 07/03/2022 | Mr. Alexandru Erhan | 241 / SEC Act (before the fifth amendment) | Mr. Alexandru Erhan knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among MODERN, the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) through the assignment of the Securities Purchaser to be involved in the transaction. Subsequently, on 25 August to 1 September 2015, Mr. Alexandru purchased TPAC shares and TPAC warrants (TPAC-W1) in his securities trading account in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 07/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 36,242.00 Baht
- a civil monetary penalty of 500,000.00 Baht | |
| 1160 | 07/03/2022 | Mr. Anish Goyal | 241 / SEC Act (before the fifth amendment) | Mr. Anish Goyal knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among MODERN, the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) through the assignment of the Securities Purchaser to be involved in the transaction. Subsequently, on 27 July to 5 October 2015, Mr. Anish purchased TPAC shares in his securities trading account in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 07/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 80,000.00 Baht
- a civil monetary penalty of 500,000.00 Baht | |
| 1161 | 03/03/2022 | Mr. Thaksa Busayapoka | 241 and 241 / SEC Act (before the fifth amendment) | Mr. Thaksa Busayapoka while being a chief executive director of Modernform Group Public Company Limited (MODERN), knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among MODERN, the major shareholder of TPAC, (Securities Seller), and the Lohia family group (Securities Purchasers). Subsequently, on 23-31 July 2015, Mr. Thaksa puschased TPAC shares in Mr. Thanat Busayapoka’s securities trading account in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. Furthermore, Mr. Thaksa also disclosed such inside information to Mr. Thanat, while he knew or ought reasonably to know that Mr. Thanat may exploit such information for trading TPAC securities. | 30/2022 | Civil Sanction | 03/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 180,000.00 Baht
- a civil monetary penalty of 1,000,000.00 Baht | |
| 1162 | 03/03/2022 | Mr. Thanat Busayapoka | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During 23 - 31 July 2015, Mr. Thanat Busayapoka aided or abetted Mr. Thaksa Busayapoka, who knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among Modernform Group Public Company Limited (MODERN) ,the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) , by allowing Mr. Thaksa to use his securities trading account to purchased TPAC shares in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 03/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1163 | 03/03/2022 | Mr. Kavivud Nerngchamnong | 241 / SEC Act (before the fifth amendment) | Mr. Kavivud Nerngchamnong while being a director of Modernform Group Public Company Limited (MODERN), knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among MODERN, the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers). Subsequently, on 27 July to 8 October 2015, Mr. Kavivud puschased TPAC shares in Ms. Anootree Nerngchamnong and Ms. Anootree Nerngchamnong’s securities trading account in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 03/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 2,933,970.00 Baht
- a civil monetary penalty of 3,667,462.50 Baht | |
| 1164 | 03/03/2022 | Ms. Anootree Nerngchamnong | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During 22 July to 8 October 2015, Miss Anootree Nerngchamnong aided or abetted Mr. Kavivud Nerngchamnong, who knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among Modernform Group Public Company Limited (MODERN) ,the major shareholder of TPAC, (Securities Seller) and the Lohia family group (Securities Purchasers) , by allowing Mr. Kavivud to use her securities’s trading account to purchased TPAC shares in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 03/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1165 | 03/03/2022 | Ms. Peerakarn Nerngchamnong | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During 25 August to 10 September 2015, Ms. Peerakarn Nerngchamnong aided or abetted Mr. Kavivud Nerngchamnong, who knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among Modernform Group Public Company Limited ,the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers), by allowing Mr. Kavivud to use her securities’s trading account to purchased TPAC shares in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 03/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1166 | 03/03/2022 | Mr. Ashok Jain | 241 / SEC Act (before the fifth amendment) | Mr. Ashok Jain knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among MODERN, the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) through the assignment of the Securities Purchaser to be involved in the transaction. Subsequently, on 22 July to 18 August 2015, Mr. Ashok purchased TPAC shares in his securities trading account in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 03/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 69,940.00 Baht
- a civil monetary penalty of 500,000.00 Baht | |
| 1167 | 02/03/2022 | Mr. Ramesh Kumar Narsinghpura | 241 / SEC Act (before the fifth amendment) | Mr. Ramesh Kumar Narsinghpura knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among MODERN, the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) by through the assignment of the involving in Securities Purchaser transaction. Subsequently, on 7 August to 8 October 2015, Mr. Ramesh purchased TPAC shares in his securities trading account in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 02/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 132,950.00 Baht
- a civil monetary penalty of 500,000.00 Baht | |
| 1168 | 01/03/2022 | Mr. Jajjai Dhammarungruang | 241 / SEC Act (before the fifth amendment) | Mr. Jajjai Dhammarungruang while being a vice chairman and executive director of Modernform Group Public Company Limited (MODERN), knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among Modern ,the major shareholder of TPAC, (Securities Seller) and the Lohia family group (Securities Purchasers). Subsequently, on 28 July to 1 October 2015, Mr. Jajjai puschased TPAC shares in Ms. Benjamas Dhammarungruang’s securities trading account in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 01/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 363,700.00 Baht
- a civil monetary penalty of 500,000.00 Baht | |
| 1169 | 01/03/2022 | Ms. Benjamas Dhammarungruang | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During 28 July to 1 October 2015, Ms. Benjamas aided or abetted Mr. Jajjai Dhammarungruang, who knew or possesed the inside information about the sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among Modernform Group Public Company Limited (MODERN) , the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) , by allowing Mr. Jajjai to use her securities’s trading account to purchased TPAC shares in such a way as to take advantage of other persons before TPAC disclosed the inside information to the public on 12 October 2015. | 30/2022 | Civil Sanction | 01/03/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1170 | 28/02/2022 | MRS. JHITRAPORN TECHACHARN | 300 in conjunction with 33 / SEC Act | Mrs. Jhitraporn Techacharn, authorized director who is responsible for the operation of Eastern Energy Plus Company Limited (“EEP”) shall be liable for EEP’s offering for sale of newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 46/2565 | |
| 1171 | 28/02/2022 | MR. KANAPOD NITSIRIPHAT | 300 in conjunction with 33 / SEC Act | Mr. Kanapod Nitsiriphat, authorized director who is responsible for the operation of Eastern Energy Plus Company Limited (“EEP”) shall be liable for EEP’s offering for sale of newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 45/2565 | |
| 1172 | 28/02/2022 | EASTERN ENERGY PLUS COMPANY LIMITED | 33 / SEC Act | Eastern Energy Plus Company Limited (“EEP”) offered for sale newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 44/2565 | |
| 1173 | 28/02/2022 | Mr. Chatchon Karnasuta | 300 / SEC Act | Mr. Chatchon Karnasuta , Chief Executive Officer (Acting) responsible for the operation of K-TECH Construction Public Company Limited (“K-TECH”) failed to supervise K-TECH to prepare and submit (1) the financial statements for the year 2019, (2) the annual registration statement for the year 2019 (Form 56-1) (3) the annual report for the year 2019 (Form 56-2), (4) the financial report for the first half of the fiscal year 2020 and (Interim Management Discussion and Analysis to the SEC within the specified period | | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, attempt to arrest the offender failed and the statute of limitations ran out. | |
| 1174 | 15/02/2022 | Rich Asia Corporation Public Company Limited | 56(2)(3)(4) / SEC Act | Rich Asia Corporation Public Company Limited (RICH) failed to prepare and submit (1) a financial statement for the year 2018 (2) an interim management discussion and analysis for the year 2018 (3) an annual updated information statement for the year 2018 (Form 56-1) (4) an annual updated information statement for the year 2018 (Form 56-1) and (5) the financial report for a financial report for the first half of the fiscal year 2019 together with an interim management discussion and analysis to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1175 | 15/02/2022 | Barter Smart Company Limited | 17 / DAB Act | During September-October 2018, Barter Smart Company Limited ("Barter Smart") offered BSmart coin, which was determined as an investment token due to the coin's character that gives dividend to coin holders, without an approval from the SEC Office in offering the newly issued digital token to the public via the Facebook page named BarterSmart and at the seminar held at the Tara Grand Hotel, Pathum Thani. In this regard, Major Thanapong Janthong, who is an authorized director of Barter Smart and is responsible for the operation of the company, was the person who disseminated information about the BSmart coin and induced the public to buy such coin. Accordingly, he shall also be liable to the penalty as provided for Barter Smart's offence. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1176 | 15/02/2022 | Major Thanapong Janthong | 94 / DAB Act | During September-October 2018, Barter Smart Company Limited ("Barter Smart") offered BSmart coin, which was determined as an investment token due to the coin's character that gives dividend to coin holders, without an approval from the SEC Office in offering the newly issued digital token to the public via the Facebook page named BarterSmart and at the seminar held at the Tara Grand Hotel, Pathum Thani. In this regard, Major Thanapong Janthong, who is an authorized director of Barter Smart and is responsible for the operation of the company, was the person who disseminated information about the BSmart coin and induced the public to buy such coin. Accordingly, he shall also be liable to the penalty as provided for Barter Smart's offence. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1177 | 07/01/2022 | Miss Duangkamol Chotana | 281/2 paragraph 2 in conjunction with 89/7 312 and section 83 of the Penal Code / SEC Act | During the year 2015 to 2017, 4 directors and executives of Nation Multimedia Group Public Company Limited ("NMG"), namely (1) Miss Duangkamol Chotana (2) Miss Nutvara Seangwarin (3) Mr.Supoth Piansiri (4) Mr.Sirichai Chananam, jointly failed to perform their duties with dishonest intent causing damage to NMG and jointly committed or permitted another person to make false entries or fail to enter any material statement in the accounts or documents of NMG or related to NMG to deceive any person. In this regard, they managed to record non-existent income in the NMG's accounts and amended the regulations related to advertisement selling in order to facilitate the sales department to submit fake Advertising Order Entries in a NMG's system. Then, the accounting department recorded such fake entries as income and accrued income in the total of 691 million baht. | 4/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1178 | 07/01/2022 | Miss Nutvara Seangwarin | 281/2 paragraph 2 in conjunction with 89/7 312 and section 83 of the Penal Code / SEC Act | During the year 2015 to 2017, 4 directors and executives of Nation Multimedia Group Public Company Limited ("NMG"), namely (1) Miss Duangkamol Chotana (2) Miss Nutvara Seangwarin (3) Mr.Supoth Piansiri (4) Mr.Sirichai Chananam, jointly failed to perform their duties with dishonest intent causing damage to NMG and jointly committed or permitted another person to make false entries or fail to enter any material statement in the accounts or documents of NMG or related to NMG to deceive any person. In this regard, they managed to record non-existent income in the NMG's accounts and amended the regulations related to advertisement selling in order to facilitate the sales department to submit fake Advertising Order Entries in a NMG's system. Then, the accounting department recorded such fake entries as income and accrued income in the total of 691 million baht. | 4/2022 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. The case was deemed final. | |
| 1179 | 07/01/2022 | Mr.Supoth Piansiri | 281/2 paragraph 2 in conjunction with 89/7 312 and section 83 of the Penal Code / SEC Act | During the year 2015 to 2017, 4 directors and executives of Nation Multimedia Group Public Company Limited ("NMG"), namely (1) Miss Duangkamol Chotana (2) Miss Nutvara Seangwarin (3) Mr.Supoth Piansiri (4) Mr.Sirichai Chananam, jointly failed to perform their duties with dishonest intent causing damage to NMG and jointly committed or permitted another person to make false entries or fail to enter any material statement in the accounts or documents of NMG or related to NMG to deceive any person. In this regard, they managed to record non-existent income in the NMG's accounts and amended the regulations related to advertisement selling in order to facilitate the sales department to submit fake Advertising Order Entries in a NMG's system. Then, the accounting department recorded such fake entries as income and accrued income in the total of 691 million baht. | 4/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1180 | 07/01/2022 | Mr.Sirichai Chananam | 281/2 paragraph 2 in conjunction with 89/7 312 and section 83 of the Penal Code / SEC Act | During the year 2015 to 2017, 4 directors and executives of Nation Multimedia Group Public Company Limited ("NMG"), namely (1) Miss Duangkamol Chotana (2) Miss Nutvara Seangwarin (3) Mr.Supoth Piansiri (4) Mr.Sirichai Chananam, jointly failed to perform their duties with dishonest intent causing damage to NMG and jointly committed or permitted another person to make false entries or fail to enter any material statement in the accounts or documents of NMG or related to NMG to deceive any person. In this regard, they managed to record non-existent income in the NMG's accounts and amended the regulations related to advertisement selling in order to facilitate the sales department to submit fake Advertising Order Entries in a NMG's system. Then, the accounting department recorded such fake entries as income and accrued income in the total of 691 million baht. | 4/2022 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1181 | 06/01/2022 | Mrs. Ayuporn Karnasuta | 300 / SEC Act | Mrs. Ayuporn Karnasuta, Chief Executive Officer responsible for the operation of K-TECH Construction Public Company Limited (“K-TECH”) failed to supervise K-TECH to prepare and submit (1) the audited financial statements for the year 2018, (2) the annual registration statement for the year 2018 (Form 56-1) (3) the annual report for the year 2018 (Form 56-2), (4) the financial report for the first half of the fiscal year 2019 and (Interim Management Discussion and Analysis to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, attempt to arrest the offender failed and the statute of limitations ran out. | |
| 1182 | 28/12/2021 | Dsdaq (Thailand) Company Limited | 30 / DAB Act | Between January 1, 2021 and July 31, 2021, Dsdaq (Thailand) Company Limited, a digital asset exchange, kept customers' digital assets in digital wallets connected to the internet when conducting transactions only (cold wallet) less than 90 percent of the customer's total digital asset value and did not deposit customers' digital assets with digital asset depository service providers. | | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1183 | 27/12/2021 | Raimon Land Public Company Limited | 278 / SEC Act (the fifth amendment) | Raimon Land Public Company Limited concealed a fact which should have been stated in the registration statement and draft prospectus ("Filing Form") in materiality. TRIS informed RML that TRIS downgraded the RML credit rating to "BB+" (Double B Plus) from "BBB-" (Triple B Minus) and the rating outlook is revised to "Negative" from "Stable". RML acknowledged the downgrade credit rating result prior to the effective date of Filing Form but RML did not reveal this credit rating in Filing Form. | | Civil Sanction | 27/12/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 24,579.00 Baht | |
| 1184 | 27/12/2021 | Mr. Sataporn Amornvorapak | 300 in conjunction with 278 / SEC Act (the fifth amendment) | Mr. Sataporn Amornvorapak, the former Interim Chief Executive Officer, who is responsible for the operation of Raimon Land Public Company Limited ("RML"), shall be liable for RML’s failure to reveal the downgrade credit rating which should have been stated in the registration statement and draft prospectus (Filing Form) in materiality. | | Civil Sanction | 27/12/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 24,579.00 Baht | |
| 1185 | 21/12/2021 | Mr. Chu Yingjay | 300 in conjunction with 33 / SEC Act | Mr. Chu Yingjay, an Authorized Director of the Company, responsible for the operation of Ronghui International Service Co., Ltd. shall be liable for Ronghui International Service Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 1,927,500.00 Baht according to 56/2564 | |
| 1186 | 21/12/2021 | Ronghui International Service Co., Ltd. | 33 / SEC Act | Ronghui International Service Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 1,927,500.00 Baht according to 55/2564 | |
| 1187 | 13/12/2021 | The Million Link Company Limited | 240 / SEC Act (the fifth amendment) | On February 13 – 14 and 18, 2019, The Million Link Company Limited, the owner of Mitihoon website and newspaper accompany with Mr. Ronnakrit Sarinwong and Ms. Phatcharanan Singhara as a co-executive editor of Mitihoon, colluded to publish statement through social media of Mitihoon newspaper about JCK Hospitality Public Company Limited (JCKH) and RPCG Public Company Limited (RPC) that may be materially misleading about JCKH and RPC in such a manner that is likely to affect the price of JCKH and RPC shares or decision making on JCKH and RPC shares investment. | 184/2021 | Civil Sanction | 13/12/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a reimbursement of investigative expenses in an amount of 85,011.00 Baht | |
| 1188 | 13/12/2021 | Mr. Ronnakrit Sarinwong | 240 / SEC Act (the fifth amendment) | On February 13 – 14 and 18, 2019, The Million Link Company Limited, the owner of Mitihoon website and newspaper accompany with Mr. Ronnakrit Sarinwong and Ms. Phatcharanan Singhara as a co-executive editor of Mitihoon, colluded to publish statement through social media of Mitihoon newspaper about JCK Hospitality Public Company Limited (JCKH) and RPCG Public Company Limited (RPC) that may be materially misleading about JCKH and RPC in such a manner that is likely to affect the price of JCKH and RPC shares or decision making on JCKH and RPC shares investment. Moreover, Mr. Ronnakrit also publish statement about RPC in the same way as Mitihoon newspaper on his personal Facebook Page account “Deknaew Zecret”. | 184/2021 | Civil Sanction | 13/12/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,500,000.00 Baht
- a reimbursement of investigative expenses in an amount of 85,011.00 Baht | |
| 1189 | 13/12/2021 | Ms. Phatcharanan Singhara | 240 / SEC Act (the fifth amendment) | On February 13 – 14 and 18, 2019, The Million Link Company Limited, the owner of Mitihoon website and newspaper accompany with Mr. Ronnakrit Sarinwong and Ms. Phatcharanan Singhara as a co-executive editor of Mitihoon, colluded to publish statement through social media of Mitihoon newspaper about JCK Hospitality Public Company Limited (JCKH) and RPCG Public Company Limited (RPC) that may be materially misleading about JCKH and RPC in such a manner that is likely to affect the price of JCKH and RPC shares or decision making on JCKH and RPC shares investment. | 184/2021 | Civil Sanction | 13/12/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a reimbursement of investigative expenses in an amount of 85,011.00 Baht | |
| 1190 | 09/12/2021 | Ms. Nicharadee Sukjaroenkraisri (formerly known as Ms. Sugunya Sukjaroenkraisri) | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 and 89/12 and 307 311 in conjunction with section 83 of the Penal Code / SEC Act | During the year 2019, 7 directors and executives of Global Service Center Public Company Limited ("GSC") namely : (1) Miss Nicharadee Sukjaroenkraisri (formerly known as Miss Sugunya Sukjaroenkraisri) (2) Miss Sudaporn Klinkaew (3) Miss Sirinee Chimbanthoeng (4) Miss Udomporn Aeimjoy (5) Miss Nichapa Thongtat (6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to GSC or others obtained benefit. In this regard, they jointly decided, approved, or ordered GSC to grant 7 loans to Asia Capital Group Public Company Limited ("ACAP"), a GSC’s subsidiary, in the cumulative value of 180 million baht (73% of the total GSC’s asset) without the approval of shareholders. The interest rates of such loans were too low. The acts mentioned above did not comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower interest margin rate. | 228/2021 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. The case was deemed final. | |
| 1191 | 09/12/2021 | Miss Sudaporn Klinkaew | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 and 89/12 and 307 311 in conjunction with section 83 of the Penal Code / SEC Act | During the year 2019, 7 directors and executives of Global Service Center Public Company Limited ("GSC") namely : (1) Miss Nicharadee Sukjaroenkraisri (formerly known as Miss Sugunya Sukjaroenkraisri) (2) Miss Sudaporn Klinkaew (3) Miss Sirinee Chimbanthoeng (4) Miss Udomporn Aeimjoy (5) Miss Nichapa Thongtat (6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to GSC or others obtained benefit. In this regard, they jointly decided, approved, or ordered GSC to grant 7 loans to Asia Capital Group Public Company Limited ("ACAP"), a GSC’s subsidiary, in the cumulative value of 180 million baht (73% of the total GSC’s asset) without the approval of shareholders. The interest rates of such loans were too low. The acts mentioned above did not comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower interest margin rate. | 228/2021 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. The case was deemed final. | |
| 1192 | 09/12/2021 | Miss Sirinee Chimbanthoeng | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 and 89/12 and 307 311 in conjunction with section 83 of the Penal Code / SEC Act | During the year 2019, 7 directors and executives of Global Service Center Public Company Limited ("GSC") namely : (1) Miss Nicharadee Sukjaroenkraisri (formerly known as Miss Sugunya Sukjaroenkraisri) (2) Miss Sudaporn Klinkaew (3) Miss Sirinee Chimbanthoeng (4) Miss Udomporn Aeimjoy (5) Miss Nichapa Thongtat (6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to GSC or others obtained benefit. In this regard, they jointly decided, approved, or ordered GSC to grant 7 loans to Asia Capital Group Public Company Limited ("ACAP"), a GSC’s subsidiary, in the cumulative value of 180 million baht (73% of the total GSC’s asset) without the approval of shareholders. The interest rates of such loans were too low. The acts mentioned above did not comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower interest margin rate. | 228/2021 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. The case was deemed final. | |
| 1193 | 09/12/2021 | Miss Udomporn Aeimjoy | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 and 89/12 and 307 311 in conjunction with section 83 of the Penal Code / SEC Act | During the year 2019, 7 directors and executives of Global Service Center Public Company Limited ("GSC") namely : (1) Miss Nicharadee Sukjaroenkraisri (formerly known as Miss Sugunya Sukjaroenkraisri) (2) Miss Sudaporn Klinkaew (3) Miss Sirinee Chimbanthoeng (4) Miss Udomporn Aeimjoy (5) Miss Nichapa Thongtat (6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to GSC or others obtained benefit. In this regard, they jointly decided, approved, or ordered GSC to grant 7 loans to Asia Capital Group Public Company Limited ("ACAP"), a GSC’s subsidiary, in the cumulative value of 180 million baht (73% of the total GSC’s asset) without the approval of shareholders. The interest rates of such loans were too low. The acts mentioned above did not comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower interest margin rate. | 228/2021 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. The case was deemed final. | |
| 1194 | 09/12/2021 | Miss Nichapa Thongtat | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 and 89/12 and 307 311 in conjunction with section 83 of the Penal Code / SEC Act | During the year 2019, 7 directors and executives of Global Service Center Public Company Limited ("GSC") namely : (1) Miss Nicharadee Sukjaroenkraisri (formerly known as Miss Sugunya Sukjaroenkraisri) (2) Miss Sudaporn Klinkaew (3) Miss Sirinee Chimbanthoeng (4) Miss Udomporn Aeimjoy (5) Miss Nichapa Thongtat (6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to GSC or others obtained benefit. In this regard, they jointly decided, approved, or ordered GSC to grant 7 loans to Asia Capital Group Public Company Limited ("ACAP"), a GSC’s subsidiary, in the cumulative value of 180 million baht (73% of the total GSC’s asset) without the approval of shareholders. The interest rates of such loans were too low. The acts mentioned above did not comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower interest margin rate. | 228/2021 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. The case was deemed final. | |
| 1195 | 09/12/2021 | Mr. Tanyapisist Saprod | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 and 89/12 and 307 311 in conjunction with section 83 of the Penal Code / SEC Act | During the year 2019, 7 directors and executives of Global Service Center Public Company Limited ("GSC") namely : (1) Miss Nicharadee Sukjaroenkraisri (formerly known as Miss Sugunya Sukjaroenkraisri) (2) Miss Sudaporn Klinkaew (3) Miss Sirinee Chimbanthoeng (4) Miss Udomporn Aeimjoy (5) Miss Nichapa Thongtat (6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to GSC or others obtained benefit. In this regard, they jointly decided, approved, or ordered GSC to grant 7 loans to Asia Capital Group Public Company Limited ("ACAP"), a GSC’s subsidiary, in the cumulative value of 180 million baht (73% of the total GSC’s asset) without the approval of shareholders. The interest rates of such loans were too low. The acts mentioned above did not comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower interest margin rate. | 228/2021 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. The case was deemed final. | |
| 1196 | 09/12/2021 | Miss Metta Poking | 281/2 paragraph 1 in conjunction with 89/7 or 281/2 paragraph 2 in conjunction with 89/7 and 89/12 and 307 311 in conjunction with section 83 of the Penal Code / SEC Act | During the year 2019, 7 directors and executives of Global Service Center Public Company Limited ("GSC") namely : (1) Miss Nicharadee Sukjaroenkraisri (formerly known as Miss Sugunya Sukjaroenkraisri) (2) Miss Sudaporn Klinkaew (3) Miss Sirinee Chimbanthoeng (4) Miss Udomporn Aeimjoy (5) Miss Nichapa Thongtat (6) Mr. Tanyapisist Saprod and (7) Miss Metta Poking jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to GSC or others obtained benefit. In this regard, they jointly decided, approved, or ordered GSC to grant 7 loans to Asia Capital Group Public Company Limited ("ACAP"), a GSC’s subsidiary, in the cumulative value of 180 million baht (73% of the total GSC’s asset) without the approval of shareholders. The interest rates of such loans were too low. The acts mentioned above did not comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower interest margin rate. | 228/2021 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. The case was deemed final. | |
| 1197 | 01/12/2021 | Miss KANUSSANAN MOONNASAK | | | 264/2021 | Administrative Orders | Revocation | Effective Date 01/12/2021 to 30/11/2026 |
| 1198 | 18/11/2021 | Major General Boonlert Jangnopparat | 281/2 paragraph 2 in conjunction with 89/7 and 307 308 311 313 in conjunction with section 83 ofthe Penal Code / SEC Act | During the month of November 2018 to February 2019, 3 former directors and executives of Inter Far East Energy Corporation Public Company Limited (“IFEC”), namely, (1) Major General Boonlert Jangnopparat, (2) Mr. Chatnarong Chatrabhuti, and (3) Mr. Peerathuch Sukapong failed to perform their duties with dishonest intent, jointly dishonestly converted IFEC’s property to themselves, and obtained unlawful gains for themselves or another person, which caused damage to IFEC in the total of 26.6 million Baht. In this regard, they used the money that had been repaid form Inter Far East Wind International Co., Ltd. (IWIND), a subsidiary of IFEC, not for the benefit of the IFEC business. | 209/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1199 | 18/11/2021 | Mr. Chatnarong Chatrabhuti | 281/2 paragraph 2 in conjunction with 89/7 and 307 308 311 313 in conjunction with section 83 ofthe Penal Code / SEC Act | During the month of November 2018 to February 2019, 3 former directors and executives of Inter Far East Energy Corporation Public Company Limited (“IFEC”), namely, (1) Major General Boonlert Jangnopparat, (2) Mr. Chatnarong Chatrabhuti, and (3) Mr. Peerathuch Sukapong failed to perform their duties with dishonest intent, jointly dishonestly converted IFEC’s property to themselves, and obtained unlawful gains for themselves or another person, which caused damage to IFEC in the total of 26.6 million Baht. In this regard, they used the money that had been repaid form Inter Far East Wind International Co., Ltd. (IWIND), a subsidiary of IFEC, not for the benefit of the IFEC business. | 209/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1200 | 18/11/2021 | Mr. Peerathuch Sukapong | 281/2 paragraph 2 in conjunction with 89/7 and 307 308 311 313 in conjunction with section 83 ofthe Penal Code / SEC Act | During the month of November 2018 to February 2019, 3 former directors and executives of Inter Far East Energy Corporation Public Company Limited (“IFEC”), namely, (1) Major General Boonlert Jangnopparat, (2) Mr. Chatnarong Chatrabhuti, and (3) Mr. Peerathuch Sukapong failed to perform their duties with dishonest intent, jointly dishonestly converted IFEC’s property to themselves, and obtained unlawful gains for themselves or another person, which caused damage to IFEC in the total of 26.6 million Baht. In this regard, they used the money that had been repaid form Inter Far East Wind International Co., Ltd. (IWIND), a subsidiary of IFEC, not for the benefit of the IFEC business. | 209/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1201 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the reviewed financial statements for Q2/2017. | | Criminal Fine | imposing a fine of 269,400.00 Baht according to 42/2564 | |
| 1202 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the reviewed financial statements for Q3/2017.
| | Criminal Fine | imposing a fine of 240,900.00 Baht according to 42/2564 | |
| 1203 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the audited financial statements for the year 2017. | | Criminal Fine | imposing a fine of 209,100.00 Baht according to 42/2564 | |
| 1204 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the annual registration statement for the year 2017 (Form 56-1) | | Criminal Fine | imposing a fine of 199,200.00 Baht according to 42/2564 | |
| 1205 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the annual report for the year 2017 (Form 56-2). | | Criminal Fine | imposing a fine of 202,800.00 Baht according to 42/2564 | |
| 1206 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the reviewed financial statements for Q1/2018. | | Criminal Fine | imposing a fine of 186,600.00 Baht according to 42/2564 | |
| 1207 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the reviewed financial statements for Q2/2018.
| | Criminal Fine | imposing a fine of 159,000.00 Baht according to 42/2564 | |
| 1208 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the reviewed financial statements for Q3/2018. | | Criminal Fine | imposing a fine of 132,900.00 Baht according to 42/2564 | |
| 1209 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the audited financial statements for the year 2018.
| | Criminal Fine | imposing a fine of 100,500.00 Baht according to 42/2564 | |
| 1210 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the annual registration statement for the year 2018 (Form 56-1) | | Criminal Fine | imposing a fine of 90,000.00 Baht according to 42/2564 | |
| 1211 | 02/11/2021 | Mr. Swechak Lochaya | 300 / SEC Act | Mr. Swechak Lochaya, President and Managing Directer, responsible for the operation of Everland Public Company Limited (“EVER”), shall be liable for EVER’s prepare and submit the inaccurate the annual report for the year 2018 (Form 56-2). | | Criminal Fine | imposing a fine of 90,000.00 Baht according to 42/2564 | |
| 1212 | 14/10/2021 | Mr. Koravit Asawakul | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | On 9 February, 2016, Mr. Koravit Asawakul colluded or agreed with others to trade Nation Broadcasting Corporation Public Company Limited (“NBC”) shares in concealment to mislead general public regarding the market trading condition and traded NBC shares on a continued basis with an intent to cause the price and the volume of NBC shares’ trading to be inconsistent with the normal market condition. | 169/2021 | Civil Sanction | 14/10/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1213 | 12/10/2021 | Mr. Pakkawan Wongopasi | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | On 4 and 9 February, 2016, Mr. Pakkawan Wongopasi colluded or agreed with others to trade Nation Broadcasting Corporation Public Company Limited (“NBC”) shares in concealment to mislead general public regarding the market trading condition and traded NBC shares on a continued basis with an intent to cause the price and the volume of NBC shares’ trading to be inconsistent with the normal market condition. | 169/2021 | Civil Sanction | 12/10/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,373,201.00 Baht | |
| 1214 | 30/09/2021 | Mr. Panurak Saengaram | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | On 4 February, 2016, Mr. Panurak Saengaram colluded or agreed with others to trade Nation Broadcasting Corporation Public Company Limited (“NBC”) shares in concealment to mislead general public regarding the market trading condition and traded NBC shares on a continued basis with an intent to cause the price and the volume of NBC shares’ trading to be inconsistent with the normal market condition. | 169/2021 | Civil Sanction | 30/09/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1215 | 29/09/2021 | Mr. Ekkavit Kamontaypa | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | On 4 and 9 February, 2016, Mr. Ekkavit Kamontaypa colluded or agreed with others to trade Nation Broadcasting Corporation Public Company Limited (“NBC”) shares in concealment to mislead general public regarding the market trading condition and traded NBC shares on a continued basis with an intent to cause the price and the volume of NBC shares’ trading to be inconsistent with the normal market condition. | 169/2021 | Civil Sanction | 29/09/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht | |
| 1216 | 29/09/2021 | Mrs LADDAWAN KAEWBORAN | | | 180/2021 | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 29/09/2021 to 28/09/2031 |
| 1217 | 28/09/2021 | Mr. Yanyong Intarasongkarw | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | On 4 and 9 February, 2016, Mr. Yanyong Intarasongkarw colluded or agreed with others to trade Nation Broadcasting Corporation Public Company Limited (“NBC”) shares in concealment to mislead general public regarding the market trading condition and traded NBC shares on a continued basis with an intent to cause the price and the volume of NBC shares’ trading to be inconsistent with the normal market condition. | 169/2021 | Civil Sanction | 28/09/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht | |
| 1218 | 27/09/2021 | Miss Kannida Tangkittrongcharoen | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | On 4 and 9 February, 2016, Miss Kannida Tangkittrongcharoen colluded or agreed with others to trade Nation Broadcasting Corporation Public Company Limited (“NBC”) shares in concealment to mislead general public regarding the market trading condition and traded NBC shares on a continued basis with an intent to cause the price and the volume of NBC shares’ trading to be inconsistent with the normal market condition. | 169/2021 | Civil Sanction | 27/09/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht | |
| 1219 | 17/09/2021 | Miss Pornpen Nithikasem | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | On 9 February, 2016, Miss Pornpen Nithikasem colluded or agreed with others to trade Nation Broadcasting Corporation Public Company Limited (“NBC”) shares in concealment to mislead general public regarding the market trading condition and traded NBC shares on a continued basis with an intent to cause the price and the volume of NBC shares’ trading to be inconsistent with the normal market condition. | 169/2021 | Civil Sanction | 17/09/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 893,439.00 Baht | |
| 1220 | 01/09/2021 | Mr. Prasert Jarutangtrong | 242 (1) / SEC Act (the fifth amendment) | Mr. Prasert Jarutangtrong knew or possessed inside information related to Phol Dhanya Public Company Limited (PHOL)’s Q4/2016 performance, disclosed by Mr. Teeradej Jarutangtrong who was an executive of PHOL. Subsequently, during 26 December 2016 to 17 February 2017, he sold ordinary shares of PHOL and PHOL-W1 prior to the disclosure of such inside information to the public on 28 February 2017. | 130/2021 | Civil Sanction | 01/09/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 619,500.00 Baht
- a civil monetary penalty of 712,425.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 01/09/2021 and 31/08/2022
- a bar from serving as a director or executive in a securities company between 01/09/2021 and 31/08/2022
- a reimbursement of investigative expenses in an amount of 42,271.00 Baht | |
| 1221 | 26/08/2021 | Mr. Benjamin Berger | 65 / SEC Act | On June 15, 2019, Mr. Benjamin Berger presented and offered for selling the shares named Tian Tian Ventures to the public at the 2019 Tian Tian Ventures Investor Conference held at the Millennium Hilton Bangkok without filing the registration statement and the draft prospectus with the SEC Office. | | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1222 | 20/08/2021 | Mrs. Supaporn Lertvorratham | 242 (1) / SEC Act (the fifth amendment) | Mrs. Supaporn Lertvorratham knew or possessed inside information related to Phol Dhanya Public Company Limited (PHOL)’s Q4/2016 performance. Subsequently, during 15 February 2017 to 27 February 2017, she sold ordinary shares of PHOL and PHOL-W1 prior to the disclosure of such inside information to the public on 28 February 2017. | 130/2021 | Civil Sanction | 20/08/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 245,551.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 20/08/2021 and 19/08/2022
- a bar from serving as a director or executive in a securities company between 20/08/2021 and 19/08/2022
- a reimbursement of investigative expenses in an amount of 42,271.00 Baht | |
| 1223 | 19/08/2021 | Mr. Chavalit Wangthamrong | 242 (1) and 242 (2) / SEC Act (the fifth amendment) | Mr. Chavalit Wangthamrong knew or possessed inside information related to Phol Dhanya Public Company Limited (PHOL)’s Q4/2016 performance, while he was the chairman of executive committee, a director of Phol Dhanya Public Company Limited (PHOL) and a director of Phol Water Company Limited, which is a subsidiary company of PHOL. During 14 to 15 December 2016, he sold PHOL-W1 prior to the disclosure of such inside information to the public on 28 February 2017. Furthermore, he also disclosed such inside information to Ms. Thanthida Wangthamrong Helbart, while he knew or ought reasonably to know that she may exploit such information for trading PHOL securities. | 130/2021 | Civil Sanction | 19/08/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,966,551.96 Baht
- a civil monetary penalty of 2,761,534.75 Baht
- a bar from serving as a director or executive in a securities issuing company between 19/08/2021 and 18/10/2022
- a bar from serving as a director or executive in a securities company between 19/08/2021 and 18/10/2022
- a reimbursement of investigative expenses in an amount of 42,271.29 Baht | |
| 1224 | 19/08/2021 | Ms. Thanthida Wangthamrong Helbart | 242 (1) / SEC Act (the fifth amendment) | Ms. Thanthida Wangthamrong Helbart knew or possessed inside information related to Phol Dhanya Public Company Limited (PHOL)’s Q4/2016 performance, disclosed by Mr. Chavalit Wangthamrong who was an executive of PHOL. Subsequently, during 15 December 2016 to 22 February 2017, she sold ordinary shares of PHOL and PHOL-W1 prior to the disclosure of such inside information to the public on 28 February 2017. | 130/2021 | Civil Sanction | 19/08/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 5,902,694.01 Baht
- a civil monetary penalty of 6,788,098.11 Baht
- a bar from serving as a director or executive in a securities issuing company between 19/08/2021 and 18/08/2022
- a bar from serving as a director or executive in a securities company between 19/08/2021 and 18/08/2022
- a reimbursement of investigative expenses in an amount of 42,270.88 Baht | |
| 1225 | 13/08/2021 | Mr. Teeradej Jarutangtrong | 242 (1) and 242 (2) / SEC Act (the fifth amendment) | Mr. Teeradej Jarutangtrong knew or possessed inside information related to Phol Dhanya Public Company Limited (PHOL)’s Q4/2016 performance, while he was the chairman of risk management committee, a director and a consultant of community waterworks project of Phol Dhanya Public Company Limited (PHOL). During 22 December 2016 to 24 February 2017, he sold ordinary shares of PHOL and PHOL-W1 via Mr. Apichart Jarutangtrong’s securities trading account prior to the disclosure of such inside information to the public on 28 February 2017. Furthermore,
Mr. Teeradej also disclosed such inside information to Mr. Prasert Jarutangtrong, while he knew or ought reasonably to know that he may exploit such information for trading PHOL securities. | 130/2021 | Civil Sanction | 13/08/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 4,441,272.00 Baht
- a civil monetary penalty of 6,051,590.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 13/08/2021 and 12/04/2023
- a bar from serving as a director or executive in a securities company between 13/08/2021 and 12/04/2023
- a reimbursement of investigative expenses in an amount of 42,271.00 Baht | |
| 1226 | 02/08/2021 | Mr. Wutichai Leenabanchong | 281/2 paragraph 2 in conjunction with 89/7 89/24 311 and 313 in conjunction with section 83 of the Penal Code / SEC Act | During 2016, 3 directors and executives of Ua Withya Public Company Limited ("UWC"), namely: (1) Mr. Wutichai Leenabanchong, (2) Mr. Peratus Dhanarachwattana and (3) Mr. Monthon Chatuwallopkul, jointly failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to UWC or deprived UWC of its rightful benefit. In this regard, they jointly proceeded to receive the board of directors of UWC's approval to sell all Oscar Save the World Company Limited ("OSCAR") shares held by UWC (55% of OSCAR shares) to Thai Nakorn Parawood Company Limited ("TNP") at the price of 66 million baht. However, they did not report to the board of directors of UWC that OSCAR had already entered into a Power Purchase Agreement ("PPA") No.2 with the Provincial Electricity Authority which was information greatly affecting the value of OSCAR shares. Accordingly, the board of directors of UWC approved the sale of OSCAR shares at the price of 66 million baht which was the selling price calculated from the value of the PPA No.1 merely. In other words, UWC sold OSCAR shares at the lower price than it should be. The acts of 3 persons mentioned above were cooperated by Mr. Manote Luengvoraphan, a director and executive of OSCAR and TNP in making a memorandum of understanding to sell the said OSCAR shares between UWC and TNP. On the day that UWC transferred OSCAR shares to TNP, TNP transferred OSCAR shares to the other party at the much higher price than TNP bought from UWC. It was also found that a related person with one of the UWC's directors benefited from TNP's sale of OSCAR shares without reasonable grounds. | 147/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1227 | 02/08/2021 | Mr. Peratus Dhanarachwattana | 281/2 paragraph 2 in conjunction with 89/7 89/24 311 and 313 in conjunction with section 83 of the Penal Code / SEC Act | During 2016, 3 directors and executives of Ua Withya Public Company Limited ("UWC"), namely: (1) Mr. Wutichai Leenabanchong, (2) Mr. Peratus Dhanarachwattana and (3) Mr. Monthon Chatuwallopkul, jointly failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to UWC or deprived UWC of its rightful benefit. In this regard, they jointly proceeded to receive the board of directors of UWC's approval to sell all Oscar Save the World Company Limited ("OSCAR") shares held by UWC (55% of OSCAR shares) to Thai Nakorn Parawood Company Limited ("TNP") at the price of 66 million baht. However, they did not report to the board of directors of UWC that OSCAR had already entered into a Power Purchase Agreement ("PPA") No.2 with the Provincial Electricity Authority which was information greatly affecting the value of OSCAR shares. Accordingly, the board of directors of UWC approved the sale of OSCAR shares at the price of 66 million baht which was the selling price calculated from the value of the PPA No.1 merely. In other words, UWC sold OSCAR shares at the lower price than it should be. The acts of 3 persons mentioned above were cooperated by Mr. Manote Luengvoraphan, a director and executive of OSCAR and TNP in making a memorandum of understanding to sell the said OSCAR shares between UWC and TNP. On the day that UWC transferred OSCAR shares to TNP, TNP transferred OSCAR shares to the other party at the much higher price than TNP bought from UWC. It was also found that a related person with one of the UWC's directors benefited from TNP's sale of OSCAR shares without reasonable grounds. | 147/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1228 | 02/08/2021 | Mr. Monthon Chatuwallopkul | 281/2 paragraph 2 in conjunction with 89/7 89/24 311 and 313 in conjunction with section 83 of the Penal Code / SEC Act | During 2016, 3 directors and executives of Ua Withya Public Company Limited ("UWC"), namely: (1) Mr. Wutichai Leenabanchong, (2) Mr. Peratus Dhanarachwattana and (3) Mr. Monthon Chatuwallopkul, jointly failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to UWC or deprived UWC of its rightful benefit. In this regard, they jointly proceeded to receive the board of directors of UWC's approval to sell all Oscar Save the World Company Limited ("OSCAR") shares held by UWC (55% of OSCAR shares) to Thai Nakorn Parawood Company Limited ("TNP") at the price of 66 million baht. However, they did not report to the board of directors of UWC that OSCAR had already entered into a Power Purchase Agreement ("PPA") No.2 with the Provincial Electricity Authority which was information greatly affecting the value of OSCAR shares. Accordingly, the board of directors of UWC approved the sale of OSCAR shares at the price of 66 million baht which was the selling price calculated from the value of the PPA No.1 merely. In other words, UWC sold OSCAR shares at the lower price than it should be. The acts of 3 persons mentioned above were cooperated by Mr. Manote Luengvoraphan, a director and executive of OSCAR and TNP in making a memorandum of understanding to sell the said OSCAR shares between UWC and TNP. On the day that UWC transferred OSCAR shares to TNP, TNP transferred OSCAR shares to the other party at the much higher price than TNP bought from UWC. It was also found that a related person with one of the UWC's directors benefited from TNP's sale of OSCAR shares without reasonable grounds. | 147/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1229 | 02/08/2021 | Mr. Manote Luengvoraphan | 281/2 paragraph 2 in conjunction with 89/7 89/24 311 and 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2016, 3 directors and executives of Ua Withya Public Company Limited ("UWC"), namely: (1) Mr. Wutichai Leenabanchong, (2) Mr. Peratus Dhanarachwattana and (3) Mr. Monthon Chatuwallopkul, jointly failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused damage to UWC or deprived UWC of its rightful benefit. In this regard, they jointly proceeded to receive the board of directors of UWC's approval to sell all Oscar Save the World Company Limited ("OSCAR") shares held by UWC (55% of OSCAR shares) to Thai Nakorn Parawood Company Limited ("TNP") at the price of 66 million baht. However, they did not report to the board of directors of UWC that OSCAR had already entered into a Power Purchase Agreement ("PPA") No.2 with the Provincial Electricity Authority which was information greatly affecting the value of OSCAR shares. Accordingly, the board of directors of UWC approved the sale of OSCAR shares at the price of 66 million baht which was the selling price calculated from the value of the PPA No.1 merely. In other words, UWC sold OSCAR shares at the lower price than it should be. The acts of 3 persons mentioned above were cooperated by Mr. Manote Luengvoraphan, a director and executive of OSCAR and TNP in making a memorandum of understanding to sell the said OSCAR shares between UWC and TNP. On the day that UWC transferred OSCAR shares to TNP, TNP transferred OSCAR shares to the other party at the much higher price than TNP bought from UWC. It was also found that a related person with one of the UWC's directors benefited from TNP's sale of OSCAR shares without reasonable grounds. | 147/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1230 | 23/07/2021 | Mr. Pornsak Chunhajinda | 242 (1) and 242 (2) / SEC Act (the fifth amendment) | Mr. Pornsak Chunhajinda knew or possessed inside information related to Phol Dhanya Public Company Limited (PHOL)’s Q4/2016 performance, while he was the managing director and the senior director of accounting and financial department of PHOL and a director of PHOL Water Company Limited, which is a subsidiary company of PHOL. On 26 December 2016, he sold PHOL-W1 prior to the disclosure of such inside information to the public on 28 February 2017. Furthermore, he also disclosed such inside information to Mrs. Saowanee Chunhajinda and Ms. Siriporn Choonhajinda, while he knew or ought reasonably to know that they may exploit such information for trading PHOL securities. | 130/2021 | Civil Sanction | 23/07/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 9,095.00 Baht
- a civil monetary penalty of 1,000,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 23/07/2021 and 22/09/2022
- a bar from serving as a director or executive in a securities company between 23/07/2021 and 22/09/2022
- a reimbursement of investigative expenses in an amount of 42,271.00 Baht | |
| 1231 | 23/07/2021 | Mrs. Saowanee Chunhajinda | 242 (1) / SEC Act (the fifth amendment) | Mrs. Saowanee Chunhajinda knew or possessed inside information related to Phol Dhanya Public Company Limited (PHOL)’s Q4/2016 performance, disclosed by Mr. Pornsak Chunhajinda who was an executive of PHOL and a PHOL’s subsidiary called PHOL Water Company Limited. Subsequently, on 26 December 2016, she sold PHOL-W1 prior to the disclosure of such inside information to the public on 28 February 2017. | 130/2021 | Civil Sanction | 23/07/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 47,252.50 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 23/07/2021 and 22/07/2022
- a bar from serving as a director or executive in a securities company between 23/07/2021 and 22/07/2022
- a reimbursement of investigative expenses in an amount of 42,271.50 Baht | |
| 1232 | 23/07/2021 | Ms. Siriporn Choonhajinda | 242 (1) / SEC Act (the fifth amendment) | Ms. Siriporn Choonhajinda knew or possessed inside information related to Phol Dhanya Public Company Limited (PHOL)’s Q4/2016 performance, disclosed by Mr. Pornsak Chunhajinda who was an executive of PHOL and a PHOL’s subsidiary called PHOL Water Company Limited. Subsequently, during 16 December 2016 to 22 February 2017, she sold ordinary shares of PHOL prior to the disclosure of such inside information to the public on 28 February 2017. | 130/2021 | Civil Sanction | 23/07/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 347,382.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 23/07/2021 and 22/07/2022
- a bar from serving as a director or executive in a securities company between 23/07/2021 and 22/07/2022
- a reimbursement of investigative expenses in an amount of 42,271.00 Baht | |
| 1233 | 23/07/2021 | Ms. Sawanee Chunhajinda | 242 (1) / SEC Act (the fifth amendment) | Ms. Sawanee Chunhajinda knew or possessed inside information related to Phol Dhanya Public Company Limited (PHOL)’s Q4/2016 performance. Subsequently, during 28 December 2016 to 13 January 2017, she sold ordinary shares of PHOL prior to the disclosure of such inside information to the public on 28 February 2017. | 130/2021 | Civil Sanction | 23/07/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 223,348.60 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 23/07/2021 and 22/07/2022
- a bar from serving as a director or executive in a securities company between 23/07/2021 and 22/07/2022
- a reimbursement of investigative expenses in an amount of 42,271.40 Baht | |
| 1234 | 21/07/2021 | Mr. Apichart Jarutangtrong | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | During 22 December 2016 to 24 February 2017, Mr. Apichart Jarutangtrong allowed Mr. Teeradej Jarutangtrong, who knew or possessed inside information related to Phol Dhanya Public Company Limited (PHOL)’s Q4/2016 performance, to use his securities trading account for selling ordinary shares of PHOL and PHOL-W1 prior to the disclosure of such inside information to the public on 28 February 2017. | 130/2021 | Civil Sanction | 21/07/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 21/07/2021 and 20/01/2022
- a bar from serving as a director or executive in a securities company between 21/07/2021 and 20/01/2022
- a reimbursement of investigative expenses in an amount of 42,271.00 Baht | |
| 1235 | 06/07/2021 | Miss Tongjai Jidjaroonsawat | 242 (1) / SEC Act (the fifth amendment) | During October 2019, Miss Tongjai Jidjaroonsawat while being a Vice Accounting Supervisor of Hwa Fong Rubber (Thailand) Public Company Limited (HFT), knew or possessed the inside information concerning an increase of the net profit of Q3/2019. Subsequently, on 15 October 2019 to 4 November 2019, Miss Tongjai purchased 248,500 of HFT shares in such a way as to take advantage of other persons before HFT disclosed the inside information to the public on 6 November 2019. | 79/2021 | Civil Sanction | 26/10/2022 31/03/2022 filed a lawsuit to a civil court 06/07/2021 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the process of legal execution |
| 1236 | 02/07/2021 | a provider who operates digital asset exchange platform on www.binance.com | 26 / DAB Act | Since the middle of 2020 onwards, a provider who operates digital asset exchange platform on www.binance.com ("Binance") has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the counterparty or providing the system or facilitating a person who wishes to trade or exchange digital assets to be able to enter into an agreement or match the order. Additionally, Binance solicited the Thai public and investors to use its services via its website and Facebook Page: Binance Thai Community. The act mentioned above was liable to operate digital asset business without license. | 125/2021 | Criminal Complaints | The public prosecutor issued a final non-prosecution order. The case was deemed final. | |
| 1237 | 17/06/2021 | Mr. Kiatichai Monsereenusorn | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in
her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 119/2021 | Civil Sanction | 28/02/2025 19/08/2022 filed a lawsuit to a civil court 17/06/2021 referred the case to a state attorney for filing a lawsuit to a civil court | currently under an appeal period |
| 1238 | 17/06/2021 | Mr. Suraphong Triamchanchai | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in
her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 119/2021 | Civil Sanction | 28/02/2025 19/08/2022 filed a lawsuit to a civil court 17/06/2021 referred the case to a state attorney for filing a lawsuit to a civil court | currently under an appeal period |
| 1239 | 17/06/2021 | Mrs. Kingkarn Smitananda | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account. | 119/2021 | Civil Sanction | 28/02/2025 19/08/2022 filed a lawsuit to a civil court 17/06/2021 referred the case to a state attorney for filing a lawsuit to a civil court | currently under an appeal period |
| 1240 | 17/06/2021 | Mr. Praphol Milindachinla | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in
her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 119/2021 | Civil Sanction | 28/02/2025 19/08/2022 filed a lawsuit to a civil court 17/06/2021 referred the case to a state attorney for filing a lawsuit to a civil court | currently under an appeal period |
| 1241 | 14/06/2021 | Mr. Kittisan Mookdee | 281/2 paragraph 2 in conjunction with 89/7 89/24 and 307 308 311 in conjunction with 313 in conjunction with section 83 of the Penal Code / SEC Act | During July - October 2016, three former directors and executives of K.C. Property Public Company Limited (“KC”) and Modern Street Company Limited (“Modern Street”), which is a subsidiary of KC, namely (1) Mr. Kittisan Mookdee, (2) Mr. Teerasit Sangngern and (3) Mr. Sunchai Intarauksorn jointly failed to perform their duties with dishonest intent, committed dishonest converting KC’s property to himself or a third party, and obtained unlawful gains for himself or another person. In this regard, they approved and ordered KC and Modern Street to sell two plots of land and purchase a plot of land which were deemed dishonest acts and caused damage to KC. The acts mentioned above were assisted or facilitated by four persons, namely (1) Mr. Veerawat Sukwara, (2) Ms. Supattar Tinpeng, (3) Mr. Rathawut Worapan, and (4) Ratthawuth Limited Partnership. | 115/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1242 | 14/06/2021 | Mr. Teerasit Sangngern | 281/2 paragraph 2 in conjunction with 89/7 89/24 and 307 308 311 in conjunction with 313 in conjunction with section 83 of the Penal Code / SEC Act | During July - October 2016, three former directors and executives of K.C. Property Public Company Limited (“KC”) and Modern Street Company Limited (“Modern Street”), which is a subsidiary of KC, namely (1) Mr. Kittisan Mookdee, (2) Mr. Teerasit Sangngern and (3) Mr. Sunchai Intarauksorn jointly failed to perform their duties with dishonest intent, committed dishonest converting KC’s property to himself or a third party, and obtained unlawful gains for himself or another person. In this regard, they approved and ordered KC and Modern Street to sell two plots of land and purchase a plot of land which were deemed dishonest acts and caused damage to KC. The acts mentioned above were assisted or facilitated by four persons, namely (1) Mr. Veerawat Sukwara, (2) Ms. Supattar Tinpeng, (3) Mr. Rathawut Worapan, and (4) Ratthawuth Limited Partnership. | 115/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1243 | 14/06/2021 | Mr. Sunchai Intarauksorn | 281/2 paragraph 2 in conjunction with 89/7 89/24 and 307 308 311 in conjunction with 313 in conjunction with section 83 of the Penal Code / SEC Act | During July - October 2016, three former directors and executives of K.C. Property Public Company Limited (“KC”) and Modern Street Company Limited (“Modern Street”), which is a subsidiary of KC, namely (1) Mr. Kittisan Mookdee, (2) Mr. Teerasit Sangngern and (3) Mr. Sunchai Intarauksorn jointly failed to perform their duties with dishonest intent, committed dishonest converting KC’s property to himself or a third party, and obtained unlawful gains for himself or another person. In this regard, they approved and ordered KC and Modern Street to sell two plots of land and purchase a plot of land which were deemed dishonest acts and caused damage to KC. The acts mentioned above were assisted or facilitated by four persons, namely (1) Mr. Veerawat Sukwara, (2) Ms. Supattar Tinpeng, (3) Mr. Rathawut Worapan, and (4) Ratthawuth Limited Partnership. | 115/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1244 | 14/06/2021 | Mr. Veerawat Sukwara | 281/2 paragraph 2 in conjunction with 89/7 89/24 and 307 308 311 in conjunction with 315 in conjunction with section 86 of the Penal Code / SEC Act | During July - October 2016, three former directors and executives of K.C. Property Public Company Limited (“KC”) and Modern Street Company Limited (“Modern Street”), which is a subsidiary of KC, namely (1) Mr. Kittisan Mookdee, (2) Mr. Teerasit Sangngern and (3) Mr. Sunchai Intarauksorn jointly failed to perform their duties with dishonest intent, committed dishonest converting KC’s property to himself or a third party, and obtained unlawful gains for himself or another person. In this regard, they approved and ordered KC and Modern Street to sell two plots of land and purchase a plot of land which were deemed dishonest acts and caused damage to KC. The acts mentioned above were assisted or facilitated by four persons, namely (1) Mr. Veerawat Sukwara, (2) Ms. Supattar Tinpeng, (3) Mr. Rathawut Worapan, and (4) Ratthawuth Limited Partnership. | 115/2021 | Criminal Complaints | | |
| 1245 | 14/06/2021 | Ms. Supattar Tinpeng | 281/2 paragraph 2 in conjunction with 89/7 89/24 and 307 308 311 in conjunction with 315 in conjunction with section 86 of the Penal Code / SEC Act | During July - October 2016, three former directors and executives of K.C. Property Public Company Limited (“KC”) and Modern Street Company Limited (“Modern Street”), which is a subsidiary of KC, namely (1) Mr. Kittisan Mookdee, (2) Mr. Teerasit Sangngern and (3) Mr. Sunchai Intarauksorn jointly failed to perform their duties with dishonest intent, committed dishonest converting KC’s property to himself or a third party, and obtained unlawful gains for himself or another person. In this regard, they approved and ordered KC and Modern Street to sell two plots of land and purchase a plot of land which were deemed dishonest acts and caused damage to KC. The acts mentioned above were assisted or facilitated by four persons, namely (1) Mr. Veerawat Sukwara, (2) Ms. Supattar Tinpeng, (3) Mr. Rathawut Worapan, and (4) Ratthawuth Limited Partnership. | 115/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1246 | 14/06/2021 | Mr. Rathawut Worapan | 281/2 paragraph 2 in conjunction with 89/7 89/24 and 307 308 311 in conjunction with 315 in conjunction with section 86 of the Penal Code / SEC Act | During July - October 2016, three former directors and executives of K.C. Property Public Company Limited (“KC”) and Modern Street Company Limited (“Modern Street”), which is a subsidiary of KC, namely (1) Mr. Kittisan Mookdee, (2) Mr. Teerasit Sangngern and (3) Mr. Sunchai Intarauksorn jointly failed to perform their duties with dishonest intent, committed dishonest converting KC’s property to himself or a third party, and obtained unlawful gains for himself or another person. In this regard, they approved and ordered KC and Modern Street to sell two plots of land and purchase a plot of land which were deemed dishonest acts and caused damage to KC. The acts mentioned above were assisted or facilitated by four persons, namely (1) Mr. Veerawat Sukwara, (2) Ms. Supattar Tinpeng, (3) Mr. Rathawut Worapan, and (4) Ratthawuth Limited Partnership. | 115/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1247 | 14/06/2021 | Ratthawuth Limited Partnership | 281/2 paragraph 2 in conjunction with 89/7 89/24 and 307 308 311 in conjunction with 315 in conjunction with section 86 of the Penal Code / SEC Act | During July - October 2016, three former directors and executives of K.C. Property Public Company Limited (“KC”) and Modern Street Company Limited (“Modern Street”), which is a subsidiary of KC, namely (1) Mr. Kittisan Mookdee, (2) Mr. Teerasit Sangngern and (3) Mr. Sunchai Intarauksorn jointly failed to perform their duties with dishonest intent, committed dishonest converting KC’s property to himself or a third party, and obtained unlawful gains for himself or another person. In this regard, they approved and ordered KC and Modern Street to sell two plots of land and purchase a plot of land which were deemed dishonest acts and caused damage to KC. The acts mentioned above were assisted or facilitated by four persons, namely (1) Mr. Veerawat Sukwara, (2) Ms. Supattar Tinpeng, (3) Mr. Rathawut Worapan, and (4) Ratthawuth Limited Partnership. | 115/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1248 | 09/06/2021 | Mr.Pongsak Lothongkam | 246 / SEC Act | On December 7,2017 Mr.Pongsak Lothongkam acquired of SVI Public Company Limited (SVI) shares held by Eagle Mount Asia Equities Limited which caused his aggregate holding of SVI shares reached or passed five percent of the total number of voting rights of SVI but he failed to reported these acquisition to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office on Februeary 11, 2021 | | Criminal Fine | imposing a fine of 640,500.00 Baht according to 14/2564 | |
| 1249 | 09/06/2021 | Mr.Pongsak Lothongkam | 247 / SEC Act | On December, 2017. Mr.Pongsak Lothongkam acquires SVI Public Company Limited (SVI) shares in Eagle Mount Asia Equities Limited’s securities trading account (nominee) , causing his aggregate shareholding in SVI shares to exceed trigger point at 50 percent of the total number of voting rights of SVI, but Mr. Pongsak failed to prepare and submit (1) a report of the acquisition of shares in Form 246-2 (2) a statement of intention to make a tender offer in Form 247-3 and (3) an offer document in Form 247-4 to the SEC Office. | | Criminal Fine | imposing a fine of 7,040,000.00 Baht according to 14/2564 | |
| 1250 | 08/06/2021 | Miss Angkakarn Tantiviroon | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 313 in conjunction with section 83 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr.Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr.Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1251 | 08/06/2021 | Mr. Somkiat Vongsarojana | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 313 in conjunction with section 83 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr.Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr.Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1252 | 08/06/2021 | Mr. Teera Phoncharoensuk | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 313 in conjunction with section 83 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr.Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr.Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1253 | 08/06/2021 | Benefit Blue Company Limited | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr.Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr.Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1254 | 08/06/2021 | Mr. Sarawut Poolthaweetham | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr.Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr.Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1255 | 08/06/2021 | Chaichana Steel Company Limited | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr.Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr.Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1256 | 08/06/2021 | Mr. Chanin Horprasertwong | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr.Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr.Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1257 | 08/06/2021 | Empire Steel Center Company Limited | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr. Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr. Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1258 | 08/06/2021 | Miss Kalaya Ketsingh | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr. Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr. Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1259 | 08/06/2021 | R. S. D. Steel Company Limited | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr. Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr. Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1260 | 08/06/2021 | Miss Supisara Hoprasertwong | 281/2 paragraph 2 in conjunction with 89/7 307 308 311 312 and 315 in conjunction with section 86 of the Penal Code / SEC Act | During 2016-2017, 3 directors and executives of Rich Asia Corporation Public Company Limited ("RICH"), namely: (1) Miss Angkakarn Tantiviroon, (2) Mr. Somkiat Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in return but also sell goods to such partners without receiving payment in return. Then, the compromises between RICH and the partners were made in lawsuits. These acts resulted in recording almost full amount of allowance for doubtful accounts in the RICH's financial statement of 2016 and the rest of the amount in the financial statement of the next period which was making false entries in the RICH's financial statements. This caused damage to RICH with a total amount of 1,159.42 million baht. In addition, the acts mentioned above were assisted or facilitated by 8 trading partners and their authorized persons, including (1) Benefit Blue Company Limited, (2) Mr. Sarawut Poolthaweetham, an authorized director of Benefit Blue Company Limited, (3) Chaichana Steel Company Limited, (4) Mr. Chanin Horprasertwong, an authorized director of Chaichana Steel Company Limited, (5) Empire Steel Center Company Limited, (6) Miss Kalaya Ketsingh, an authorized director of Empire Steel Center Company Limited, (7) R. S. D. Steel Company Limited, and (8) Miss Supisara Hoprasertwong, an authorized director of R. S. D. Steel Company Limited. | 110/2021 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1261 | 04/06/2021 | Mr.Jakkaphong Jakrajutatip | 240 / SEC Act (the fifth amendment) | On March 8 - 9, 2021, Mr.Jakkaphong Jakrajutatip, chief executive officer, managing director and director of JKN Global Media Public Company Limited (JKN), had published posts through his personal Facebook account that JKN was the first and sole owner of genuine hemp products and the company had a 24-hour time rental with a television station to conduct its business, implying that the performance of JKN will improve or price of JKN shares will increase significantly. The posts also included persuasive statements to immediately purchase JKN shares. The published statement of Mr. Jakkaphong may be materially misleading about the business operation, the price of JKN shares or any other information related to JKN in such manner that is likely to have an effect on the price of JKN shares or decision making on JKN shares investment. | 104/2021 | Civil Sanction | 04/06/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 2,000,000.00 Baht
- a reimbursement of investigative expenses in an amount of 166,840.00 Baht | |
| 1262 | 04/06/2021 | Mr. Patinya Dheva-aksorn | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 58/2021 | Civil Sanction | 04/06/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 60,330,000.00 Baht | |
| 1263 | 01/06/2021 | Miss Sani Jiewjinda | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in
her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 58/2021 | Civil Sanction | 01/06/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 7,746,735.00 Baht | |
| 1264 | 01/06/2021 | Mr. Yos Thanarakchoke | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in
her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 58/2021 | Civil Sanction | 01/06/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 5,637,442.50 Baht | |
| 1265 | 20/04/2021 | Mr. Nam Cholsaipan | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 58/2021 | Civil Sanction | 20/04/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 10,530,345.00 Baht | |
| 1266 | 20/04/2021 | Miss Namthip Cholsaipan | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 58/2021 | Civil Sanction | 20/04/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 529,545.00 Baht | |
| 1267 | 19/04/2021 | Mr. Suppawut Maneerin | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 58/2021 | Civil Sanction | 19/04/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 9,989,632.50 Baht | |
| 1268 | 19/04/2021 | Mrs. Nipa Cholsaipan | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 58/2021 | Civil Sanction | 19/04/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 2,865,330.00 Baht | |
| 1269 | 05/04/2021 | Miss Rinnapa Kunawatsatit | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 58/2021 | Civil Sanction | 05/04/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1270 | 05/04/2021 | Global Consumer Public Company Limited (while offending was Nippon Pack (Thailand) Public Company Limited) | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share to rise from 7.75 baht to 15.60 baht. The 13 offenders are (1) Mr. Kiatichai Monsereenusorn, (2) Mr. Nam Cholsaipan, (3) Mr. Suppawut Maneerin, (4) Miss Sani Jiewjinda, (5) Mr. Yos Thanarakchoke, (6) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited), (10) Miss Rinnapa Kunawatsatit, (11) Mr. Patinya Dheva-aksorn, (12) Mrs. Kingkarn Smitananda, and (13) Mr. Praphol Milindachinla.
The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account.
| 58/2021 | Civil Sanction | 05/04/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 23,295,000.00 Baht | |
| 1271 | 01/04/2021 | Miss KEEYAPAT SOMSAN | | | | Administrative Orders | Revocation | Effective Date 01/04/2021 to 16/06/2025 |
| 1272 | 23/03/2021 | Mr.Jirawat Nooritanon | 307 311 312 and 281/2 paragraph 2 in conjunction with 89/24 in conjunction with Section 83 and 91 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht. | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1273 | 23/03/2021 | Mr.Wanlop Thianthong | 307 311 312 and 281/2 paragraph 2 in conjunction with 89/24 in conjunction with Section 83 and 91 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht. | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1274 | 23/03/2021 | Thai Bio Innovation Co., Ltd. (“Thai Bio”) | 307 311 312 315 in conjunction with 86 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht. | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1275 | 23/03/2021 | Mr.Pollapat Srivisanwong | 307 311 312 315 in conjunction with 86 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht. | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1276 | 23/03/2021 | Isan Palm Industry Development Co., Ltd. | 307 311 312 315 in conjunction with 86 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht. | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1277 | 23/03/2021 | Unity Palm Oil Co., Ltd. | 307 311 312 315 in conjunction with 86 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht. | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1278 | 23/03/2021 | Mr. Borom Engchuan | 307 311 312 315 in conjunction with 86 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1279 | 23/03/2021 | GI Green Palm Oil CO., LTD. | 307 311 312 315 in conjunction with 86 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht. | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1280 | 23/03/2021 | Mrs. Tanipa Puangjumpa | 307 311 312 315 in conjunction with 86 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht. | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1281 | 23/03/2021 | OPG Tech CO., LTD. | 307 311 312 315 in conjunction with 86 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht. | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1282 | 23/03/2021 | Mr. Zait Pattanamas | 307 311 312 315 in conjunction with 86 of Penal Code / SEC Act | During 2014 - 2018, Mr.Jirawat Nooritanon, Managing Director of Global Green Chemicals Public Company Limited ("GGC"), and Mr.Wanlop Thianthong, Vice President, Marketing, Commercial and Supply of GGC, with assistance or facilitation of 9 suppliers, namely (1) Anatta Green Co., Ltd. (currently named Thai Bio Innovation Co., Ltd.), (2) Mr.Pollapat Srivisanwong, (3) Isan Palm Industry Development Co., Ltd., (4) Unity Palm Oil Co., Ltd., (5) Mr. Borom Engchuan, (6) GI Green Palm Oil CO., LTD., (7) Mrs. Tanipa Puangjumpa, (8) OPG Tech CO., LTD., and (9) Mr. Zait Pattanamas, proceeded GGC to purchase raw materials and pay the distributors for the purchase in full without receiving all of the raw materials or receiving only part of it. However, GGC recorded in its accounting system that the raw materials were completely received. In addition, Jirawat and Wanlop proceeded GGC to hire a supplier to distill its raw materials, but there is no actual distillation. That was deemed a dishonest act and caused damage to GGC at the total value of 2,157 million Baht. | 061/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1283 | 17/03/2021 | Dimet (Siam) Public Company Limited. | 33 / SEC Act | On 10 February, 2020, Dimet (Siam) Public Company Limited offer for sale newly issued securities in the category of shares (Private Placement) without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 1/2564 | |
| 1284 | 16/02/2021 | Mr.Pongsak Lothongkam | 242 (1) / SEC Act (the fifth amendment) | During June 2018, Mr.Pongsak Lothongkam while being chief executive officer, director and managing director of SVI Public Company Limited (SVI), knew or possesed the inside information about an increase of the net profit in the financial statements of Q2/2018. Subsequently, on 25 June 2018 to 17 July 2018, Mr. Pongsak colluded with Miss Nontiya Ponlawat to commit offense in using Eagle Mount Asia Equities Limited’s securities trading account to purchase 23,951,000 of SVI shares in such a way as to take advantage of other persons before SVI disclosed the inside information to the public on 10 August 2018. | 19/2021 | Civil Sanction | 16/02/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 16,643,072.00 Baht
- a civil monetary penalty of 20,803,840.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 16/02/2021 and 15/02/2022
- a bar from serving as a director or executive in a securities company between 16/02/2021 and 15/02/2022
- a reimbursement of investigative expenses in an amount of 191,671.00 Baht | |
| 1285 | 16/02/2021 | Miss Nontiya Ponlawat | 242 (1) / SEC Act (the fifth amendment) | During June 2018, Mr.Pongsak Lothongkam while being chief executive officer, director and managing director of SVI Public Company Limited (SVI), knew or possesed the inside information about an increase of the net profit in the financial statements of Q2/2018. Subsequently, on 25 June 2018 to 17 July 2018, Mr. Pongsak colluded with Miss Nontiya Ponlawat to commit offense in using Eagle Mount Asia Equities Limited’s securities trading account to purchase 23,951,000 of SVI shares in such a way as to take advantage of other persons before SVI disclosed the inside information to the public on 10 August 2018. | 19/2021 | Civil Sanction | 16/02/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 16/02/2021 and 15/10/2021
- a bar from serving as a director or executive in a securities company between 16/02/2021 and 15/10/2021
- a reimbursement of investigative expenses in an amount of 191,671.00 Baht | |
| 1286 | 29/01/2021 | Mr PUSIT KAEWMONGKOLSRI | | Pusit failed to perform duties with loyalty because of taking important information and business secrets of the company without approval. | 16/2021 | Administrative Orders | Suspension | Effective Date 29/01/2021 to 28/01/2025 |
| 1287 | 28/01/2021 | Devere & Partners (Thailand) Ltd. | 90 / SEC Act | Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 17/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official of Economic Crime Suppression Division. | |
| 1288 | 28/01/2021 | Broadgate Mutual Fund Brokerage Securities (Thailand) Co., Ltd. | 90 / SEC Act | Broadgate Mutual Fund Brokerage Securities (Thailand) Co., Ltd. (Broadgate) (current name: Broadgate (Thailand) Co., Ltd.) colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 17/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official of Economic Crime Suppression Division. | |
| 1289 | 28/01/2021 | Mr. Fredrick Ian McIntyre | 90 / SEC Act | Mr. Fredrick Ian McIntyre colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 17/2021 | Criminal Complaints | This case is in the process of inquiry by the inquiry official of Economic Crime Suppression Division. | |
| 1290 | 27/01/2021 | Miss Walailuck Pathomrungsiyunggul | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | During 5 February to 22 February 2018, Miss Walailuck Pathomrungsiyunggul aided or abetted Ms. Chantip Vanich, who knew or possesed the inside information about an increase of the net profit in the financial statements of 2017, by allowing Ms.Chantip to use her securities’ s trading account to purchased Univanich Palm Oil Public Company Limited (UVAN) shares in such a way as to take advantage of other persons before UVAN disclosed the inside information to the public on 23 February 2018.
| 240/2020 | Civil Sanction | 27/01/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 27/01/2021 and 26/10/2021
- a bar from serving as a director or executive in a securities company between 27/01/2021 and 26/10/2021
- a reimbursement of investigative expenses in an amount of 121,980.00 Baht | |
| 1291 | 13/01/2021 | Ms. Chantip Vanich | 242 (1) / SEC Act (the fifth amendment) | During December 2017 to February 2018, Ms. Chantip Vanich while being a director of Univanich Palm Oil Public Company Limited (UVAN), knew or possesed the inside information about an increase of the net profit in the financial statements of 2017. Subsequently, on 27 December 2017 to 22 February 2018, Ms. Chantip using Miss Amornrat Kasemsakdakorn and Miss Walailuck Pathomrungsiyunggul’s securities trading account to puschased 1,286,700 of UVAN shares in such a way as to take advantage of other persons before UVAN disclosed the inside information to the public on 23 February 2018. In addition, during July to August 2018, Ms. Chantip knew or possesed the inside information about the net profit significantly decrease in financial statements of Q2/2018. Subsequently, on 12 July 2018 to 10 August 2018, Ms. Chantip using Miss Amornrat Kasemsakdakorn’s securities trading account to sold 314,500 of UVAN shares before UVAN disclosed the inside information to the public on 14 August 2018, as a result Ms.Chantip avoided a net loss from the decrease of UVAN shares prices. | 240/2020 | Civil Sanction | 13/01/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,361,430.00 Baht
- a civil monetary penalty of 1,905,262.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 13/01/2021 and 12/03/2022
- a bar from serving as a director or executive in a securities company between 13/01/2021 and 12/03/2022
- a reimbursement of investigative expenses in an amount of 121,980.00 Baht | |
| 1292 | 13/01/2021 | Miss Amornrat Kasemsakdakorn | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | (1) During 27 December 2017 to 6 February 2018, Miss Amornrat Kasemsakdakorn aided or abetted Ms. Chantip Vanich, who knew or possesed the inside information about an increase of the net profit in the financial statements of 2017, by allowing Ms.Chantip to use her securities’ s trading account to purchased Univanich Palm Oil Public Company Limited (UVAN) shares in such a way as to take advantage of other persons before UVAN disclosed the inside information to the public on 23 February 2018.
(2) During 12 July to 10 August 2018, Miss Amornrat Kasemsakdakorn aided or abetted Ms. Chantip Vanich, who knew or possesed the inside information about net profit significantly decrease in financial statements of Q2/2018, by allowing Ms.Chantip to use her securities’ s trading account to sold UVAN shares before UVAN disclosed the inside information to the public on 14 August 2018, so Ms.Chantip avoided a net loss from the decrease of UVAN shares prices.
| 240/2020 | Civil Sanction | 13/01/2021 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 13/01/2021 and 12/10/2021
- a bar from serving as a director or executive in a securities company between 13/01/2021 and 12/10/2021
- a reimbursement of investigative expenses in an amount of 121,980.00 Baht | |
| 1293 | 12/01/2021 | Mr SOMCHAI POUNGRAYAR | | committed wrongful acts against the investor’s assets and failed to perform duties responsibly with professional due care | 7/2021 | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 12/01/2021 to 11/09/2025 |
| 1294 | 30/12/2020 | Miss DUANGTHIP CHANPRASITPON | | | 243/2020 | Administrative Orders | Revocation | Effective Date 30/12/2020 to 29/12/2030 |
| 1295 | 30/12/2020 | Miss JAREEPORN AIEWSUWAN | | | 242/2020 | Administrative Orders | Revocation | Effective Date 30/12/2020 to 29/08/2027 |
| 1296 | 29/12/2020 | Mr. Winyoo Amnuaysombat | 243(1) in conjunction with 244(1)(2)(3) / SEC Act | On dated 17 November, 2014 Mr. Winyoo Amnuaysombat, Mr. Thanadech Srinarong, Miss Naruedee Kiaoying and Mr. Nithis Sillamus colluded and divided duties with each other to sell and purchase Asia Corporate Development Public Company Limited (ACD) shares continuously in a way of concealment so as to mislead general public regarding the price or volume of ACD shares. Consequently, the conduct of them affected the price or volume of Aira shares to be inconsistent with the normal market condition. | 241/2020 | Criminal Complaints | This case is in the process of inquiry by the inquiry official of Economic Crime Suppression Division. | |
| 1297 | 29/12/2020 | Mr. Nithis Sillamus | 243(1) in conjunction with 244(1)(2)(3) / SEC Act | On dated 17 November, 2014 Mr. Nithis Sillamus, Mr. Thanadech Srinarong, Miss Naruedee Kiaoying, and Mr. Winyoo Amnuaysombat colluded and divided duties with each other to sell and purchase Asia Corporate Development Public Company Limited (ACD) shares continuously in a way of concealment so as to mislead general public regarding the price or volume of ACD shares. Consequently, the conduct of them affected the price or volume of Aira shares to be inconsistent with the normal market condition. | 241/2020 | Criminal Complaints | This case is in the process of inquiry by the inquiry official of Economic Crime Suppression Division. | |
| 1298 | 29/12/2020 | Miss Naruedee Kiaoying | 243(1) in conjunction with 244(1)(2)(3) / SEC Act | On dated 7 November, 2014 Miss Naruedee Kiaoying and Mr. Thanadech Srinarong and dated 17 November, 2014 Miss Naruedee Kiaoying , Mr. Thanadech Srinarong, Mr. Nithis Sillamus and Mr. Winyoo Amnuaysombat colluded and divided duties with each other to sell and purchase Asia Corporate Development Public Company Limited (ACD) shares continuously in a way of concealment so as to mislead general public regarding the price or volume of ACD shares. Consequently, the conduct of them affected the price or volume of Aira shares to be inconsistent with the normal market condition. | 241/2020 | Criminal Complaints | This case is in the process of inquiry by the inquiry official of Economic Crime Suppression Division. | |
| 1299 | 29/12/2020 | Mr. Thanadech Srinarong | 243(1) in conjunction with 244(1)(2)(3) / SEC Act | On dated 7 November, 2014 Mr. Thanadech Srinarong and Miss Naruedee Kiaoying and dated 17 November, 2014 Mr. Thanadech Srinarong, Miss Naruedee Kiaoying, Mr. Nithis Sillamus and Mr. Winyoo Amnuaysombat colluded and divided duties with each other to sell and purchase Asia Corporate Development Public Company Limited (ACD) shares continuously in a way of concealment so as to mislead general public regarding the price or volume of ACD shares. Consequently, the conduct of them affected the price or volume of Aira shares to be inconsistent with the normal market condition. | 241/2020 | Criminal Complaints | This case is in the process of inquiry by the inquiry official of Economic Crime Suppression Division. | |
| 1300 | 22/12/2020 | Director, Manager or Person being responsible for keeping the private key | 85 and 87 / DAB Act | Since April 2020, director, manager or person being responsible for keeping the private key of Bitcoin Company Limited ("BX") transferred digital assets of its customers which possessed by BX to other digital wallets that did not for holding customers’ digital assets. Such action causes damage to other persons. | 236/2020 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1301 | 30/11/2020 | Miss Supanee Sukapantavorn | 242 (1) in conjunction with 244 (4) / SEC Act (the fifth amendment) | During the month of January 2017, Mrs.Eng Passakornnatee while being a Vice Chairwoman of the Borads and a Director of Ichitan Group Public Company Limited (ICHI), knew or possessed the inside information that ICHI’s operating net profit decrease in the financial statement of 2016 which significantly fell from the operating net profit of Q4/2014 had a net loss of amount of 55.34 million baht. Subsequently, Mrs.Eng disclosed such insider information to Miss Supanee Sukapantavorn, her sister, even though she knew or should have known that Miss Supanee could possibly use such information for sale ICHI shares. Miss Supanee actually sold 10,263,300 of ICHI shares between January 23, 2017 and February 23, 2017, before the inside information was publicly disclosed on 23 February 2017 (at 20.15 pm.). As a result, Miss Supanee benefited from the ICHI shares sold at the amount of 11,237,810 bath. | 202/2020 | Civil Sanction | 30/11/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 11,237,810.00 Baht
- a civil monetary penalty of 12,923,481.50 Baht
- a bar from serving as a director or executive in a securities issuing company between 30/11/2020 and 29/11/2021
- a bar from serving as a director or executive in a securities company between 30/11/2020 and 29/11/2021
- a reimbursement of investigative expenses in an amount of 105,225.66 Baht | |
| 1302 | 16/11/2020 | Mr.Apichart Sukajirawat | 242 (1) / SEC Act (the fifth amendment) | During the month of January 2017, Mr. Apichart Sukajirawat while being an Assistant Managing Director Accounting and Finance of Ichitan Group Public Company Limited (ICHI), knew or possessed the inside information that ICHI's operating net profit decrease in the financial statement of 2016 which significantly fell from the operating net profit of Q4/2014 had a net loss of amount of 55.34 million baht. Subsequently, During 10 - 20 January 2016, Mr. Apichart sold 3,529,800 of ICHI shares before the inside information was publicly disclosed on 23 February 2017. As a result, Mr. Apichart Sukajirawat benefited from the ICHI shares sold at the amount of 3,579,660 bath. | 202/2020 | Civil Sanction | 16/11/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 3,579,660.00 Baht
- a civil monetary penalty of 4,116,609.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 16/11/2020 and 15/11/2021
- a bar from serving as a director or executive in a securities company between 16/11/2020 and 15/11/2021
- a reimbursement of investigative expenses in an amount of 105,225.66 Baht | |
| 1303 | 09/11/2020 | Mrs.Eng Passakornnatee | 242 (2) and 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | During the month of January 2017, Mrs.Eng Passakornnatee while being a Vice Chairwoman of the Borads and a Director of Ichitan Group Public Company Limited (ICHI), knew or possessed the inside information that ICHI’s operating net profit decrease in the financial statement of 2016 which significantly fell from the operating net profit of Q4/2014 had a net loss of amount of 55.34 million baht. Subsequently, Mrs.Eng disclosed such insider information to Miss Supanee Sukapantavorn, her sister, even though she knew or should have known that Miss Supanee could possibly use such information for sale ICHI shares. In addition Mrs.Eng aided and abetted Miss Supanee sold 10,263,300 of ICHI shares between January 23, 2017 and February 23, 2017, before the inside information was publicly disclosed on 23 February 2017 (at 20.15 pm.). As a result, Miss Supanee benefited from the ICHI shares sold at the amount of 11,237,810 bath. | 202/2020 | Civil Sanction | 09/11/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,000,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 09/11/2020 and 08/11/2021
- a bar from serving as a director or executive in a securities company between 09/11/2020 and 08/11/2021
- a reimbursement of investigative expenses in an amount of 105,225.66 Baht | |
| 1304 | 30/09/2020 | Mr FREDRICK IAN MCINTYRE | | | 183/2020 | Administrative Orders | Revocation | Effective Date 30/09/2020 to 29/09/2028 |
| 1305 | 16/09/2020 | Mr. Eakarat Apiwattanaporn | 241 / SEC Act (before the fifth amendment) | Between 19 February, 2016 to 4 March, 2016, Mr. Eakarat Apiwattanaporn who is the foreign fund manager of UOB Asset Management (Thailand) Co., Ltd. (“UOB”) bought UOB Freehold Eight Thonglor property fund (“UOB8TF”) Units through the securities trading accounts of Mrs. Usuma Sarapoonsup and Miss Thitirat Lohaset by using material information which has not yet been disclosed to the public. Mrs. Usuma and Miss Thitirat rendered assistance to his commission of the offense. | 56/2020, 173/2020 | Civil Sanction | 31/10/2023 The Civil Court delivered a judgement that the defendant had committed an offense under the lawsuit of the plaintiff, and imposed a civil penalty and a compensation at an equal amount to the benefit should have been received from committing the offense in a sum of 558,405 Baht together with 5% p.a. interest calculated from such amount since the date of the entry of the plaint until the payment is made in full. Moreover, the court ordered the defendants to jointly reimburse court fees to the plaintiff and stipulated attorney's fee of 10,000 Baht. 29/08/2022 filed a lawsuit to a civil court 16/09/2020 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of Appeal consideration |
| 1306 | 16/09/2020 | Mrs. Usuma Sarapoonsup | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Mrs. Usuma Sarapoonsup rendered assistance to Mr. Eakarat Apiwattanaporn’s commission of the offense to buy UOB Freehold Eight Thonglor property fund (“UOB8TF”) Units on 19 February, 2016 through the securities trading accounts of Mrs. Usuma by using material information which has not yet been disclosed to the public. | 56/2020, 173/2020 | Civil Sanction | 31/10/2023 The Civil Court delivered a judgement that the defendant had committed an offense under the lawsuit of the plaintiff, and imposed a civil penalty in amount of 333,333.33 Baht. Moreover, the court ordered the defendants to jointly reimburse court fees to the plaintiff and stipulated attorney's fee of 10,000 Baht. 29/08/2022 filed a lawsuit to a civil court 16/09/2020 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of Appeal consideration |
| 1307 | 16/09/2020 | Miss Thitirat Lohaset | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Miss Thitirat Lohaset rendered assistance to Mr. Eakarat Apiwattanaporn’s commission of the offense to buy UOB Freehold Eight Thonglor property fund (“UOB8TF”) Units between 19 February, 2016 to 4 March, 2016 through the securities trading accounts of Miss Thitirat by using material information which has not yet been disclosed to the public. | 56/2020, 173/2020 | Civil Sanction | 31/10/2023 The Civil Court delivered a judgement that the defendant had committed an offense under the lawsuit of the plaintiff, and imposed a civil penalty in amount of 333,333.33 Baht. Moreover, the court ordered the defendants to jointly reimburse court fees to the plaintiff and stipulated attorney's fee of 10,000 Baht. 29/08/2022 filed a lawsuit to a civil court 16/09/2020 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of Appeal consideration |
| 1308 | 16/09/2020 | Miss SARUNYA LEKPET | | on account of having a prohibited characteristic of personnel in the capital market business after her life insurance broker license and life insurance agent license had been revoked by the Office of Insurance Commission (OIC) | 172/2020 | Administrative Orders | Revocation | Effective Date 16/09/2020 to 15/09/2025 |
| 1309 | 11/09/2020 | Mr PASTANADON DECHRATTANATRAKOOL | | | 167/2020 | Administrative Orders | Revocation | Effective Date 11/09/2020 to 10/12/2026 |
| 1310 | 20/08/2020 | PB. Smart Farmer Public Company Limited | 65 / SEC Act | Between August 5, 2019 and May 6, 2020, PB Smart Farmer Public Company Limited (PB Smart), by the Chairman of the Board and the Director of PB Smart, had solicited the public to make an investment with the company based on a scheme of the shares investment package started at 1,000 to 1,000,000 bath with a high return of 5 percent of dividend per week for 95 weeks and the share certificate including a referral bonus 10 percent without filing the registration statement and the draft prospectus to the SEC Office. Such aforesaid conduct of PB Smart was liable to public offering of securities without the effective registration statement and the draft prospectus from the SEC Office in violation of Section 65 and subject to sanctions under Section 276 of the Securities and Exchange Act B.E. 2535 (1992). | 154/2020 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1311 | 20/08/2020 | Mr.Wichan Mek Payap | 300 / SEC Act | Between August 5, 2019 and May 6, 2020, Mr.Wichan Mek Payap a Chairman of the Board and a Director of PB Smart Farmer Public Company Limited (PB Smart), had offered PB Smart shares to the public when the registration statement and the draft prospectus haven’t been filed with the SEC Office which is in violation of Section 300 and Section 276 of the Securities and Exchange Act B.E. 2535 (1992). | 154/2020 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1312 | 18/08/2020 | Mr. Artit Suntawanic | 90 / SEC Act | Mr. Artit Suntawanic alleged offenders in operating securities businesses and derivatives businesses of investment advisory without obtaining license from the SEC by using Facebook account named "Japhoon", in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively. | 151/2020 | Criminal Complaints | This case is in the process of inquiry by the inquiry official of Economic Crime Suppression Division. | |
| 1313 | 08/08/2020 | Mr NATTAPONG SAELEE | | Used eight' investors' money for unit subscription for his own benefit, causing the total damage of 449,500 baht. | 145/2020 | Administrative Orders | Revocation | Effective Date 08/08/2020 to 07/02/2028 |
| 1314 | 07/08/2020 | Mr. Monai Mettkaruchit | 65 / SEC Act | Mr. Monai Mettkaruchit offer for selling the shares of Advance web service public company limited to the public without filing the registration statement and the draft prospectus with the SEC Office. | | Criminal Complaints | The statute of limitations ran out. | |
| 1315 | 07/08/2020 | Mr. Pairat Sampaothong | 65 in conjunction with Section 86 of the Penal Code / SEC Act | Mr. Pairat Sampaothong aided and abeted other person selling the shares of Advance web service public company limited to the public without filing the registration statement and the draft prospectus with the SEC Office. | | Criminal Complaints | The statute of limitations ran out. | |
| 1316 | 07/08/2020 | Mr. Kongkrit Yodyiam | 65 in conjunction with Section 86 of the Penal Code / SEC Act | Mr. Kongkrit Yodyiam aided and abeted other person selling the shares of Advance web service public company limited to the public without filing the registration statement and the draft prospectus with the SEC Office. | | Criminal Complaints | The statute of limitations ran out. | |
| 1317 | 04/08/2020 | Mr SORRAPON POOLSUKKHO | | failed to deliver the unit linked life insurance premium of a client and used the premium money for his own benefit instead. | 141/2020 | Administrative Orders | Revocation | Effective Date 04/08/2020 to 03/08/2025 |
| 1318 | 15/07/2020 | Miss SUPREEYA INTASOPA | | On account of committing wrongful acts against an investor's assets. In this regard, she used the investor's money for unit subscription and redemption for her own benefit, causing the total damage of 6.95 million baht to the investor. | 133/2020 | Administrative Orders | Revocation | Effective Date 15/07/2020 to 14/07/2030 |
| 1319 | 30/06/2020 | Mr. Pete Bodharamik | 247 / SEC Act | On February 20, 2015. Mr. Pete Bodharamik acquires 4,400,000 JAS shares in
Mrs. Saowanit Thanomsuwan’s securities trading account (nominee)which causes him to make
a tender offer for all of JAS shares. However, Mr. Pete fails to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act
B.E. 2535 as he fails to prepare and submit (1) a report of the acquisition of shares in Form 246-2
(2)a statement of intention to make a tender offer in Form 247-3 and (3) an offer document in Form 247-4 to the SEC Office. | | Criminal Fine | imposing a fine of 6,330,000.00 Baht according to 22/2563 | |
| 1320 | 30/06/2020 | Mr. Krirkrai Tribunyatkul | 246 / SEC Act | On October 17, 2016 and May 3, 2017 Mr. Krirkrai Tribunyatkul as a nominee of
Mr. Pete Bodharamik filed reports (Form 246-2) to the SEC Office the acquisition or disposal of Jasmine Telecom Systems Public Company Limited (“JTS”) shares when aggregate holding of JTS in trading account of Mr. Krirkrai and Mr. Soraj Asavaprapa reached or passed five percent of the total number of voting rights of JTS. Such action aided and abetted Mr. Pete
to violate section 246.
| | Criminal Fine | imposing a fine of 129,000.00 Baht according to 21/2563 | |
| 1321 | 30/06/2020 | Mr. Pete Bodharamik | 246 / SEC Act | On December 22, 2015 to February 8, 2017 Mr. Pete Bodharamik acquired of Jasmine Telecom Systems Public Company Limited (“JTS”) shares held by Mr. Krirkrai Tribunyatkul
and Mr. Soraj Asavaprapa which caused his aggregate holding of JTS shares reached or passed five percent of the total number of voting rights of JTS but he failed to reported these acquisition to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office on March 31, 2020 and May 19, 2020 | | Criminal Fine | imposing a fine of 347,700.00 Baht according to 20/2563 | |
| 1322 | 30/06/2020 | Mr. Vorasit Pokachaiyapat | 246 / SEC Act | Mr. Vorasit Pokachaiyapat failed to report the acquisition of Finansa Public Company Limited (“FNS”) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he had acquired FNS shares between December 28, 2012 and December 3, 2019 so that the acquisition of such shares caused his aggregate holding of FNS shares held by himself, and his juristic persons under section 258 to reach or pass a multiple of five percent of the total number of voting rights of the business. | | Criminal Fine | imposing a fine of 131,600.00 Baht according to 19/2563 | |
| 1323 | 19/06/2020 | Mr. Wichai Thavornwattanayong | 311 312 313 in conjunction with Section 83 of the Penal Code / SEC Act | During 2014-2015, Mr. Wichai Thavornwattanayong and Mr. Sittichai Pornsupanan, ex-directors and ex-executives of Inter Far East Energy Corporation Public Company Limited ("IFEC"), with the assistance or facilitation of T&S Inter Product Life Company Limited ("T&S"), Mr. Pannawit Jaturapornsawat who is an authorized director of T&S and Mr. Thanawat Ganthong, proceeded to buy IFEC the shares of CR Solar Company Limited ("CRS") from T&S at 155 million baht, even though IFEC had already agreed with a shareholder of CRS to buy CRS's shares at 142 million baht. As a result, IFEC unreasonably paid T&S for the additional payment of 13 million baht. Moreover, IFEC recorded the value of CRS's shares with the amount of 155 million baht in accounting documents. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to IFEC as well as made false entries in documents of IFEC to deceive any person about the value of CRS's shares. | 119/2020 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1324 | 19/06/2020 | Mr. Sittichai Pornsupanan | 311 312 313 in conjunction with Section 83 of the Penal Code / SEC Act | During 2014-2015, Mr. Wichai Thavornwattanayong and Mr. Sittichai Pornsupanan, ex-directors and ex-executives of Inter Far East Energy Corporation Public Company Limited ("IFEC"), with the assistance or facilitation of T&S Inter Product Life Company Limited ("T&S"), Mr. Pannawit Jaturapornsawat who is an authorized director of T&S and Mr. Thanawat Ganthong, proceeded to buy IFEC the shares of CR Solar Company Limited ("CRS") from T&S at 155 million baht, even though IFEC had already agreed with a shareholder of CRS to buy CRS's shares at 142 million baht. As a result, IFEC unreasonably paid T&S for the additional payment of 13 million baht. Moreover, IFEC recorded the value of CRS's shares with the amount of 155 million baht in accounting documents. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to IFEC as well as made false entries in documents of IFEC to deceive any person about the value of CRS's shares. | 119/2020 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1325 | 19/06/2020 | T&S Inter Product Life Company Limited | 311 312 315 in conjunction with Section 86 of the Penal Code / SEC Act | During 2014-2015, Mr. Wichai Thavornwattanayong and Mr. Sittichai Pornsupanan, ex-directors and ex-executives of Inter Far East Energy Corporation Public Company Limited ("IFEC"), with the assistance or facilitation of T&S Inter Product Life Company Limited ("T&S"), Mr. Pannawit Jaturapornsawat who is an authorized director of T&S and Mr. Thanawat Ganthong, proceeded to buy IFEC the shares of CR Solar Company Limited ("CRS") from T&S at 155 million baht, even though IFEC had already agreed with a shareholder of CRS to buy CRS's shares at 142 million baht. As a result, IFEC unreasonably paid T&S for the additional payment of 13 million baht. Moreover, IFEC recorded the value of CRS's shares with the amount of 155 million baht in accounting documents. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to IFEC as well as made false entries in documents of IFEC to deceive any person about the value of CRS's shares. | 119/2020 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1326 | 19/06/2020 | Mr. Pannawit Jaturapornsawat | 311 312 315 in conjunction with Section 86 of the Penal Code / SEC Act | During 2014-2015, Mr. Wichai Thavornwattanayong and Mr. Sittichai Pornsupanan, ex-directors and ex-executives of Inter Far East Energy Corporation Public Company Limited ("IFEC"), with the assistance or facilitation of T&S Inter Product Life Company Limited ("T&S"), Mr. Pannawit Jaturapornsawat who is an authorized director of T&S and Mr. Thanawat Ganthong, proceeded to buy IFEC the shares of CR Solar Company Limited ("CRS") from T&S at 155 million baht, even though IFEC had already agreed with a shareholder of CRS to buy CRS's shares at 142 million baht. As a result, IFEC unreasonably paid T&S for the additional payment of 13 million baht. Moreover, IFEC recorded the value of CRS's shares with the amount of 155 million baht in accounting documents. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to IFEC as well as made false entries in documents of IFEC to deceive any person about the value of CRS's shares. | 119/2020 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1327 | 19/06/2020 | Mr. Thanawat Ganthong | 311 312 315 in conjunction with Section 86 of the Penal Code / SEC Act | During 2014-2015, Mr. Wichai Thavornwattanayong and Mr. Sittichai Pornsupanan, ex-directors and ex-executives of Inter Far East Energy Corporation Public Company Limited ("IFEC"), with the assistance or facilitation of T&S Inter Product Life Company Limited ("T&S"), Mr. Pannawit Jaturapornsawat who is an authorized director of T&S and Mr. Thanawat Ganthong, proceeded to buy IFEC the shares of CR Solar Company Limited ("CRS") from T&S at 155 million baht, even though IFEC had already agreed with a shareholder of CRS to buy CRS's shares at 142 million baht. As a result, IFEC unreasonably paid T&S for the additional payment of 13 million baht. Moreover, IFEC recorded the value of CRS's shares with the amount of 155 million baht in accounting documents. Therefore, their actions were considered that they acted in order to obtain unlawful gains for himself or another person and caused damage to IFEC as well as made false entries in documents of IFEC to deceive any person about the value of CRS's shares. | 119/2020 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1328 | 08/06/2020 | Energy Earth Public Company Limited | 56(1) / SEC Act | Energy Earth Public Company Limited, failed to prepare and the reviewed financial statements for Q1/2019 to the SEC within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a fine of Baht 60,000 and a further fine of Baht 1,000 each day for 279 days starting from April 1,2010 until January 4,2021 totally 279,000 Baht. The amount of total fine for the accused is 339,000 Baht. Since the accused pled guilty, the Court reduced the fines by half, resulting in a total fine of Baht 169,500 and a further fine of Baht 500 Baht each day starting from January 5, 2021 until the accused filed the financial statement to SEC. | |
| 1329 | 08/06/2020 | Mr. Sawin Chindakul | 300 / SEC Act | Mr. Sawin Chindakul, managing director responsible for the operation of Energy Earth Public Company Limited (“EARTH”) failed to supervise EARTH to prepare and submit the reviewed financial statements for Q1/2019 to the SEC within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a fine of Baht 60,000 and a further fine of Baht 1,000 each day for 279 days starting from April 1,2010 until January 4,2021 totally 279,000 Baht. The amount of total fine for the accused is 339,000 Baht. Since the accused pled guilty, the Court reduced the fines by half, resulting in a total fine of Baht 169,500 and a further fine of Baht 500 Baht each day starting from January 5, 2021 until the accused filed the financial statement to SEC. | |
| 1330 | 29/05/2020 | Mr. Kitti Thanakitamnuay | 242 (2) / SEC Act (the fifth amendment) | during the month of May 2018, Kitti knew or possessed the inside information related to the tender offer of NOBLE shares at 12.25 baht per share, which was higher than the market price. As director and executive of the company at the time, Kitti disclosed such insider information to Kongpat, his nephew-in-law, even though he knew or should have known that Kongpat could possibly use such information for purchasing NOBLE shares. Kongpat actually purchased 4,088,600 NOBLE shares during 4-11 June 2018 before the inside information was publicly disclosed on 12 June 2018. As a result, Kongpat benefited from the NOBLE share purchase at the amount of 7,043,960 baht. | 96/2020 | Civil Sanction | 29/05/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 29/05/2020 and 28/05/2021
- a bar from serving as a director or executive in a securities company between 29/05/2020 and 28/05/2021
- a reimbursement of investigative expenses in an amount of 153,795.00 Baht | |
| 1331 | 29/05/2020 | Mr. Kongpat Jiramaneekul | 242 (1) / SEC Act (the fifth amendment) | during the month of May 2018, Kitti knew or possessed the inside information related to the tender offer of NOBLE shares at 12.25 baht per share, which was higher than the market price. As director and executive of the company at the time, Kitti disclosed such insider information to Kongpat, his nephew-in-law, even though he knew or should have known that Kongpat could possibly use such information for purchasing NOBLE shares. Kongpat actually purchased 4,088,600 NOBLE shares during 4-11 June 2018 before the inside information was publicly disclosed on 12 June 2018. As a result, Kongpat benefited from the NOBLE share purchase at the amount of 7,043,960 baht. | 96/2020 | Civil Sanction | 29/05/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 7,043,960.00 Baht
- a civil monetary penalty of 8,100,554.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 29/05/2020 and 28/05/2021
- a bar from serving as a director or executive in a securities company between 29/05/2020 and 28/05/2021
- a reimbursement of investigative expenses in an amount of 153,795.00 Baht | |
| 1332 | 20/05/2020 | Mr. Jeremy Lechemere King | 285 bis paragraph 4 / SEC Act | Between December 12, 2016 and July 1, 2019, Mr. Jeremy Lechemere King, chief executive officer of Siam Knight Fund Management Securities Co.,Ltd. (“SKFM”), a fund management, failed to order or act his duty resulting in SKFM violation of section 133 paragraph 1 and 2 of the Securities and Exchange Act B.E. 2535. SKFM failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management systems which may cause serious damage to the benefit of the people. | | Criminal Fine | imposing a fine of 375,000.00 Baht according to 18/2563 | |
| 1333 | 20/05/2020 | Mr. Pairat Sampaothong | 65 in conjunction with Section 86 of the Penal Code / SEC Act | Mr. Pairat Sampaothong aided and abeted other person selling the shares of Advance web service public company limited to the public without filing the registration statement and the draft prospectus with the SEC Office. | | Criminal Fine | imposing a fine of 4,131,666.66 Baht according to 17/2563 | Mr. Pairat Sampaothong failed to comply with the order of the Settlement Committee, the SEC therefore filed a criminal complaint against him with the inquiry official. |
| 1334 | 20/05/2020 | Miss NAPASOOK MALAKAM | | on account of committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment | 103/2020 | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 20/05/2020 to 19/05/2030 |
| 1335 | 06/05/2020 | Miss SUNISA YEMSANTEA | | wrongful acts against investor's assets by concealing, dissembling, fabricating false evidence. | 88/2020 | Administrative Orders | Revocation | Effective Date 06/05/2020 to 05/05/2030 |
| 1336 | 15/04/2020 | Mr JEREMY LECHEMERE KING | | Failing to perform duties with loyalty and professional due care, including neglience of duties. | 70/2020 | Administrative Orders | Revocation | Effective Date 15/04/2020 to 14/04/2030 |
| 1337 | 01/04/2020 | Mrs.Chanyarat Sangtong | 241 / SEC Act (before the fifth amendment) | Between 20 August, 2015 to 11 December, 2015, Mrs.Chanyarat Sangtong who involved in the UOB Freehold Eight Thonglor property fund (“UOB8TF”) bought UOB8TF Units by using material information which has not yet been disclosed to the public. | 56/2020 | Civil Sanction | 01/04/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 796,360.00 Baht
- a civil monetary penalty of 915,814.00 Baht | |
| 1338 | 31/03/2020 | Mr. Woraphant Chontong | 242 (1) and 242 (2) / SEC Act (the fifth amendment) | Mr. Woraphant Chontong while being a director, executive director and senior executive vice president of financial and administration division of Sino-Thai Engineering and Construction Public Company Limited (STEC), knew or possesed the inside information that the financial statements of 2017 had a net loss of amount of 610.83 millions bath. Subsequently, on 16 January 2018, Mr. Worraphant sold 1,121,000 of STEC shares in Miss Preeya's securities trading account, his subordinate by using inside information, prior to the disclosure of such information to the public on 15 February 2018, so Mr. Woraphant avoided a net loss from the decrease of STEC shares prices. In addition Mr. Woraphant discloses inside information to Miss Sasipas Chontong, while he knows or ought reasonably to know that the receiver of such information may exploit such information for trading securities. | 55/2020 | Civil Sanction | 31/03/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 4,820,300.00 Baht
- a civil monetary penalty of 6,525,375.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 31/03/2020 and 30/05/2022
- a bar from serving as a director or executive in a securities company between 31/03/2020 and 30/05/2022
- a reimbursement of investigative expenses in an amount of 48,725.00 Baht | |
| 1339 | 31/03/2020 | Miss Preeya Wongsongja | 315 in conjunction with 242 (1) / SEC Act (the fifth amendment) | Mr. Woraphant Chontong while being a director, executive director and senior executive vice president of financial and administration division of Sino-Thai Engineering and Construction Public Company Limited (STEC), knew or possesed the inside information that the financial statements of 2017 had a net loss of amount of 610.83 millions bath. Subsequently, on 16 January 2018, Mr. Worraphant sold 1,121,000 of STEC shares in Miss Preeya's securities trading account, his subordinate by using inside information, prior to the disclosure of such information to the public on 15 February 2018, so Mr. Woraphant avoided a net loss from the decrease of STEC shares prices. | 55/2020 | Civil Sanction | 31/03/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 31/03/2020 and 30/12/2020
- a bar from serving as a director or executive in a securities company between 31/03/2020 and 30/12/2020
- a reimbursement of investigative expenses in an amount of 48,725.00 Baht | |
| 1340 | 31/03/2020 | Miss Sasipas Chontong | 242 (1) / SEC Act (the fifth amendment) | Miss Sasipas Chontong knew or possesed the inside information related to the financial statements of 2017 had a net loss of amount of 610.83 millions bath which disclosed to her by Mr. Woraphant Chontong, her father, who was a director, executive director and senior executive vice president of financial and administration division of Sino-Thai Engineering and Construction Public Company Limited (STEC). Subsequently, on 19 January 2018, sold 91,900 of STEC shares in the her securities trading account by using inside information prior to the disclosure such information to the public on 15 February 2018, so Miss Preeya avoided a net loss from the decrease of STEC shares prices. | 55/2020 | Civil Sanction | 31/03/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 283,270.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 31/03/2020 and 30/03/2021
- a bar from serving as a director or executive in a securities company between 31/03/2020 and 30/03/2021
- a reimbursement of investigative expenses in an amount of 48,725.00 Baht | |
| 1341 | 17/03/2020 | Miss NUCHANART KUMLANGSUP | | on account of committing wrongful acts against investors’ assets, causing her to have prohibited characteristics of personnel in the capital market business | 60/2020 | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 17/03/2020 to 16/03/2030 |
| 1342 | 09/03/2020 | Energy Earth Public Company Limited | 56(1)(2)(3)(4) / SEC Act | Energy Earth Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2018, (2) the annual registration statement for the year 2018 (Form 56-1,2018) (3) the annual report for the year 2018 (Form 56-2, 2018), (4) the reviewed financial statements for Q2/2019 to the SEC within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a fine of Baht 1,739,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in a total fine of Baht 869,500 and a further fine of Baht 500 Baht each day starting from January 5, 2021 until the accused filed the financial statement for the year 2018, the Form 56-1 of 2018, the From 56-2 of 2018, the reviewed financial statements for Q2/2019 to SEC respectively. | |
| 1343 | 09/03/2020 | Mr. Sawin Chindakul | 300 / SEC Act | Mr. Sawin Chindakul, managing director responsible for the operation of Energy Earth Public Company Limited (“EARTH”) failed to supervise EARTH to prepare and submit (1) the audited financial statements for the year 2018, (2) the annual registration statement for the year 2018 (Form 56-1,2018) (3) the annual report for the year 2018 (Form 56-2, 2018), (4) the reviewed financial statements for Q2/2019 to the SEC within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a fine of Baht 1,739,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in a total fine of Baht 869,500 and a further fine of Baht 500 Baht each day starting from January 5, 2021 until the accused filed the financial statement for the year 2018, the Form 56-1 of 2018, the From 56-2 of 2018, the reviewed financial statements for Q2/2019 to SEC respectively. | |
| 1344 | 25/02/2020 | Mr CHALERMWUT SONOUP | | Failing to perform duties or giving services with loyalty and consequently causing damage to clients | 32/2020 | Administrative Orders | Revocation | Effective Date 25/02/2020 to 24/02/2025 |
| 1345 | 28/01/2020 | Mr. Sittichai Pornsupanan | 307 311 313 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Sittichai Pornsupanan and Mr. Thanawat Chansuwan, ex-directors and ex-executives of Inter Far East Energy Corporation Public Company Limited ("IFEC"), with the assistance or facilitation of Mrs. Somsri Chukitsomboon and Mr. Apichart Watanaphusitsagul, proceeded to buy IFEC a land together with a 7-floor office building. According to the investigation, we found the convincing fact that IFEC paid the payment of 60 million baht to purchase the land and building. Even though, due to the partial payment of 20 million baht provided for Mr.Sittichai and Mr.Apichart's benefit, the actual price was 40 million baht. Therefore, their acts were considered that they dishonestly violated duties as well as obtained unlawful gains for themselves or another person and caused damage to IFEC. | 17/2020 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1346 | 28/01/2020 | Mr. Thanawat Chansuwan | 307 311 313 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Sittichai Pornsupanan and Mr. Thanawat Chansuwan, ex-directors and ex-executives of Inter Far East Energy Corporation Public Company Limited ("IFEC"), with the assistance or facilitation of Mrs. Somsri Chukitsomboon and Mr. Apichart Watanaphusitsagul, proceeded to buy IFEC a land together with a 7-floor office building. According to the investigation, we found the convincing fact that IFEC paid the payment of 60 million baht to purchase the land and building. Even though, due to the partial payment of 20 million baht provided for Mr.Sittichai and Mr.Apichart's benefit, the actual price was 40 million baht. Therefore, their acts were considered that they dishonestly violated duties as well as obtained unlawful gains for themselves or another person and caused damage to IFEC. | 17/2020 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1347 | 28/01/2020 | Mrs. Somsri Chukitsomboon | 307 311 315 and Section 86 of the Penal Code / SEC Act | Mr. Sittichai Pornsupanan and Mr. Thanawat Chansuwan, ex-directors and ex-executives of Inter Far East Energy Corporation Public Company Limited ("IFEC"), with the assistance or facilitation of Mrs. Somsri Chukitsomboon and Mr. Apichart Watanaphusitsagul, proceeded to buy IFEC a land together with a 7-floor office building. According to the investigation, we found the convincing fact that IFEC paid the payment of 60 million baht to purchase the land and building. Even though, due to the partial payment of 20 million baht provided for Mr.Sittichai and Mr.Apichart's benefit, the actual price was 40 million baht. Therefore, their acts were considered that they dishonestly violated duties as well as obtained unlawful gains for themselves or another person and caused damage to IFEC. | 17/2020 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1348 | 28/01/2020 | Mr. Apichart Watanaphusitsagul | 307 311 315 and Section 86 of the Penal Code / SEC Act | Mr. Sittichai Pornsupanan and Mr. Thanawat Chansuwan, ex-directors and ex-executives of Inter Far East Energy Corporation Public Company Limited ("IFEC"), with the assistance or facilitation of Mrs. Somsri Chukitsomboon and Mr. Apichart Watanaphusitsagul, proceeded to buy IFEC a land together with a 7-floor office building. According to the investigation, we found the convincing fact that IFEC paid the payment of 60 million baht to purchase the land and building. Even though, due to the partial payment of 20 million baht provided for Mr.Sittichai and Mr.Apichart's benefit, the actual price was 40 million baht. Therefore, their acts were considered that they dishonestly violated duties as well as obtained unlawful gains for themselves or another person and caused damage to IFEC. | 17/2020 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1349 | 06/01/2020 | Mr. Adisai Bodharamik | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 13 Nov 2015 to 11 Mar 2016, 4 offenders, namely: Mr. Pete Bodharamik, Mr. Adisai Bodharamik, Mr. Krirkrai Tribunyatkul, Mrs. Saowanit Thanomsuwan and Mr. Phirasak Permboonyarak, colluded with each other to commit offense in using Mr. Krirkrai, Mrs. Saowanit, Mr. Phirasak and Mr.Phattapol Permboonyarak's securities trading account to purchase Jasmine International Public Company Limited ("JAS") shares in order to mislead general public regarding the price of JAS shares that was inconsistent with the normal market conditions. | 189/2019 | Civil Sanction | 06/01/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1350 | 06/01/2020 | Miss VANATSAVADEE PHOTHONG | | had misappropriated clients’ money by withdrawing money from the clients’ banking accounts without executing the transactions that the clients had made. Besides, she made false evidence by forging the clients’ handwriting, subscription orders and switch orders or unitholders’ account books | 2/2020 | Administrative Orders | Revocation | Effective Date 06/01/2020 to 05/01/2030 |
| 1351 | 26/12/2019 | Energy Earth Public Company Limited | 58(1) and 281/10 / SEC Act | Energy Earth Public Company Limited ("EARTH") failed to comply with the instruction of SEC to submit additional reports or documents and concealed material facts that should had been stated, according to the assessment report assigned by EARTH’s business rehabilitation planner (EY Corporate Advisory Services Company Limited), about the existing right of 2 coal mines and the revision of fair value of the right of such coal mines in Indonesia. In addition, 3 directors of EARTH, namely: Mr. Sawin Chindakul, Miss Paradee Teawanitchakul, and Mr. Noppadon Chaidarun, who were responsible for the operation of EARTH, shall be liable for an order or an action which results in the offence that EARTH committed. | 190/2019 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1352 | 26/12/2019 | Mr. Sawin Chindakul | 300 in conjunction with 58(1) and 281/10 / SEC Act | Energy Earth Public Company Limited ("EARTH") failed to comply with the instruction of SEC to submit additional reports or documents and concealed material facts that should had been stated, according to the assessment report assigned by EARTH’s business rehabilitation planner (EY Corporate Advisory Services Company Limited), about the existing right of 2 coal mines and the revision of fair value of the right of such coal mines in Indonesia. In addition, 3 directors of EARTH, namely: Mr. Sawin Chindakul, Miss Paradee Teawanitchakul, and Mr. Noppadon Chaidarun, who were responsible for the operation of EARTH, shall be liable for an order or an action which results in the offence that EARTH committed. | 190/2019 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1353 | 26/12/2019 | Miss Paradee Teawanitchakul | 300 in conjunction with 58(1) and 281/10 / SEC Act | Energy Earth Public Company Limited ("EARTH") failed to comply with the instruction of SEC to submit additional reports or documents and concealed material facts that should had been stated, according to the assessment report assigned by EARTH’s business rehabilitation planner (EY Corporate Advisory Services Company Limited), about the existing right of 2 coal mines and the revision of fair value of the right of such coal mines in Indonesia. In addition, 3 directors of EARTH, namely: Mr. Sawin Chindakul, Miss Paradee Teawanitchakul, and Mr. Noppadon Chaidarun, who were responsible for the operation of EARTH, shall be liable for an order or an action which results in the offence that EARTH committed. | 190/2019 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1354 | 26/12/2019 | Mr. Noppadon Chaidarun | 300 in conjunction with 58(1) and 281/10 / SEC Act | Energy Earth Public Company Limited ("EARTH") failed to comply with the instruction of SEC to submit additional reports or documents and concealed material facts that should had been stated, according to the assessment report assigned by EARTH’s business rehabilitation planner (EY Corporate Advisory Services Company Limited), about the existing right of 2 coal mines and the revision of fair value of the right of such coal mines in Indonesia. In addition, 3 directors of EARTH, namely: Mr. Sawin Chindakul, Miss Paradee Teawanitchakul, and Mr. Noppadon Chaidarun, who were responsible for the operation of EARTH, shall be liable for an order or an action which results in the offence that EARTH committed. | 190/2019 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1355 | 26/12/2019 | Energy Earth Public Company Limited | 240 / SEC Act | On February 7, 2019, Energy Earth Public Company Limited ("EARTH") disseminated information about the value of the right of 2 coal mines in Indonesia according to assessment reports of 2 valuer companies that EARTH claimed that EARTH had assigned by himself. Such information is materially misleading about financial condition, business operation, or any other information in such a manner that is likely to have an effect on EARTH's share price or the decision making on the investment of EARTH's shares. In addition, 3 directors of EARTH, namely: Mr. Sawin Chindakul, Miss Paradee Teawanitchakul, and Mr. Noppadon Chaidarun, who were responsible for the operation of EARTH, shall be liable for an order or an action which results in the offence that EARTH committed. | 190/2019 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1356 | 26/12/2019 | Mr. Sawin Chindakul | 300 in conjunction with 240 / SEC Act | On February 7, 2019, Energy Earth Public Company Limited ("EARTH") disseminated information about the value of the right of 2 coal mines in Indonesia according to assessment reports of 2 valuer companies that EARTH claimed that EARTH had assigned by himself. Such information is materially misleading about financial condition, business operation, or any other information in such a manner that is likely to have an effect on EARTH's share price or the decision making on the investment of EARTH's shares. In addition, 3 directors of EARTH, namely: Mr. Sawin Chindakul, Miss Paradee Teawanitchakul, and Mr. Noppadon Chaidarun, who were responsible for the operation of EARTH, shall be liable for an order or an action which results in the offence that EARTH committed. | 190/2019 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1357 | 26/12/2019 | Miss Paradee Teawanitchakul | 300 in conjunction with 240 / SEC Act | On February 7, 2019, Energy Earth Public Company Limited ("EARTH") disseminated information about the value of the right of 2 coal mines in Indonesia according to assessment reports of 2 valuer companies that EARTH claimed that EARTH had assigned by himself. Such information is materially misleading about financial condition, business operation, or any other information in such a manner that is likely to have an effect on EARTH's share price or the decision making on the investment of EARTH's shares. In addition, 3 directors of EARTH, namely: Mr. Sawin Chindakul, Miss Paradee Teawanitchakul, and Mr. Noppadon Chaidarun, who were responsible for the operation of EARTH, shall be liable for an order or an action which results in the offence that EARTH committed. | 190/2019 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1358 | 26/12/2019 | Mr. Noppadon Chaidarun | 300 in conjunction with 240 / SEC Act | On February 7, 2019, Energy Earth Public Company Limited ("EARTH") disseminated information about the value of the right of 2 coal mines in Indonesia according to assessment reports of 2 valuer companies that EARTH claimed that EARTH had assigned by himself. Such information is materially misleading about financial condition, business operation, or any other information in such a manner that is likely to have an effect on EARTH's share price or the decision making on the investment of EARTH's shares. In addition, 3 directors of EARTH, namely: Mr. Sawin Chindakul, Miss Paradee Teawanitchakul, and Mr. Noppadon Chaidarun, who were responsible for the operation of EARTH, shall be liable for an order or an action which results in the offence that EARTH committed. | 190/2019 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1359 | 09/12/2019 | Mr. Atthawit Thianwiwat | 242 (1) / SEC Act (the fifth amendment) | Mr. Atthawit Thianwiwat is brother of Miss Panjama Thienwiwat, the insider of a subsidiary of Thai Rubber Latex Corporation (Thailand) Public Company Limited ("TRUBB"). Mr. Atthawit knew the inside information about an increase of the net profit of TRUBB and subsidiaries between January to February 2017 and January to March of 2017 from Miss Panjama. Subsequently Mr. Atthawit purchased TRUBB shares by using his securities trading account during 24 March to 5 May 2017 before TRUBB disclosed the inside information in the financial statements and reports of the 1st quarter of 2017 to the public on 9 May 2017. Later Mr. Atthawit sold TRUBB shares for making profit. | 172/2019 | Civil Sanction | 09/12/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 702,262.00 Baht
- a civil monetary penalty of 807,601.30 Baht
- a bar from serving as a director or executive in a securities issuing company between 09/12/2019 and 08/12/2020
- a bar from serving as a director or executive in a securities company between 09/12/2019 and 08/12/2020
- a reimbursement of investigative expenses in an amount of 206,806.33 Baht | |
| 1360 | 09/12/2019 | Mr. Pete Bodharamil | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 13 Nov 2015 to 11 Mar 2016, 4 offenders, namely: Mr. Pete Bodharamik, Mr. Adisai Bodharamik, Mr. Krirkrai Tribunyatkul, Mrs. Saowanit Thanomsuwan and Mr. Phirasak Permboonyarak, colluded with each other to commit offense in using Mr. Krirkrai, Mrs. Saowanit, Mr. Phirasak and Mr.Phattapol Permboonyarak's securities trading account to purchase Jasmine International Public Company Limited ("JAS") shares in order to mislead general public regarding the price of JAS shares that was inconsistent with the normal market conditions. | 150/2019 | Civil Sanction | 09/12/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 114,375,094.00 Baht | |
| 1361 | 04/12/2019 | Mrs. Thiphawan Suthathipkun | 242 (1) / SEC Act (the fifth amendment) | Mrs. Thiphawan Suthathipkun held more than 5 percent of TRUBB’s shares, a wife and mother of a director and executive of Thai Rubber Latex Corporation (Thailand) Public Company Limited ("TRUBB"). Mrs. Thiphawan knew the inside information about an increase of the net profit of TRUBB and subsidiaries between January to February 2017 and January to March of 2017. Subsequently Mrs. Thiphawan purchased TRUBB shares by using her securities trading account on 8 May 2017 before TRUBB disclosed the inside information in the financial statements and reports of the 1st quarter of 2017 to the public on 9 May 2017. Later Mrs. Thiphawan sold TRUBB shares for making profit. | 172/2019 | Civil Sanction | 04/12/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 634,900.00 Baht
- a civil monetary penalty of 730,135.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 04/12/2019 and 03/12/2020
- a bar from serving as a director or executive in a securities company between 04/12/2019 and 03/12/2020
- a reimbursement of investigative expenses in an amount of 206,806.33 Baht | |
| 1362 | 03/12/2019 | Mrs. Phenchan Yongvongphaiboon | 242 (1) and 297 para.2 / SEC Act (the fifth amendment) | In June, 2017, Mrs. Phenchan Yongvongphaiboon, director and vice managing president of Asia Metal Public Limited Company ("AMC"), knew the material information that the financial statements, the 2nd quarter of 2017, had a net loss of amount of 90.40 millions bath. During 14 to 26 July 2017, Mrs. Phenchan sold shares of AMC amount of 1,000,000 shares in the Mr. Pichit Chatskulwong's account, her husband's friend, by using material information to changes in the prices of securities, prior to disclosure such information to the public on 11 August, 2017, so Mrs. Phenchan avoided a net loss from the prices of securities of AMC were decreased. | 171/2019 | Civil Sanction | 03/12/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 896,920.00 Baht
- a civil monetary penalty of 1,121,150.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 03/12/2019 and 02/02/2021
- a bar from serving as a director or executive in a securities company between 03/12/2019 and 02/02/2021
- a reimbursement of investigative expenses in an amount of 121,967.50 Baht | |
| 1363 | 03/12/2019 | Mr. Pichit Chatskulwong | 315 in conjunction with 242 (1) and 297 para.1 / SEC Act (the fifth amendment) | In June, 2017, Mrs. Phenchan Yongvongphaiboon, director and vice managing president of Asia Metal Public Limited Company ("AMC"), knew the material information that the financial statements, the 2nd quarter of 2017, had a net loss of amount of 90.40 millions bath. During 14 to 26 July 2017, Mrs. Phenchan sold shares of AMC amount of 1,000,000 shares in the Mr. Pichit Chatskulwong's account, her husband's friend, by using material information to changes in the prices of securities, prior to disclosure such information to the public on 11 August, 2017, so Mrs. Phenchan avoided a net loss from the prices of securities of AMC were decreased. | 171/2019 | Civil Sanction | 03/12/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 03/12/2019 and 02/09/2020
- a bar from serving as a director or executive in a securities company between 03/12/2019 and 02/09/2020
- a reimbursement of investigative expenses in an amount of 121,967.50 Baht | |
| 1364 | 02/12/2019 | Mr. Pete Bodharamil | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 25 Aug 2015 to 22 Dec 2015, 5 offenders, namely: Mr. Pete Bodharamil, Mrs. Saowanit Thanomsuwan, Mrs. Lalana Tharasuk, Miss Promsiri Sahaboontham and Mr. Phirasak Permboonyarak, colluded with each other to commit offense in using their and Mr.Phattapol Permboonyarak's securities trading account to purchase Mono Technology Public Company Limited ("MONO") shares in order to mislead general public regarding the price of MONO shares that was inconsistent with the normal market conditions.
| 150/2019 | Civil Sanction | 02/12/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 42,236,447.00 Baht | |
| 1365 | 28/11/2019 | Miss Panjama Thienwiwat | 242 (1) and 242 (2) / SEC Act (the fifth amendment) | Miss Panjama Thienwiwat while being an assistant managing director of a subsidiary of Thai Rubber Latex Corporation (Thailand) Public Company Limited ("TRUBB"), knew the inside information about an increase of the net profit of TRUBB and subsidiaries between January to February 2017 and January to March of 2017 by virtue of her position. Subsequently Miss Panjama purchased TRUBB shares by using her securities trading account during 30 March to 26 April 2017, prior to the disclosure of the inside information about the financial statements and reports of the 1st quarter of 2017 to the public on 9 May 2017. Later she sold TRUBB shares for profit.
In addition Miss Panjama discloses inside information to Mr. Atthawit Thianwiwat, while knows or ought reasonably to know that the receiver of such information may exploit such information for trading securities.
| 172/2019 | Civil Sanction | 28/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 103,650.00 Baht
- a civil monetary penalty of 1,000,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 28/11/2019 and 27/11/2021
- a bar from serving as a director or executive in a securities company between 28/11/2019 and 27/11/2021
- a reimbursement of investigative expenses in an amount of 206,806.33 Baht | |
| 1366 | 26/11/2019 | Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited | 113 / SEC Act | Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1367 | 26/11/2019 | Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited | 115 / SEC Act | Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and sufficient personnel to be able to operate the investment advisory service business efficiently. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1368 | 26/11/2019 | Mr. Fredrick Ian Mcintyre | 283 / SEC Act | Mr. Fredrick Ian Mcintyre, the former director of Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited (Broadgate) responsible for the operation of Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide a structure for managing, the work system including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently that violate section 113 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick shall be liable for the punishment under Paragraph 1 of Section 283 of the SEA amended by the Securities and Exchange Act (No. 6) B.E. 2562. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1369 | 26/11/2019 | Mr. Fredrick Ian Mcintyre | 283 / SEC Act | Mr. Fredrick Ian Mcintyre, the former director of Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited (Broadgate) responsible for the operation of Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel to be able to operate the investment advisory service business efficiently that violate section 115 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick shall be liable for the punishment under Paragraph 1 of Section 283 of the SEA amended by the Securities and Exchange Act (No. 6) B.E. 2562. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1370 | 20/11/2019 | Mr. Soraj Rojanabenjakul | 300 in conjunction with 33 / SEC Act | Mr. Soraj Rojanabenjakul , Chief Executive Officer and Chairman of the Executive Committee of Meta Corporation Public Company Limited (or Vintage Engineering Public Company Limited) (“VTE”) responsible for the operation of VTE shall be liable for section 300, 33(2) and section 35 of The Securities and Exchange Act of Thailand B.E. 2535 (1992). In case of VTE offer for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC on 11 October, 2017. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 18/2562 | |
| 1371 | 20/11/2019 | Mr. Soraj Rojanabenjakul | 300 in conjunction with 33 / SEC Act | Mr. Soraj Rojanabenjakul , Chairman of the Executive Committee of Meta Corporation Public Company Limited (or Vintage Engineering Public Company Limited) (“VTE”) responsible for the operation of VTE shall be liable for section 300, 33(2) and section 35 of The Securities and Exchange Act of Thailand B.E. 2535 (1992). In case offer for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC on 7 March, 2018. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 18/2562 | |
| 1372 | 20/11/2019 | Meta Corporation Public Company Limited | 33 / SEC Act | On 11 October, 2017 Meta Corporation Public Company Limited (or Vintage Engineering Public Company Limited) offer for sale newly issued securities in the category of shares (Private Placement) without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 17/2562 | |
| 1373 | 20/11/2019 | Meta Corporation Public Company Limited | 33 / SEC Act | On 7 March, 2018 Meta Corporation Public Company Limited (or Vintage Engineering Public Company Limited) offer for sale newly issued securities in the category of shares (Private Placement) without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 17/2562 | |
| 1374 | 07/11/2019 | Mr. Krirkrai Tribunyatkul | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 13 Nov 2015 to 11 Mar 2016, 4 offenders, namely: Mr. Pete Bodharamik, Mr. Adisai Bodharamik, Mr. Krirkrai Tribunyatkul, Mrs. Saowanit Thanomsuwan and Mr. Phirasak Permboonyarak, colluded with each other to commit offense in using Mr. Krirkrai, Mrs.Saowanit, Mr. Phirasak and Mr.Phattapol Permboonyarak's securities trading account to purchase Jasmine International Public Company Limited ("JAS") shares in order to mislead general public regarding the price of JAS shares that was inconsistent with the normal market conditions. | 150/2019 | Civil Sanction | 07/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1375 | 07/11/2019 | Mrs. Saowanit Thanomsuwan | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 13 Nov 2015 to 11 Mar 2016, 4 offenders, namely: Mr. Pete Bodharamik, Mr. Adisai Bodharamik, Mr. Krirkrai Tribunyatkul, Mrs. Saowanit Thanomsuwan and Mr. Phirasak Permboonyarak, colluded with each other to commit offense in using Mr. Krirkrai, Mrs. Saowanit, Mr. Phirasak and Mr.Phattapol Permboonyarak's securities trading account to purchase Jasmine International Public Company Limited ("JAS") shares in order to mislead general public regarding the price of JAS shares that was inconsistent with the normal market conditions. | 150/2019 | Civil Sanction | 07/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1376 | 07/11/2019 | Mr. Phirasak Permboonyarak | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 13 Nov 2015 to 11 Mar 2016, 4 offenders, namely: Mr. Pete Bodharamik, Mr. Adisai Bodharamik, Mr. Krirkrai Tribunyatkul, Mrs. Saowanit Thanomsuwan and Mr. Phirasak Permboonyarak, colluded with each other to commit offense in using Mr. Krirkrai, Mrs. Saowanit, Mr. Phirasak and Mr.Phattapol Permboonyarak's securities trading account to purchase Jasmine International Public Company Limited ("JAS") shares in order to mislead general public regarding the price of JAS shares that was inconsistent with the normal market conditions. | 150/2019 | Civil Sanction | 07/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1377 | 07/11/2019 | Mrs. Saowanit Thanomsuwan | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 25 Aug 2015 to 22 Dec 2015, 5 offenders, namely: Mr. Pete Bodharamil, Mrs. Saowanit Thanomsuwan, Mrs. Lalana Tharasuk, Miss Promsiri Sahaboontham and Mr. Phirasak Permboonyarak, colluded with each other to commit offense in using their and Mr.Phattapol Permboonyarak's securities trading account to purchase Mono Technology Public Company Limited ("MONO") shares in order to mislead general public regarding the price of MONO shares that was inconsistent with the normal market conditions. | 150/2019 | Civil Sanction | 07/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1378 | 07/11/2019 | Mrs. Lalana Tharasuk | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 25 Aug 2015 to 22 Dec 2015, 5 offenders, namely: Mr. Pete Bodharamil, Mrs. Saowanit Thanomsuwan, Mrs. Lalana Tharasuk, Miss Promsiri Sahaboontham and Mr. Phirasak Permboonyarak, colluded with each other to commit offense in using their and Mr.Phattapol Permboonyarak's securities trading account to purchase Mono Technology Public Company Limited ("MONO") shares in order to mislead general public regarding the price of MONO shares that was inconsistent with the normal market conditions. | 150/2019 | Civil Sanction | 07/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1379 | 07/11/2019 | Miss Promsiri Sahaboontham | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 25 Aug 2015 to 22 Dec 2015, 5 offenders, namely: Mr. Pete Bodharamil, Mrs. Saowanit Thanomsuwan, Mrs. Lalana Tharasuk, Miss Promsiri Sahaboontham and Mr. Phirasak Permboonyarak, colluded with each other to commit offense in using their and Mr.Phattapol Permboonyarak's securities trading account to purchase Mono Technology Public Company Limited ("MONO") shares in order to mislead general public regarding the price of MONO shares that was inconsistent with the normal market conditions. | 150/2019 | Civil Sanction | 07/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1380 | 07/11/2019 | Mr. Phirasak Permboonyarak | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 25 Aug 2015 to 22 Dec 2015, 5 offenders, namely: Mr. Pete Bodharamil, Mrs. Saowanit Thanomsuwan, Mrs. Lalana Tharasuk, Miss Promsiri Sahaboontham and Mr. Phirasak Permboonyarak, colluded with each other to commit offense in using their and Mr.Phattapol Permboonyarak's securities trading account to purchase Mono Technology Public Company Limited ("MONO") shares in order to mislead general public regarding the price of MONO shares that was inconsistent with the normal market conditions. | 150/2019 | Civil Sanction | 07/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1381 | 06/11/2019 | Miss Nida Sae-Lee | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 7 January 2015 to 27 March 2015, Miss Nida Sae-Lee, Mrs. Darat Phatiwut, Mr. Pruchya Kiatkittikul, Miss Varaporn Ngamsettamas, Miss Werawan Taratipmont, and Mrs. Lada Taratipmont (deceased) colluded and divided duties with each other to sell and purchase Aira Capital Public Company Limited ("AIRA") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of Aira shares. Consequently, the conduct of them affected the price or volume of Aira shares to be inconsistent with the normal market condition. | 151/2019 | Civil Sanction | 06/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 690,884.17 Baht | |
| 1382 | 06/11/2019 | Mrs. Darat Phatiwut | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 7 January 2015 to 27 March 2015, Miss Nida Sae-Lee, Mrs. Darat Phatiwut, Mr. Pruchya Kiatkittikul, Miss Varaporn Ngamsettamas, Miss Werawan Taratipmont, and Mrs. Lada Taratipmont (deceased) colluded and divided duties with each other to sell and purchase Aira Capital Public Company Limited ("AIRA") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of Aira shares. Consequently, the conduct of them affected the price or volume of Aira shares to be inconsistent with the normal market condition. | 151/2019 | Civil Sanction | 06/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 690,884.17 Baht | |
| 1383 | 06/11/2019 | Mr. Pruchya Kiatkittikul | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 7 January 2015 to 27 March 2015, Miss Nida Sae-Lee, Mrs. Darat Phatiwut, Mr. Pruchya Kiatkittikul, Miss Varaporn Ngamsettamas, Miss Werawan Taratipmont, and Mrs. Lada Taratipmont (deceased) colluded and divided duties with each other to sell and purchase Aira Capital Public Company Limited ("AIRA") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of Aira shares. Consequently, the conduct of them affected the price or volume of Aira shares to be inconsistent with the normal market condition. | 151/2019 | Civil Sanction | 06/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 3,210,702.50 Baht | |
| 1384 | 06/11/2019 | Miss Varaporn Ngamsettamas | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 7 January 2015 to 27 March 2015, Miss Nida Sae-Lee, Mrs. Darat Phatiwut, Mr. Pruchya Kiatkittikul, Miss Varaporn Ngamsettamas, Miss Werawan Taratipmont, and Mrs. Lada Taratipmont (deceased) colluded and divided duties with each other to sell and purchase Aira Capital Public Company Limited ("AIRA") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of Aira shares. Consequently, the conduct of them affected the price or volume of Aira shares to be inconsistent with the normal market condition. | 151/2019 | Civil Sanction | 06/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1385 | 06/11/2019 | Miss Werawan Taratipmont | 243 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 7 January 2015 to 27 March 2015, Miss Nida Sae-Lee, Mrs. Darat Phatiwut, Mr. Pruchya Kiatkittikul, Miss Varaporn Ngamsettamas, Miss Werawan Taratipmont, and Mrs. Lada Taratipmont (deceased) colluded and divided duties with each other to sell and purchase Aira Capital Public Company Limited ("AIRA") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of Aira shares. Consequently, the conduct of them affected the price or volume of Aira shares to be inconsistent with the normal market condition. | 151/2019 | Civil Sanction | 06/11/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1386 | 22/10/2019 | Thai Unique Coil Center Public Company Limited | 56 / SEC Act | Thai Unique Coil Center Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2018 and (2) the annual report for the year 2018 (Form 56-2, 2018) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1387 | 22/10/2019 | Ms. Nittaya Yongpitakwattana | 300 / SEC Act | Ms. Nittaya Yongpitakwattana, Director responsible for the operation of Thai Unique Coil Center Public Company Limited (“TUCC”) failed to supervise TUCC to prepare and submit (1) the audited financial statements for the year 2018 and (2) the annual report for the year 2018 (Form 56-2, 2018) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1388 | 18/10/2019 | Scan Global Public Company Limited | 56 / SEC Act | Scan Global Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2016, (2) the annual report for the year 2016 (Form 56-2, 2016), (3) the audited financial statements for the year 2017, (4) the annual report for the year 2017 (Form 56-2, 2017), (5) the audited financial statements for the year 2018 and (6) the annual report for the year 2018 (Form 56-2, 2018) to the SEC within the specified period. | | Criminal Complaints | The Court of Appeal sentenced the accused to pay a fine of Baht 1,431,000 and a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the audited financial statements for the year 2016 – 2018. Since the accused pled guilty, the Court reduced the fines by half, resulting in a total fine of Baht 715,500 and a further fine of Baht 250 each day starting from the next day of prosecution date until the accused filed the audited financial statements for the year 2016 – 2018 to SEC. | |
| 1389 | 18/10/2019 | Ms. Jurairut Bonaitern | 300 / SEC Act | Ms. Jurairut Bonaitern, Director responsible for the operation of Scan Global Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit (1) the audited financial statements for the year 2016, (2) the annual report for the year 2016 (Form 56-2, 2016), (3) the audited financial statements for the year 2017, (4) the annual report for the year 2017 (Form 56-2, 2017), (5) the audited financial statements for the year 2018 and (6) the annual report for the year 2018 (Form 56-2, 2018) to the SEC within the specified period. | | Criminal Complaints | The Court of Appeal sentenced the accused to pay a fine of Baht 1,431,000 and a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the audited financial statements for the year 2016 – 2018. Since the accused pled guilty, the Court reduced the fines by half, resulting in a total fine of Baht 715,500 and a further fine of Baht 250 each day starting from the next day of prosecution date until the accused filed the audited financial statements for the year 2016 – 2018 to SEC. | |
| 1390 | 18/10/2019 | Mr. Prasert Siripun | 300 / SEC Act | Mr. Prasert Siripun, Director responsible for the operation of Scan Global Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit (1) the audited financial statements for the year 2016, (2) the annual report for the year 2016 (Form 56-2, 2016), (3) the audited financial statements for the year 2017 and (4) the annual report for the year 2017 (Form 56-2, 2017) to the SEC within the specified period. | | Criminal Complaints | The right to institute a criminal prosecution is extinguished by the death of the offender. | |
| 1391 | 18/10/2019 | Mr. Rapeepat Katekawee | 300 / SEC Act | Mr. Rapeepat Katekawee, Director responsible for the operation of Scan Global Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit (1) the audited financial statements for the year 2018 and (2) the annual report for the year 2016 (Form 56-2, 2018) to the SEC within the specified period. | | Criminal Complaints | The Court of Appeal sentenced the accused to pay a fine of Baht 294,500 and a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the audited financial statements for the year 2018. Since the accused pled guilty, the Court reduced the fines by half, resulting in a total fine of Baht 147,250 and a further fine of Baht 250 each day starting from the next day of prosecution date until the accused filed the audited financial statements for the year 2018 to SEC. | |
| 1392 | 02/10/2019 | Mr. Pete Bodharamik | 241 / SEC Act (before the fifth amendment) | Between 29 September to 12 October, 2016, Mr. Pete Bodharamik , Chief Executive Officer and Director of Jasmine International Plc (JAS), colluded with Mr. Krirkkrai Traibanyatkul to commit offense in using Mr. Krirkkrai securities trading account to purchase Jasmine Telecom Systems Public Company Limited (JTS) shares by utilizing the inside information about The Q3/2016 operating results showed the net profit of 21.39 million baht due to the fact that JTS awarded a contract from Triple T Broadband Plc. (TTTBB) Such information was therefore crucial to the JTS share prices because JTS has the net loss of 6.19 million Baht in prior quarter and 4.83 million Baht if compared with the same quarter in 2015. Mr. Pete accessed that information by virtue of his positions as a chairman of the board of TTTBB. The information is material to changes in the prices of JTS share prices which has not yet been disclosed to the public and
Mr. Pete buy JTS shares in such a way as to take advantage of other persons before its was disclosed to the public on 28 October, 2016 and
Mr. Krirkkrai involves by executed trading orders of JTS shares.
| 115/2019 | Civil Sanction | 02/10/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 26,120,139.00 Baht
- a civil monetary penalty of 32,650,173.75 Baht | |
| 1393 | 02/10/2019 | Mr. Krirkkrai Traibanyatkul | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Between 29 September to 12 October, 2016, Mr. Krirkkrai Traibanyatkul colluded with Mr. Pete Bodharamik , Chief Executive Officer and Director of Jasmine International Plc (JAS), by give a consent Mr. Pete in using his securities trading account to purchase Jasmine Telecom Systems Public Company Limited (JTS) shares by utilizing the inside information about The Q3/2016 operating results showed the net profit of 21.39 million baht due to the fact that JTS awarded a contract from Triple T Broadband Plc. (TTTBB) Such information was therefore crucial to the JTS share prices because JTS has the net loss of 6.19 million Baht in prior quarter and 4.83 million Baht if compared with the same quarter in 2015. Mr. Pete accessed that information by virtue of his positions as a chairman of the board of TTTBB. The information is material to changes in the prices of JTS share prices which has not yet been disclosed to the public and Mr. Pete buy JTS shares in such a way as to take advantage of other persons before its was disclosed to the public on 28 October, 2016 and Mr. Krirkkrai involves by executed trading orders of JTS shares. | 115/2019 | Civil Sanction | 02/10/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1394 | 12/09/2019 | Mr. Suphan Settapanich | 281/2 paragraph 2 311 283 paragraph 1 / SEC Act | Mr. Suphan Sethapanich, the former managing director and chairman of the Investment Committee of Solaris Asset Management Co., Ltd. (currently changed its name to Innotech Asset Management Co., Ltd.), has committed an offense with dishonest intent and obtained unlawful gains for himself or another person by authorizing a mutual fund of Solaris Asset Management Co., Ltd. to invest in bills of exchange (B/E) of K.C. Property Public Company Limited (KC) which the former directors and executives of KC and others for jointly committing with dishonest intent by authorizing KC to issue bills of exchange (B/E) for sale to a mutual fund of Solaris Asset Management Co., Ltd. which caused the misappropriation of an amount of 430 million baht. According to evidences, it is reasonable to believe that Mr. Suphan Sethapanich has obtained benefits from selling the bills of exchange (B/E). He, therefore, committed an offense under the second paragraph of Section 281/2 and Section 311 of the Securities and Exchange Act. In addition, He failed to order or act his duty resulting in Solaris Asset Management Co., Ltd. violation of section 117 of the Securities and Exchange Act. Solaris Asset Management Co., Ltd. failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by failing to invest in debt instruments of which the credit was not rated and found defects in consideration of important information or factors with respect to the issuer, and this affected its capability to repay the principal and pay interest, constituting an offense. Accordingly, the criminal fining committee issued an order to require the company to pay a fine. In addition, Mr. Suphan Sethapanich committed an offense under Section 283 paragraph 1 of the Securities and Exchange Act whereby the SEC had informed Mr. Suphan Sethapanich to accept the fine settlement but he did not agree to do so. The SEC, therefore, filed the criminal complaint against Mr. Suphan Sethapanich for this offense at the same time. | 112/2019 | Criminal Complaints | The public prosecutor decided not to pursue the case in court and the case was deemed final. | |
| 1395 | 28/08/2019 | Profit Gain Asia Ltd. | 246 / SEC Act | Between April 10 to 28 August , 2014 Profit Gain Asia Ltd. (“PFAL”) ,
fail to reported the disposal of Natural Park Public Company (“N-PARK”) which changed its name to U City Public Company shares amount 18.45 percent of the total number of voting rights of N-Park to SEC Office within the period pf time specified in the notification of the Capital Market Supervisory Board. So that the such shares disposal caused holding of N-PARK shares pass a multiple of five percent of the total number of voting rights of the business.
| | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1396 | 28/08/2019 | Pracha Maleenont | 246 / SEC Act | Between April 10 to 28 August , 2014 Mr. Pracha Maleenont fail to reported the disposal of Natural Park Public Company (“N-PARK”) , which changed its name to
U City Public Company to SEC Office within the period pf time specified in the notification of the Capital Market Supervisory Board. So that the such shares disposal held by himself and Profit Gain Asia Ltd. , his juristic persons under section 258 caused his aggregate holding of N-PARK shares amount 24.5 percent to 18.45 percent of voting rights of the business which pass a multiple of five percent of the total number of voting rights of the business.
| | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1397 | 13/08/2019 | Chuo Senko (Thailand) Public Company Limited | 56(1) / SEC Act | Chuo Senko (Thailand) Public Company Limited failed to prepare and submit (1) the reviewed financial statements for Q2/2018 and (2) the reviewed financial statements for Q3/2018 to the SEC within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1398 | 30/07/2019 | Mr. Warot Norkeo | 241 and 242 (1) / SEC Act (before the fifth amendment), and , SEC Act (the fifth amendment) | 1. During 16 February 2015 – 29 July 2016, Mr. Warot, the assistant auditor holding the manager position, used inside information on the operating results from the fourth quarter of 2014 to the second quarter of 2016 of five EY clients which were listed companies to purchase securities of such companies while the clients’ draft financial statements were being recorded into the EY information system, and sold them out after the companies disclosed their financial statements through the SET Information Transmission System.
2. During 16 February 2017 – 10 November 2017, Mr. Warot and Miss Jeeranan obtained or possessed inside information related to the operating results from the fourth quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Mr. Warot’s authorized access to the draft financial statements in the EY information system and the inside information given to him by Ms. Jeeraporn, who was assistant auditor holding the senior manager position of another audit group. Mr. Warot and Ms. Jeeranan jointly purchased securities and entered into derivatives contracts whose underlyings were the securities price of such companies while the companies’ draft financial statements were being recorded in the EY information system. They sold the securities and settled all of the derivatives contracts after the companies disclosed their financial statements through the SET Information Transmission System. | 060/2019 | Civil Sanction | 30/07/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,620,598.50 Baht
- a civil monetary penalty of 6,004,275.58 Baht
- a bar from serving as a director or executive in a securities issuing company between 30/07/2019 and 29/07/2029
- a bar from serving as a director or executive in a securities company between 30/07/2019 and 29/07/2029
- a reimbursement of investigative expenses in an amount of 35,567.00 Baht | |
| 1399 | 30/07/2019 | Miss Jeeranan Buranaruk | 242 (1) / SEC Act (the fifth amendment) | During 16 February 2017 – 10 November 2017, Miss Jeeranan and Mr. Warot Norkeo obtained or possessed inside information related to the operating results from the fourth quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Mr. Warot’s authorized access to the draft financial statements in the EY information system and the inside information given to her by Miss Jeeraporn Buranaruk, who was assistant auditor holding the senior manager position of another audit group. Mr. Warot and Miss Jeeranan jointly purchased securities and entered into derivatives contracts whose underlyings were the securities price of such companies while the companies’ draft financial statements were being recorded in the EY information system. They sold the securities and settled all of the derivatives contracts after the companies disclosed their financial statements through the SET Information Transmission System. | 060/2019 | Civil Sanction | 30/07/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,106,108.50 Baht
- a civil monetary penalty of 3,504,275.58 Baht
- a bar from serving as a director or executive in a securities issuing company between 30/07/2019 and 29/07/2029
- a bar from serving as a director or executive in a securities company between 30/07/2019 and 29/07/2029
- a reimbursement of investigative expenses in an amount of 35,567.00 Baht | |
| 1400 | 30/07/2019 | Miss Jeeraporn Buranaruk | 242 (2) / SEC Act (the fifth amendment) | During 16 February 2017 – 12 July 2017, Miss Jeeraporn obtained or possessed inside information related to the operating results of three companies under the audit and review responsibility of her audit group. She had the authorized access to view the draft financial statements in the EY information system and disclosed the inside information of the three companies to Miss Jeeranan Buranaruk when she knew or should have known that Miss Jeeranan would use such information to trade securities or enter into derivatives contracts. | 060/2019 | Civil Sanction | 30/07/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 30/07/2019 and 29/07/2029
- a bar from serving as a director or executive in a securities company between 30/07/2019 and 29/07/2029
- a reimbursement of investigative expenses in an amount of 30,485.00 Baht | |
| 1401 | 24/07/2019 | Mr. Porameth Rungrongtanin | 246 / SEC Act | On November 16, 2018 Mr. Porameth Rungrongtanin acquired Digital Tech Planet Public Company Limited (DIGI) shares in the amount of 338,556,100 shares which equaled to 21.42 percent of the total number of voting rights of DIGI and on December 26, 2018 he acquired DIGI warrant
(DIGI-W2) in the amount of 868,314,297 units which equaled to 10.99 percent of the total number of voting rights of DIGI which caused his aggregate holding of DIGI shares or DIGI-W2 reached or passed five percent of the total number of voting rights of DIGI but he failed to report (Form 246-2) to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. He later respectively filed the reports (Form 246-2) to the SEC Office on February 28, 2019 and May 17, 2019.
| | Criminal Fine | imposing a fine of 73,050.00 Baht according to 15/2562 | |
| 1402 | 24/07/2019 | Mr. Sathit Roongwatanapak | 246 / SEC Act | On November 16, 2018, Mr. Sathit Roongwatanapak disposed Digital Tech Planet Public Company Limited (DIGI) shares in the amount of 338,556,100 shares which equaled to 21.42 percent of the total number of voting rights of DIGI which caused his aggregate holding of DIGI shares reached or passed five percent of the total number of voting rights of DIGI but he failed to report (Form 246-2) to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. He later filed the report (Form 246-2) to the SEC Office on May 16, 2019.
| | Criminal Fine | imposing a fine of 71,400.00 Baht according to 14/2562 | |
| 1403 | 09/07/2019 | Mr.Sitthichai Pornsapanan | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | Between 7 January 2015 to 24 March 2015 Mr. Sitthichai Pornsapanan, colluded with Mr. Werawat Changyoo,
sell and purchase Thiensurat Company Limited ("TSR") shares continuously in a way of concealment, by using his account and Mrs. Kanokwan Pornsapanan’s account, so as to mislead general public regarding the price or volume of TSR shares. Consequently, the conduct of them affected the price or volume of TSR shares to be incompatible with the normal market condition | 65/2019 | Civil Sanction | 09/07/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 4,508,452.50 Baht | |
| 1404 | 09/07/2019 | Mrs. Kanokwan Pornsapanan | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Between 7 January 2015 to 24 March 2015, Mrs. Kanokwan Pornsapanan aided or abetted Mr. Sitthichai Pornsapanan by allowing Mr. Sitthichai to use her account for selling and purchasing Thiensurat Company Limited ("TSR") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of TSR shares. Consequently, the conduct of them affected the price or volume of TSR shares to be incompatible with the normal market condition. | 65/2019 | Civil Sanction | 09/07/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1405 | 05/07/2019 | MRC - BIZ Company Limited | 17 / DAB Act | MRC - BIZ Company Limited offered digital token named IPO, which is an investment token that the company promises to give an investment return to investors, and digital token named MRC coin, which is a utility token that the underlying rights cannot be readily exercised on the issuance date, to the public without an approval from the SEC Office. | 082/2019 | Criminal Complaints | The Court of Appeal adjudicated that the defendant was guilty under Section 17 paragraph one, Section 26, Section 57, and Section 66 of the Royal Decree on Digital Asset Businesses B.E. 2561 (2018). The defendant’s act constituted a single offense that violates multiple legal provisions. Pursuant to Section 90 of the Criminal Code, the penalty shall be imposed under the provision prescribing the heaviest punishment, namely, the offense of operating a digital asset business without obtaining a license. The Court, therefore, sentenced the defendant to a fine of 200,000 Baht. Given that the defendant pleaded guilty and such plea was deemed beneficial to the adjudication process, the Court considered it a mitigating factor. Accordingly, the sentence was reduced by half under Section 78 of the Criminal Code. The final sentence is a fine of 100,000 Baht. In the event that the defendant failed to pay the said fine, execution shall be carried out in accordance with Section 29 of the Criminal Code. | |
| 1406 | 05/07/2019 | MRC - BIZ Company Limited | 26 / DAB Act | MRC - BIZ Company Limited operated digital asset exchange businesses without a license by providing the trading platform of digital token named MRC coin. | 082/2019 | Criminal Complaints | The Court of Appeal adjudicated that the defendant was guilty under Section 17 paragraph one, Section 26, Section 57, and Section 66 of the Royal Decree on Digital Asset Businesses B.E. 2561 (2018). The defendant’s act constituted a single offense that violates multiple legal provisions. Pursuant to Section 90 of the Criminal Code, the penalty shall be imposed under the provision prescribing the heaviest punishment, namely, the offense of operating a digital asset business without obtaining a license. The Court, therefore, sentenced the defendant to a fine of 200,000 Baht. Given that the defendant pleaded guilty and such plea was deemed beneficial to the adjudication process, the Court considered it a mitigating factor. Accordingly, the sentence was reduced by half under Section 78 of the Criminal Code. The final sentence is a fine of 100,000 Baht. In the event that the defendant failed to pay the said fine, execution shall be carried out in accordance with Section 29 of the Criminal Code. | |
| 1407 | 05/07/2019 | Mr. Tanit Ratchanontanunkron | 94 / DAB Act | Mr. Tanit Ratchanontanunkron, who is an authorized director of the MRC - BIZ Company Limited and is responsible for the operation of the company, shall be liable for an order or an action which results in the offence that the company offered digital tokens to the public without an approval from the SEC Office. | 082/2019 | Criminal Complaints | The Court of Appeal adjudicated that the defendant was guilty under Section 17 paragraph one, Section 26, Section 57, Section 66, and Section 94 of the Royal Decree on Digital Asset Businesses B.E. 2561 (2018). The defendant's conduct constituted a single act violating multiple legal provisions. Pursuant to Section 90 of the Criminal Code, the penalty shall be imposed under the provision carrying the heaviest punishment, namely, the offense of operating a digital asset business without obtaining a license. The Court, therefore, sentenced the defendant to imprisonment for a term of 2 years and a fine of 200,000 Baht. Given that the Defendant pleaded guilty, which was beneficial to the adjudication of the case, the Court considered it a mitigating circumstance. Accordingly, the punishment is reduced by half in accordance with Section 78 of the Criminal Code, resulting in a sentence of imprisonment for 1 year and a fine of 100,000 Baht. As the defendant had no prior criminal record involving imprisonment, the Court suspended the execution of the imprisonment sentence for a period of 2 years. The defendant shall be placed on probation, and was required to report to a probation officer four times within a period of one year, as scheduled by the probation officer. The defendant shall also perform community service or public benefit work for a period of 12 hours, as deemed appropriate by the probation officer and the defendant, pursuant to Section 56 of the Criminal Code. If the defendant failed to pay the fine, enforcement shall proceed in accordance with Sections 29 and 30 of the Criminal Code. | |
| 1408 | 05/07/2019 | Mr. Tanit Ratchanontanunkron | 94 / DAB Act | Mr. Tanit Ratchanontanunkron, who is an authorized director of the MRC - BIZ Company Limited and is responsible for the operation of the company, shall be liable for an order or an action which results in the offence that the company operated digital asset exchange businesses without a license. | 082/2019 | Criminal Complaints | The Court of Appeal adjudicated that the defendant was guilty under Section 17 paragraph one, Section 26, Section 57, Section 66, and Section 94 of the Royal Decree on Digital Asset Businesses B.E. 2561 (2018). The defendant's conduct constituted a single act violating multiple legal provisions. Pursuant to Section 90 of the Criminal Code, the penalty shall be imposed under the provision carrying the heaviest punishment, namely, the offense of operating a digital asset business without obtaining a license. The Court, therefore, sentenced the defendant to imprisonment for a term of 2 years and a fine of 200,000 Baht. Given that the Defendant pleaded guilty, which was beneficial to the adjudication of the case, the Court considered it a mitigating circumstance. Accordingly, the punishment is reduced by half in accordance with Section 78 of the Criminal Code, resulting in a sentence of imprisonment for 1 year and a fine of 100,000 Baht. As the defendant had no prior criminal record involving imprisonment, the Court suspended the execution of the imprisonment sentence for a period of 2 years. The defendant shall be placed on probation, and was required to report to a probation officer four times within a period of one year, as scheduled by the probation officer. The defendant shall also perform community service or public benefit work for a period of 12 hours, as deemed appropriate by the probation officer and the defendant, pursuant to Section 56 of the Criminal Code. If the defendant failed to pay the fine, enforcement shall proceed in accordance with Sections 29 and 30 of the Criminal Code. | |
| 1409 | 21/06/2019 | Mr. Anurag Baheti | 241 / SEC Act (the fifth amendment) | Mr. Anurag Baheti, Senior Manager - Finance & Accounts of Polyplex (Thailand) Public Company Limited (“PTL”), knows the information on PTL’s performance in the consolidated and standalone financial statements of Q4/2016 through monthly financial statement of January and February 2016. The information is material to changes in the prices of PTL shares which has not yet been disclosed to the public and he has access by virtue of his office or position and acts in a way as to take advantage of other persons as follows:
(1) uses the information on PTL’s performance in the standalone financial statements of Q4/2016 which he knows through monthly financial statement of January and February 2016 to buy 200,000 PTL shares in his securities trading account on March 11 and 17, 2016 and jointly with Mr. Rahul Jain use the inside information to buy 258,200 PTL shares in Mr. Rahul’s securities trading account on March 17, 2016
(2) uses the information on PTL’s performance in the consolidated financial statements of Q4/2016 which he knows through monthly financial statement of January and February 2016 jointly with Mr. Rahul use the inside information to buy 465,000 PTL shares in Mr. Rahul’s securities trading account on May 23, 24,26 and 27, 2016. | 042/2019 | Civil Sanction | 21/06/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,319,570.00 Baht
- a civil monetary penalty of 1,662,730.50 Baht | |
| 1410 | 10/06/2019 | Mr. Werawat Changyoo | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | Between 7 January 2015 to 24 March 2015 Mr. Werawat Changyoo ,colluded with Mr. Sitthichai Pornsapanan,
sell and purchase Thiensurat Company Limited ("TSR") shares continuously in a way of concealment ,by using his account and 4 nominee accounts and aiding or abetting from Mr. watcharachai watcharatham to conduct financial transaction in both of Mr. Werawat’s and nominee accounts, so as to mislead general public regarding the price or volume of TSR shares. Consequently, the conduct of them affected the price or volume of TSR shares to be incompatible with the normal market condition. | 65/2019 | Civil Sanction | 10/06/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1411 | 10/06/2019 | Mr. Teera Deesawat | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Between 7 January 2015 to 24 March 2015, Mr. Teera Deesawat aided or abetted Mr. Werawat Changyoo by allowing Mr. Werawat to use his account and funding for selling and purchasing Thiensurat Company Limited ("TSR") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of TSR shares. Consequently, the conduct of them affected the price or volume of TSR shares to be incompatible with the normal market condition. | 65/2019 | Civil Sanction | 10/06/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1412 | 10/06/2019 | Mr. Suraphon Sudhom | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Between 7 January 2015 to 24 March 2015, Mr. Suraphon Sudhom aided or abetted Mr. Werawat Changyoo by allowing Mr. Werawat to use his account and funding for selling and purchasing Thiensurat Company Limited ("TSR") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of TSR shares. Consequently, the conduct of them affected the price or volume of TSR shares to be incompatible with the normal market condition. | 65/2019 | Civil Sanction | 10/06/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1413 | 10/06/2019 | Miss Supatcharee Chakvithannides | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Between 7 January 2015 to 24 March 2015, Miss Supatcharee (or Siriluck) Chakvithannides aided or abetted Mr. Werawat Changyoo by allowing Mr. Werawat to use her account and funding for selling and purchasing Thiensurat Company Limited ("TSR") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of TSR shares. Consequently, the conduct of them affected the price or volume of TSR shares to be incompatible with the normal market condition. | 65/2019 | Civil Sanction | 10/06/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1414 | 10/06/2019 | Mr. Sitthavee Pitchayaruengkit | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Between 7 January 2015 to 24 March 2015, Mr. Sitthavee Pitchayaruengkit aided or abetted Mr. Werawat Changyoo by allowing Mr. Werawat to use his account and funding for selling and purchasing Thiensurat Company Limited ("TSR") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of TSR shares. Consequently, the conduct of them affected the price or volume of TSR shares to be incompatible with the normal market condition. | 65/2019 | Civil Sanction | 10/06/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1415 | 10/06/2019 | Mr. Watcharachai Watcharatham | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Between 7 January 2015 to 24 March 2015, Mr. Watcharachai Watcharatham aided or abetted Mr. Werawat Changyoo by deposit, transfer and conduct financial transaction in Mr. Werawat’s nominee accounts which has been funding from Mr. Werawat for selling and purchasing Thiensurat Company Limited ("TSR") shares continuously in a way of concealment so as to mislead general public regarding the price or volume of TSR shares. Consequently, the conduct of them affected the price or volume of TSR shares to be incompatible with the normal market condition. Moreover, Mr. Watcharachai took Miss Supatchari and Mr. Sitthichai to withdraw cash from their accounts and brought cash back to Mr. Werawat. | 65/2019 | Civil Sanction | 10/06/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 3.00 Baht | |
| 1416 | 23/05/2019 | Mr. Rahul Jain | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Mr. Rahul Jain jointly with Mr. Anurag Baheti use the information on Polyplex (Thailand) Public Company Limited (“PTL”)’s performance in the standalone financial statements of Q4/2016 through monthly financial statement of January and February 2016 to buy 258,200 PTL shares in Mr. Rahul’s securities trading account on March 17, 2016 and jointly with Mr. Anurag use the information on PTL’s performance in the consolidated financial statements of Q4/2016 through monthly financial statement of January and February 2016 to buy 465,000 PTL shares in Mr. Rahul’s securities trading account on May 23,24,26 and 27, 2016. The information is material to changes in the prices of PTL shares which has not yet been disclosed to the public and they buy PTL shares in such a way as to take advantage of other persons. | 042/2019 | Civil Sanction | 23/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 775,153.67 Baht | |
| 1417 | 16/05/2019 | Polyplex Corporation Limited | 241 / SEC Act (before the fifth amendment) | Polyplex Corporation Limited (“PCL”) holds more than 5 percent shares in Polyplex (Asia) Pte. Ltd. (“PAPL”) and Polyplex (Thailand) Public Company Limited (“PTL”), Mr. Pranay Kothari, an Executive Director and representative of juristic person of PCL, and Mr. Manish Gupta, Chief Financial Officer of PCL, know the information
on PTL’s performance in the consolidated and standalone financial statements of Q4/2016 through monthly financial statement of January and February 2016. The information is material to changes in the prices of PTL shares which has not yet been disclosed to the public and they have access by virtue of their office or position. PCL, Mr. Pranay and Mr. Manish jointly use the inside information to instruct PAPL to buy 7,940,100 shares of PTL in PAPL’s securities trading account between April 1, 2016 – May 4, 2016 in such a way as to take advantage of other persons through the assistance of Mrs. Supritha Pai Kasturi, PTL’s Senior Manager - Finance & Accounts who also knows the inside information. | 042/2019 | Civil Sanction | 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1418 | 16/05/2019 | Mr. Pranay Kothari | 241 / SEC Act (before the fifth amendment) | Mr. Pranay Kothari, an Executive Director and representative of juristic person of Polyplex Corporation Limited (“PCL”), PCL which holds more than 5 percent shares in Polyplex (Asia) Pte. Ltd. (“PAPL”) and Polyplex (Thailand) Public Company Limited (“PTL”), and Mr. Manish Gupta, Chief Financial Officer of PCL, know the information on PTL’s performance in the consolidated and standalone financial statements of Q4/2016 through monthly financial statement of January and February 2016. The information is material to changes in the prices of PTL shares which has not yet been disclosed to the public and they have access by virtue of their office or position. PCL, Mr. Pranay and Mr. Manish jointly use the inside information to instruct PAPL to buy 7,940,100 shares of PTL in PAPL’s securities trading account between April 1, 2016 – May 4, 2016 in such a way as to take advantage of other persons through the assistance of Mrs. Supritha Pai Kasturi, PTL’s Senior Manager - Finance & Accounts who also knows the inside information. | 042/2019 | Civil Sanction | 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | The SEC has banned Mr. Pranay Kothari from holding the position of director or executive at any issuing or listed companies for 1 year from May 17, 2019. |
| 1419 | 16/05/2019 | Mr. Manish Gupta | 241 / SEC Act (before the fifth amendment) | Mr. Manish Gupta, an Chief Financial Officer of Polyplex Corporation Limited (“PCL”), PCL which holds more than 5 percent shares in Polyplex (Asia) Pte. Ltd. (“PAPL”) and Polyplex (Thailand) Public Company Limited (“PTL”), and Mr. Pranay Kothari, an Executive Director and representative of juristic person of PCL, know the information on PTL’s performance in the consolidated and standalone financial statements of Q4/2016 through monthly financial statement of January and February 2016. The information is material to changes in the prices of PTL shares which has not yet been disclosed to the public and they have access by virtue of their office or position. PCL, Mr. Pranay and Mr. Manish jointly use the inside information to instruct PAPL to buy 7,940,100 shares of PTL in PAPL’s securities trading account between April 1, 2016 – May 4, 2016 in such a way as to take advantage of other persons through the assistance of Mrs. Supritha Pai Kasturi, PTL’s Senior Manager - Finance & Accounts who also knows the inside information. | 042/2019 | Civil Sanction | 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | The SEC has banned Mr. Manish Gupta from holding the position of director or executive at any issuing or listed companies for 1 year from May 17, 2019. |
| 1420 | 16/05/2019 | Polyplex (Asia) Pte. Ltd. | 241 / SEC Act (before the fifth amendment) | Polyplex (Asia) Pte. Ltd. (“PAPL”) knows the information on Polyplex (Thailand) Public Company Limited (“PTL”)’s performance in the consolidated and standalone financial statements of Q4/2016 through monthly financial statement of January and February 2016 through Mr. Amit Prakash, Managing Director of PTL and director and representative of juristic person of PAPL. The information is material to changes in the prices of PTL shares which has not yet been disclosed to the public. PAPL, Polyplex Corporation Limited (“PCL”) which holds more than 5 percent of PAPL and PTL shares, Mr. Pranay Gothati, Executive Director and representative of juristic person of PCL, Mr. Manish Gupta, Chief Financial Officer of PCL and Mr. Amit jointly use the inside information and buy 7,940,100 shares of PTL in PAPL’s securities trading account between April 1, 2016 - May 4, 2016 in such a way as to take advantage of other persons through the assistance of Mrs. Supritha Pai Kasturi, PTL’s Senior Manager - Finance & Accounts who also knows the inside information. | 042/2019 | Civil Sanction | 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 23,536,310.00 Baht
- a civil monetary penalty of 27,066,756.50 Baht | |
| 1421 | 16/05/2019 | Mr. Amit Prakash | 241 / SEC Act (before the fifth amendment) | Mr. Amit Prakash, Managing Director of Polyplex (Thailand) Public Company Limited (“PTL”), and director and representative of juristic person of
Polyplex (Asia) Pte. Ltd. (“PAPL”), knows the information on PTL’s performance in the consolidated and standalone financial statements of Q4/2016 through monthly financial statement of January and February 2016. The information is material to changes in the prices of PTL shares which has not yet been disclosed to the public and he has access by virtue of his office or position. Mr. Amit, PAPL, Polyplex Corporation Limited (“PCL”) which holds more than 5 percent of PAPL and PTL shares, Mr. Pranay Gothati, Executive Director and representative of juristic person of PCL, Mr. Manish Gupta, Chief Financial Officer of PCL and PAPL jointly use the inside information and buy 7,940,100 shares of PTL in PAPL’s securities trading account between April 1, 2016 - May 4, 2016 in such a way as to take advantage of other persons through the assistance of Mrs. Supritha Pai Kasturi, PTL’s Senior Manager - Finance & Accounts who also knows the inside information. Mr. Amit acknowledges the in buying of PTL shares using inside information and involves in the purchase transaction. | 042/2019 | Civil Sanction | 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | The SEC has banned Mr. Amit Prakash from holding the position of director or executive at any issuing or listed companies for 1 year from May 17, 2019. |
| 1422 | 16/05/2019 | Mrs. Supritha Pai Kasturi | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Mrs. Supritha Pai Kasturi, Senior Manager - Finance & Accounts of Polyplex (Thailand) Public Company Limited (“PTL”), knows the information on PTL’s performance in the consolidated and standalone financial statements of Q4/2016 through monthly financial statement of January and February 2016. The information is material to changes in the prices of PTL shares which has not yet been disclosed to the public and she has access by virtue of her office or position. Mrs. Supritha sends orders to buy 7,940,100 shares of PTL in
Polyplex (Asia) Pte. Ltd. (“PAPL”)’s securities trading account between April 1, 2016 - May 4, 2016 and involves in transaction to buy PTL shares in order to assist Polyplex Corporation Limited (“PCL”), Mr. Pranay Gothati, Executive Director and representative of juristic person of PCL, Mr. Manish Gupta, Chief Financial Officer of PCL and PAPL and Mr. Amit Prakash, Managing Director of PTL, and director and representative of juristic person of PAPL in buying PTL shares using inside information. | 042/2019 | Civil Sanction | 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | The SEC has banned Mrs. Supritha Pai Kasturi from holding the position of director or executive at any issuing or listed companies for 4 months from May 17, 2019. |
| 1423 | 12/04/2019 | Mr. Boonpiam Eamroongroj | 307 311 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Boonpiam Eamroongroj, former chairman of Adamas Incorporation Public Company (“ADAM”), colluded and divided duties with other 7 persons to commit an offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha Properties Company Limited (“Kitha”) in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was known at that time that Kitha was being investigated by the National Anti-Corruption Commission (“NACC”) on a case relating to rice-pledging scheme and Kitha was not qualified to be a listed company in the Stock Exchange of Thailand. Their divided duties were meticulously planned beginning with Mr. Boonpiam becoming a director in ADAM; Board of Directors signed an agreement to purchase Kitha’s shares; the adding of special agenda to purchase Kitha’s shares in shareholder meeting and when the shareholder meeting approved, the agreement to purchase Kitha’s share became effective. Mr. Boonpiam involved in voting for ADAM to buy Kitha’s shares and signing the share purchase agreement. | 039/2019 | Criminal Complaints | The public prosecutor ordered a non-prosecution order. | |
| 1424 | 12/04/2019 | Mr. Chinnavat Chinsangaram | 307 311 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Chinnavat Chinsangaram, former director of Adamas Incorporation Public Company (“ADAM”), colluded and divided duties with other 7 persons to commit an offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha Properties Company Limited (“Kitha”) in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was known at that time that Kitha was being investigated by the National Anti-Corruption Commission (“NACC”) on a case relating to rice-pledging scheme and Kitha was not qualified to be a listed company in the Stock Exchange of Thailand. Their divided duties were meticulously planned beginning with Mr. Chinnavat becoming a director in ADAM; Board of Directors signed an agreement to purchase Kitha’s shares; the adding of special agenda to purchase Kitha’s shares in shareholder meeting and when the shareholder meeting approved, the agreement to purchase Kitha’s share became effective. Mr. Chinnavat involved in voting for ADAM to buy Kitha’s shares and signing the share purchase agreement. | 039/2019 | Criminal Complaints | The public prosecutor ordered a non-prosecution order. | |
| 1425 | 12/04/2019 | Mr. Sarawuthi Bhumithaworn | 307 311 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Sarawuthi Bhumithaworn, former Independent Director and Audit Committee of Adamas Incorporation Public Company (“ADAM”), colluded and divided duties with other 7 persons to commit an offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha Properties Company Limited (“Kitha”) in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was known at that time that Kitha was being investigated by the National Anti-Corruption Commission (“NACC”) on a case relating to rice-pledging scheme and Kitha was not qualified to be a listed company in the Stock Exchange of Thailand. Their divided duties were meticulously planned, Mr. Sarawuthi involved in voting for ADAM to buy Kitha’s shares and voting as proxy for shareholders in the agenda to purchase Kitha’s shares. | 039/2019 | Criminal Complaints | The public prosecutor ordered a non-prosecution order. | |
| 1426 | 12/04/2019 | Mr. Nittimon Hastindra Na Ayudhya | 307 311 in conjunction with 315 / SEC Act | Mr. Nittimon Hastindra Na Ayudhya aided and abetted former directors of Adamas Incorporation Public Company (“ADAM”) who colluded and divided duties with other 7 persons to commit an offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha Properties Company Limited (“Kitha”) in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was known at that time that Kitha was being investigated by the National Anti-Corruption Commission (“NACC”) on a case relating to rice-pledging scheme and Kitha was not qualified to be a listed company in the Stock Exchange of Thailand. Their divided duties were meticulously planned, Mr. Nittimon involved in getting a proxy from shareholder and proposing special agenda to purchase Kitha’s shares. | 039/2019 | Criminal Complaints | The public prosecutor ordered a non-prosecution order. | |
| 1427 | 12/04/2019 | Mr. Aphichat Chansakulporn | 307 311 in conjunction with 315 / SEC Act | Mr. Aphichat Chansakulporn aided and abetted former directors of Adamas Incorporation Public Company (“ADAM”) who colluded and divided duties with other 7 persons to commit an offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha Properties Company Limited (“Kitha”) in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was known at that time that Kitha was being investigated by the National Anti-Corruption Commission (“NACC”) on a case relating to rice-pledging scheme and Kitha was not qualified to be a listed company in the Stock Exchange of Thailand. Their divided duties were meticulously planned, Mr. Aphichat involved in introducing Mr. Boonpiam Eamroongroj to Mr. Chinnavat Chinsangaram before both of them becoming director of ADAM. | 039/2019 | Criminal Complaints | The public prosecutor ordered a non-prosecution order. | |
| 1428 | 12/04/2019 | Ms. Thanyaporn Chansakulporn | 307 311 in conjunction with 315 / SEC Act | Ms. Bongkorn Chansakulporn, former director of Adamas Incorporation Public Company (“ADAM”), aided and abetted former directors of Adamas Incorporation Public Company (“ADAM”) who colluded and divided duties with other 7 persons to commit an offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha Properties Company Limited (“Kitha”) in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was known at that time that Kitha was being investigated by the National Anti-Corruption Commission (“NACC”) on a case relating to rice-pledging scheme and Kitha was not qualified to be a listed company in the Stock Exchange of Thailand. Their divided duties were meticulously planned, Ms. Bongkorn involved in using other securities trading accounts to buy shares of ADAM for controlling vote in shareholder meeting. | 039/2019 | Criminal Complaints | The public prosecutor ordered a non-prosecution order.. | |
| 1429 | 12/04/2019 | Mr. Sorawit Chansakulporn | 307 311 in conjunction with 315 / SEC Act | Mr. Sorawit Chansakulporn, former shareholder of Kitha Properties Company Limited (“Kitha”), aided and abetted former directors of Adamas Incorporation Public Company (“ADAM”) who colluded and divided duties with other 7 persons to commit offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was known at that time that Kitha was being investigated by the National Anti-Corruption Commission (“NACC”) on a case relating to rice-pledging scheme and Kitha was not qualified to be a listed company in the Stock Exchange of Thailand. Their divided duties were meticulously planned, Mr. Sorawit involved in using other securities trading accounts to buy shares of ADAM for controlling vote in shareholder meeting. | 039/2019 | Criminal Complaints | The public prosecutor ordered a non-prosecution order. | |
| 1430 | 12/04/2019 | Mrs. Suda Kunachak | 307 311 in conjunction with 315 / SEC Act | Mrs. Suda Kunachak aided and abetted former directors of Adamas Incorporation Public Company (“ADAM”) who colluded and divided duties with other 7 persons to commit an offense by making ADAM dishonestly purchased the whole ordinary shares of Kitha in 2014 resulting in Kitha becoming a subsidiary of ADAM with an incentive to launder money causing damages to ADAM even though it was known at that time that Kitha was being investigated by the National Anti-Corruption Commission (“NACC”) on a case relating to rice-pledging scheme and Kitha was not qualified to be a listed company in the Stock Exchange of Thailand. Their divided duties were meticulously planned, Mrs. Suda involved in securities trading accounts for Ms. Bongkorn Chansakulporn and Mrs. Suda Kunachak to buy shares of ADAM. | 039/2019 | Criminal Complaints | The public prosecutor ordered a non-prosecution order. | |
| 1431 | 12/04/2019 | Ms. Bongkorn Chansakulporn | 246 and 247 / SEC Act | Between August and September 2014, Ms. Bongkorn Chansakulporn colluded with Mr. Sorawit Chansakulporn controlling and using other securities trading accounts to buy Adamas Incorporation Public Company Limited (“ADAM”) shares in the amount of 214,000,000 shares which equaled to 76.45 percent of the total number of voting rights of ADAM which caused his aggregate holding of ADAM shares reached or passed five percent of the total number of voting rights of ADAM. Ms. Bongkorn, however, failed to report (Form 246-2) and make a tender offer to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. | 039/2019 | Criminal Complaints | The public prosecutor ordered a non-prosecution order. | |
| 1432 | 12/04/2019 | Mr. Sorawit Chansakulporn | 246 and 247 / SEC Act | Between August and September 2014, Mr. Sorawit Chansakulporn colluded with Ms. Bongkorn Chansakulporn controlling and using other securities trading accounts to buy Adamas Incorporation Public Company Limited (“ADAM”) shares in the amount of 214,000,000 shares which equaled to 76.45 percent of the total number of voting rights of ADAM which caused his aggregate holding of ADAM shares reached or passed five percent of the total number of voting rights of ADAM. Mr. Sorawit, however, failed to report (Form 246-2) and make a tender offer to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. | 039/2019 | Criminal Complaints | The public prosecutor ordered a non-prosecution order.
| |
| 1433 | 02/04/2019 | Mana Sombunwiwat | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mana Sombunwiwat colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 02/04/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 5,619,300.00 Baht | |
| 1434 | 02/04/2019 | Miss Siriporn Somboonwiwat | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Siriporn Somboonwiwat colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 02/04/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 17,224,125.00 Baht | |
| 1435 | 26/03/2019 | Mrs. Pimjai Phetpakdeechai | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mrs. Pimjai Phetpakdeechai colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/03/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 5,541,486.00 Baht | |
| 1436 | 26/03/2019 | Miss Wichittra Phetpakdeechai | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Wichittra Phetpakdeechai colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/03/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 8,360,640.00 Baht | |
| 1437 | 26/03/2019 | Mr. Suchat Watnasirichaikul | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Suchat Watnasirichaikul colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition | 031/2019 | Civil Sanction | 26/03/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 14,035,065.00 Baht | |
| 1438 | 21/03/2019 | Mr. Amorn Meemano | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Amorn Meemano colluded with others
to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1439 | 21/03/2019 | Mr. Pipat Patiwetphinyo | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Pipat Patiwetphinyo colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1440 | 21/03/2019 | Miss Chinda Meemano | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Chinda Meemano colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1441 | 21/03/2019 | Miss Jintana Meemano | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Jintana Meemano colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1442 | 21/03/2019 | Mrs. Nasika Meemanonuns | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mrs. Nasika Meemanonuns colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1443 | 21/03/2019 | Miss Jintana Saengpongpittaya | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Amorn Meemano colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1444 | 21/03/2019 | Mr. Chot-anant Saengpongpittaya | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Chot-anant Saengpongpittaya colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1445 | 21/03/2019 | Mr. Yongyuth Saengpongpittaya | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Yongyuth Saengpongpittaya colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1446 | 21/03/2019 | Mrs. Sopa Kulsirorat | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mrs. Sopa Kulsirorat colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1447 | 21/03/2019 | Mrs. Jetsupa Nattapruk | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mrs. Jetsupa Nattapruk colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1448 | 21/03/2019 | Miss Natnicha Suntivarakom | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Natnicha Suntivarakom colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1449 | 21/03/2019 | Mr. Visarn Lorthongpaisan | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Visarn Lorthongpaisan colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1450 | 21/03/2019 | Mrs. Panida Taychakhoonavut | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mrs. Panida Taychakhoonavut colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1451 | 21/03/2019 | Mr. Waraphong Seungrungchote | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Waraphong Seungrungchote colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1452 | 21/03/2019 | Mrs. Jenjira Sakunpinchong | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mrs. Jenjira Sakunpinchong colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1453 | 21/03/2019 | Mrs. Thanida Thansoontaradej | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mrs. Thanida Thansoontaradej colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1454 | 21/03/2019 | Miss Nannapat Adchamarnwra | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Nannapat Adchamarnwra colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1455 | 21/03/2019 | Mr. Chai Junwikul | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Chai Junwikul colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1456 | 21/03/2019 | Mr. Fu Nan | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Fu Nan colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1457 | 21/03/2019 | Mr. Dong Zhang | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Dong Zhang colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1458 | 21/03/2019 | Miss Wanida Wasiphanphong | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Wanida Wasiphanphong colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1459 | 21/03/2019 | Miss Surawee Wasiphanphong | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Surawee Wasiphanphong colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1460 | 21/03/2019 | Mrs. Somjai Wasiphanphong | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mrs. Somjai Wasiphanphong colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1461 | 21/03/2019 | Mr. Jatuwat Wasiphanphong | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Jatuwat Wasiphanphong colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1462 | 21/03/2019 | Mr. Kriengkai Wasiphanphong | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Kriengkai Wasiphanphong colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1463 | 21/03/2019 | Mr. Surachet Wasiphanphong | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Surachet Wasiphanphong colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1464 | 21/03/2019 | Miss Piyothorn Kolkitchaiwan | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Piyothorn Kolkitchaiwan colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1465 | 21/03/2019 | Miss Thanyaluck Deevongkij | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Thanyaluck Deevongkij colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1466 | 21/03/2019 | Miss Piyada Kolkitchaiwan | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Piyada Kolkitchaiwan colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1467 | 21/03/2019 | Mr. Soonthorn Deevongkil | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Soonthorn Deevongkil colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1468 | 21/03/2019 | Mr. Kraisorn Chatlekavanich | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Kraisorn Chatlekavanich colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1469 | 21/03/2019 | Mr. Woravut Phaopraphan | 243 (1) in conjunction with 244 (2) (3) and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Woravut Phaopraphan colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1470 | 21/03/2019 | Mr. Veera Vanaritikul | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Veera Vanaritikul colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1471 | 21/03/2019 | Miss Thawalrat Thitiwatkamol | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Miss Thawalrat Thitiwatkamol colluded with others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1472 | 21/03/2019 | Mr. Thanachart Siriphanukhema | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 16 May 2015 to 8 October 2015, Mr. Thanachart Siriphanukhema helped and supported others to sell and purchase Crown Tech Advance Public Company Limited ("AJD") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of AJD shares. Consequently, the conduct of them affected the price or volume of AJD shares to be incompatible with the normal market condition. | 031/2019 | Civil Sanction | 26/12/2019 filed a lawsuit to a civil court 21/03/2019 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1473 | 14/03/2019 | Mrs. NUTNICHA PARAMEE | | | 27/2019 | Administrative Orders | Revocation | Effective Date 14/03/2019 to 13/03/2029 |
| 1474 | 28/02/2019 | Mr. Tatsuya Konoshita | 300 in conjunction with 56(1)(2)(3)(4) / SEC Act | Mr. Tatsuya Konoshita, as a Chairman of the Board Director and a Chief Executive Officer for the operation of Group Lease Public Company Limited (“GL”), shall be liable for section 300 and section 56(1) - (4) of The Securities and Exchange Act of Thailand B.E. 2535 (1992). In case of GL’s delayed to prepare and submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed as follows
1. the reviewed financial statements for Q3/2017
2. financial statement for the year 2017
3. annual registration statement for the year 2017
4. annual report for the year 2017
5. the reviewed financial statements for Q1/2018
| | Criminal Complaints | | |
| 1475 | 28/02/2019 | Mr. mitsuji Konoshita | 300 in conjunction with 56(1)(2)(3)(4) / SEC Act | Mr. mitsuji Konoshita, as a Chief Executive Officer for the operation of Group Lease Public Company Limited (“GL”), shall be liable for section 300 and section 56 (1) - (4) of The Securities and Exchange Act of Thailand B.E. 2535 (1992). In case of GL’s delayed to prepare and submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed as follows
1. financial statement for the year 2016
2. annual registration statement for the year 2016
3. annual report for the year 2016
4. the reviewed financial statements for Q1/2017
5. the reviewed financial statements for Q2/2017
| | Criminal Complaints | | |
| 1476 | 28/02/2019 | Group Lease Public Company Limited | 56(1)(2)(3)(4) / SEC Act | Group Lease Public Company Limited (“GL”), a securities issuer, delayed to prepare and submit the accurate financial statements and financial reports within the period
of time specified by the Capital Market Supervisory Board as follows :
1. financial statement for the year 2016
2. annual registration statement for the year 2016
3. annual report for the year 2016
4. the reviewed financial statements for Q1/2017
5. the reviewed financial statements for Q2/2017
6. the reviewed financial statements for Q3/2017
7. financial statement for the year 2017
8. annual registration statement for the year 2017
9. annual report for the year 2017
10. the reviewed financial statements for Q1/2018
GL’s recorded the loan transactions with foreign debtors as GL’s income on those financial statements and financial reports but the fact that the transactions are an execution of asset misappropriation by GL’S former Chief Executive Officer. Therefore GL’s financial statements and financial reports were not complied with Thai Financial Reporting Standards which violated section 56(1) - (4) and shall be liable for the penalties under section 274 of The Securities and Exchange Act of Thailand B.E. 2535 (1992). GL later filed the amended financial statements and financial reports to The Securities and Exchange Commission on 31 July, 2018.
| | Criminal Complaints | | |
| 1477 | 08/02/2019 | Mr. Prasert Prasarttong-osoth | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 13 November 2015 to 12 January 2016, Mr. Prasert Prasarttong-osoth, Ms.Poramaporn Prasarttong-osoth, and Mrs.Narumon Chainaknan colluded to sell and purchase Bangkok Airways Public Company Limited ("BA") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of BA shares. Consequently, the conduct of them affected the price or volume of BA shares to be incompatible with the normal market condition. | 006/2019 | Civil Sanction | 08/02/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 257,284,350.00 Baht | The SEC has banned Mr. Prasert from holding the position of director or executive at any issuing or listed companies for 2 years from 9 February 2019 to 8 February 2021. |
| 1478 | 08/02/2019 | Miss Poramaporn Prasarttong-osoth | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 13 November 2015 to 12 January 2016, Mr. Prasert Prasarttong-osoth, Ms.Poramaporn Prasarttong-osoth, and Mrs.Narumon Chainaknan colluded to sell and purchase Bangkok Airways Public Company Limited ("BA") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of BA shares. Consequently, the conduct of them affected the price or volume of BA shares to be incompatible with the normal market condition. | 006/2019 | Civil Sanction | 08/02/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 235,036,775.00 Baht | The SEC has banned Ms.Poramaporn from holding the position of director or executive at any issuing or listed companies for 1 year from 9 February 2019 to 8 February 2020. |
| 1479 | 08/02/2019 | Mrs. Narumon Chainaknan | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 13 November 2015 to 12 January 2016 Mr. Prasert Prasarttong-osoth, Ms.Poramaporn Prasarttong-osoth, and Mrs.Narumon Chainaknan colluded to sell and purchase Bangkok Airways Public Company Limited ("BA") shares with each other continuously in a way of concealment so as to mislead general public regarding the price or volume of BA shares. Consequently, the conduct of them affected the price or volume of BA shares to be incompatible with the normal market condition. | 006/2019 | Civil Sanction | 08/02/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 7,126,800.00 Baht | The SEC has banned Mrs. Narumon from holding the position of director or executive at any issuing or listed companies for 2 years from 9 February 2019 to 8 February 2021. |
| 1480 | 14/12/2018 | Mr. Somboon Yingyongkitmongkol | 242 (1) and 297 para.2 / SEC Act (the fifth amendment) | Mr. Somboon Yingyongkitmongkol, Assistant Managing Director, Operation of Sriracha Construction Public Company Limited ("SRICHA"), knew the inside information, in May 2017, that the estimated cost of PPC&PPE project was relatively different to the actual cost. That led to SRICHA experienced the net loss of 93.32 million Baht in the 2nd quarter of 2017, which is the biggest loss since it registered in the Stock Exchange of Thailand. Subsequently, during the period of 19 to 24 July 2017, Mr. Somboon, who knew or possessed the inside information, sold SRICHA shares in an amount of 225,700 shares by using Mr. Saranyu Yingyongkitmongkol's securities trading account, prior to the disclosure of the inside information to the public on 15 August 2017 (at 06.32 hrs). | 159/2018 | Civil Sanction | 14/12/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 335,050.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a bar from serving as a director or executive in a securities issuing company between 14/12/2018 and 13/12/2019
- a bar from serving as a director or executive in a securities company between 14/12/2018 and 13/12/2019
- a reimbursement of investigative expenses in an amount of 43,824.00 Baht | |
| 1481 | 16/11/2018 | Mr. Phisudhi Phihakendr | 308 310 and 311 / SEC Act | During 2017, Mr.Phisudhi Phihakendr, the Chairman of the Board of Directors of Energy Earth Public Company Limited (“EARTH”), joined with other six ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1482 | 16/11/2018 | Mr. Khajohnpong Khamdee | 308 310 and 311 / SEC Act | During 2017, Mr. Khajohnpong Khamdee, a director of Energy Earth Public Company Limited (“EARTH”), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1483 | 16/11/2018 | Mr. Thanawat Pratoomsuwan | 308 310 and 311 / SEC Act | During 2017, Mr. Thanawat Pratoomsuwan, an executive of Energy Earth Public Company Limited (“EARTH”), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1484 | 16/11/2018 | Mr. Phiroon Phihakendr | 308 310 and 311 / SEC Act | During 2017, Mr. Phiroon Phihakendr, a director of Energy Earth Public Company Limited (“EARTH”), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Thanawat Pratoomsuwan, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1485 | 16/11/2018 | Mr. Phipat Phihakendr | 308 310 and 311 / SEC Act | During 2017, Mr. Phipat Phihakendr, a director of Energy Earth Public Company Limited (“EARTH”), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1486 | 16/11/2018 | Mr. Phiboon Phihakendr | 308 310 and 311 / SEC Act | During 2017, Mr. Phiboon Phihakendr, a director of Energy Earth Public Company Limited (“EARTH”), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused the damage to EARTH.
In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1487 | 16/11/2018 | Miss Kanchana Chakvichitsopon | 308 310 and 311 / SEC Act | During 2017, Miss Kanchana Chakvichitsopon, a director of Energy Earth Public Company Limited (“EARTH”), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phipat Phihakendr and Mr. Phiboon Phihakendr, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to herself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1488 | 16/11/2018 | Tianjin Botai Zhongxing Trading Co., Ltd. | 308 310 and 311 in conjunction with 315 / SEC Act | During 2017, Tianjin Botai Zhongxing Trading Co., Ltd., a trading partner of Energy Earth Public Company Limited (“EARTH”), assisted or facilitated EARTH’s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1489 | 16/11/2018 | Jiangsu Guanrun Trading Co., Ltd. | 308 310 and 311 in conjunction with 315 / SEC Act | During 2017, Jiangsu Guanrun Trading Co., Ltd., a trading partner of Energy Earth Public Company Limited (“EARTH”), assisted or facilitated EARTH’s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1490 | 16/11/2018 | Mr. Lin Tong Hai | 308 310 and 311 in conjunction with 315 / SEC Act | During 2017, Mr. Lin Tong Hai, a trading partner of Energy Earth Public Company Limited (“EARTH”), assisted or facilitated EARTH’s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1491 | 16/11/2018 | Miss Nattha Saelee | 308 310 and 311 in conjunction with 315 / SEC Act | During 2017, Miss Nattha Saelee, who was authorized by Tianjin Botai Zhongxing Trading Co., Ltd., Jiangsu Guanrun Trading Co., Ltd. and Mr. Lin Tong Hai to sue Energy Earth Public Company Limited (“EARTH”) for damages, assisted or facilitated EARTH’s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratommsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1492 | 16/11/2018 | Amazen Pte. Ltd. | 308 310 and 311 in conjunction with 315 / SEC Act | During 2017, Amazen Pte. Ltd., a trading partner of Energy Earth Public Company Limited (“EARTH”), assisted or facilitated EARTH’s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1493 | 16/11/2018 | Mr. Amnat Tanggurimarn | 308 310 and 311 in conjunction with 315 / SEC Act | During 2017, Mr. Amnat Tanggurimarn, who was authorized by Amazen Pte. Ltd.
to sue Energy Earth Public Company Limited (“EARTH”) for damages, assisted or facilitated EARTH’s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratommsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1494 | 16/11/2018 | Napoleon Logistics Co., Ltd. | 308 310 and 311 in conjunction with 315 / SEC Act | During 2017, Napoleon Logistics Co., Ltd., a trading partner of Energy Earth Public Company Limited (“EARTH”), assisted or facilitated EARTH’s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1495 | 16/11/2018 | Marco Polo Ventures Co., Ltd. | 308 310 and 311 in conjunction with 315 / SEC Act | During 2017, Marco Polo Ventures Co., Ltd., a trading partner of Energy Earth Public Company Limited (“EARTH”), assisted or facilitated EARTH’s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1496 | 16/11/2018 | Mr. Ruangyos Mahaworamakorn | 308 310 and 311 in conjunction with 315 / SEC Act | During 2017, Mr. Ruangyos Mahaworamakorn, an authorized person of Napoleon Logistics Co., Ltd. and Marco Polo Ventures Co., Ltd., assisted or facilitated Energy Earth Public Company Limited (“EARTH”)’s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratommsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1497 | 16/11/2018 | Mr. Samarth Suvajarachai | 308 310 and 311 in conjunction with 315 / SEC Act | During 2017, Mr. Samarth Suvajarachai, an authorized person of Napoleon Logistics Co., Ltd. and Marco Polo Ventures Co., Ltd., assisted or facilitated Energy Earth Public Company Limited (“EARTH”)’s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratommsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH’s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. | 147/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1498 | 16/11/2018 | Mr. Khajohnpong Khamdee | 242 (1) / SEC Act (the fifth amendment) | Mr. Khajohnpong Khamdee, a director of Energy Earth Public Compay Limited ("EARTH"), knew the inside information, on 15 May 2017, that a financial institution declined EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, during the period of 30 May 2017 to 7 June 2017, Mr. Khajohnpong and Mr. Phisudhi Phihakendr jointly proceeded to sell 33.34 million shares of EARTH and 72.12 million EARTH-W4, totalling 88.80 million Baht, prior to the disclosure of the inside information to the public on 7 June 2017 at 20.07 hrs.
Moreover, there were 4 individuals, namely: Mr. Jittkasaem Kunchayangkul, Mr. Kasaemson Kunchayangkul, Mrs. Luckana Jantem and Miss Supaporn Saikham, that assisted or facilitated for Mr.Khajohnpong and Mr. Phisudhi in being involved in EARTH shares and EARTH-W4 trading and financial transaction. Additionally, Mr. Pachawat Kunchayangkul assisted or facilitated for Mr.Khajohnpong and Mr. Phisudhi in providing securities trading accounts of individuals above mentioned, and also involving in financial transaction concerning the trade of EARTH share and EARTH-W4. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1499 | 16/11/2018 | Mr. Phisudhi Phihakendr | 242 (1) / SEC Act (the fifth amendment) | Mr. Phisudhi Phihakendr, a director of Energy Earth Public Compay Limited ("EARTH"), knew the inside information, on 15 May 2017, that a financial institution declined EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, during the period of 30 May 2017 to 7 June 2017, Mr. Phisudhi and Mr. Khajohnpong Khamdee jointly proceeded to sell 33.34 million shares of EARTH and 72.12 million EARTH-W4, totalling 88.80 million Baht, prior to the disclosure of the inside information to the public on 7 June 2017 at 20.07 hrs.
Moreover, there were 4 individuals, namely: Mr. Jittkasaem Kunchayangkul, Mr. Kasaemson Kunchayangkul, Mrs. Luckana Jantem and Miss Supaporn Saikham, that assisted or facilitated for Mr.Khajohnpong and Mr. Phisudhi in being involved in EARTH shares and EARTH-W4 trading and financial transaction. Additionally, Mr. Pachawat Kunchayangkul assisted or facilitated for Mr.Khajohnpong and Mr. Phisudhi in providing securities trading accounts of individuals above mentioned, and also involving in financial transaction concerning the trade of EARTH share and EARTH-W4. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1500 | 16/11/2018 | Mr. Pachawat Kunchayangkul | 242 (1) / SEC Act (the fifth amendment) | During the period of 30 May 2017 to 7 June 2017, Mr. Pachawat Kunchayangkul assisted or facilitated for Mr. Khajohnpong Khamdee and Mr. Phisudhi Phihakendr, who proceeded to sell Energy Earth Public Compay Limited ("EARTH") shares and EARTH-W4 while knew or prosessed EARTH's inside information, by providing securities trading accounts of individuals, namely: Mr. Jittkasaem Kunchayangkul, Mr. Kasaemson Kunchayangkul, Mrs. Luckana Jantem and Miss Supaporn Saikham, and involving in financial transaction concerning the trade of EARTH share and EARTH-W4. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1501 | 16/11/2018 | Mr. Jittkasaem Kunchayangkul | 242 (1) / SEC Act (the fifth amendment) | During the period of 30 May 2017 to 7 June 2017, Mr. Jittkasaem Kunchayangkul assisted or facilitated for Mr. Khajohnpong Khamdee and Mr. Phisudhi Phihakendr, who proceeded to sell Energy Earth Public Compay Limited ("EARTH") shares and EARTH-W4 while knew or prosessed EARTH's inside information, by being involved in EARTH shares and EARTH-W4 trading and financial transaction concerning the trade of such securities. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1502 | 16/11/2018 | Mr. Kasaemson Kunchayangkul | 242 (1) / SEC Act (the fifth amendment) | During the period of 30 May 2017 to 7 June 2017, Mr. Kasaemson Kunchayangkul assisted or facilitated for Mr. Khajohnpong Khamdee and Mr. Phisudhi Phihakendr, who proceeded to sell Energy Earth Public Compay Limited ("EARTH") shares and EARTH-W4 while knew or prosessed EARTH's inside information, by being involved in EARTH shares and EARTH-W4 trading and financial transaction concerning the trade of such securities. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1503 | 16/11/2018 | Mrs. Luckana Jantem | 242 (1) / SEC Act (the fifth amendment) | During the period of 30 May 2017 to 7 June 2017, Mrs. Luckana Jantem assisted or facilitated for Mr. Khajohnpong Khamdee and Mr. Phisudhi Phihakendr, who proceeded to sell Energy Earth Public Compay Limited ("EARTH") shares and EARTH-W4 while knew or prosessed EARTH's inside information, by being involved in EARTH shares and EARTH-W4 trading and financial transaction concerning the trade of such securities. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1504 | 16/11/2018 | Miss Supaporn Saikham | 242 (1) / SEC Act (the fifth amendment) | During the period of 30 May 2017 to 7 June 2017, Miss Supaporn Saikham assisted or facilitated for Mr. Khajohnpong Khamdee and Mr. Phisudhi Phihakendr, who proceeded to sell Energy Earth Public Compay Limited ("EARTH") shares and EARTH-W4 while knew or prosessed EARTH's inside information, by being involved in EARTH shares and EARTH-W4 trading and financial transaction concerning the trade of such securities. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1505 | 16/11/2018 | Mr. Phipat Phihakendr | 242 (1) / SEC Act (the fifth amendment) | Mr. Phipat Phihakendr, a director of Energy Earth Public Compay Limited ("EARTH"), knew the inside information, on 15 May 2017, that a financial institution declined EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH shares in his trading account in order to repayment of other persons' margin loan debt, prior to the disclosure of the inside information to the public on 7 June 2017 at 20.07 hrs. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1506 | 16/11/2018 | Mrs. Thanyakamol Tritrakarn | 242 (1) / SEC Act (the fifth amendment) | While Mrs. Thanyakamol Tritrakarn was a director of Energy Earth Public Compay Limited ("EARTH"), she was presumed under Section 243 of the Securities and Exchange Act that knew or possessed the inside information of EARTH. That is, a financial institution declined EARTH's requests for extension of the repayment period on 15 May 2017, which led to EARTH's lack of liquidity. Subsequently, during the period of 22 May 2017 to 2 June 2017, Mrs. Thanyakamol, who knew or possessed the inside information, sold 7.94 million EARTH shares and 2.89 million units of EARTH-W4, prior to the disclosure of the inside information to the public on 7 June 2017 at 20.07 hrs. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1507 | 16/11/2018 | Mrs. Thanaporn Pongthiti | 242 (1) / SEC Act (the fifth amendment) | Mrs. Thanaporn Pongthiti is Mr. Phisudhi Phihakendr's sibling of the same blood parents, and while Mr. Phisudhi was a director of Energy Earth Public Compay Limited ("EARTH"), Mrs. Thanaporn sold all EARTH shares she had, totaling 13.96 million shares on 31 May 2017. That is presumed under Section 244 of the Securities and Exchange Act that she knew or possessed the inside information of EARTH, which is a financial institution declined EARTH's requests for extension of the repayment period on 15 May 2017, which led to EARTH's lack of liquidity. Therefore, she sold her EARTH shares when she knew or posessed the inside information prior to the disclosure of the inside information to the public on 7 June 2017 at 20.07 hrs. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1508 | 16/11/2018 | Mr. Piriya Pihakane | 242 (1) / SEC Act (the fifth amendment) | Mr. Piriya Pihakane is Mr. Phisudhi Phihakendr's sibling of the same blood parents, and while Mr. Phisudhi was a director of Energy Earth Public Compay Limited ("EARTH"), Mr. Piriya sold amost all of his EARTH shares he had, totaling 9.2 million shares on 16 May 2017. That is presumed under Section 244 of the Securities and Exchange Act that she knew or possessed the inside information of EARTH, which is a financial institution declined EARTH's requests for extension of the repayment period on 15 May 2017, which led to EARTH's lack of liquidity. Therefore, he sold his EARTH shares when he knew or posessed the inside information prior to the disclosure of the inside information to the public on 7 June 2017 at 20.07 hrs. | 115/2018, 147/2018 | Civil Sanction | 19/08/2021 filed a lawsuit to a civil court 16/11/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1509 | 09/11/2018 | Miss SURASA MUNGTHAWORN | | on account of committing wrongful acts against investors’ assets by forging and creating false documents | 144/2018 | Administrative Orders | Revocation | Effective Date 09/11/2018 to 09/11/2028 |
| 1510 | 09/11/2018 | Mr PATTARAWUT THUNYAJAROEN | | on account of committing wrongful acts against investors’ assets by forging and creating false documents | 144/2018 | Administrative Orders | Revocation | Effective Date 09/11/2018 to 09/11/2028 |
| 1511 | 06/11/2018 | Miss JASMIN DINDAENG | | | 138/2018 | Administrative Orders | Revocation | Effective Date 06/11/2018 to 05/11/2028 |
| 1512 | 30/10/2018 | Mr. Mitsuji konoshita | 240 (the fifth amendment) / SEC Act | On March 14, 2017, Mr. Mitsuji Konoshita, Chairman of the Board of Directors and Chief Executive Office of Group Lease Public Company Limited (“GL”) and its affiliates, informed misleading information in such a manner that was likely to have an effect on the price of share of GL or the decision making on the investment of share of GL . | 132/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1513 | 24/10/2018 | Miss Tanika Tangpoonphonvivat | 246 / SEC Act | Miss Tanika Tangpoonphonvivat, who acted together or was acting in concert with Mr. Sittichai Leeswatrakul by having an agreement to exercise their voting rights in the same direction, or an agreement to jointly manage a business, failed to report the disposal of Millcon Steel Public Company Limited (MILL) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after she and her concert parties jointly disposed MILL shares held by their nominee on June 11, 2014 which caused her and her concert parties aggregate holding of MILL shares reached or passed five percent of the total number of voting rights of MILL. She later filed the accurate reports (Form 246-2) to the SEC Office on October 18, 2018. | | Criminal Fine | imposing a fine of 1,026,000.00 Baht according to 39/2561 | |
| 1514 | 24/10/2018 | Mr. Sittichai Leeswatrakul | 246 / SEC Act | Mr. Sittichai Leeswatrakul, who acted together or was acting in concert with Miss Tanika Tangpoonphonvivat by having an agreement to exercise their voting rights in the same direction, or an agreement to jointly manage a business, failed to report the disposal of Millcon Steel Public Company Limited (MILL) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he and his concert parties jointly disposed MILL shares held by their nominee on June 11, 2014 which caused his and his concert parties aggregate holding of MILL shares reached or passed five percent of the total number of voting rights of MILL. He later filed the accurate reports (Form 246-2) to the SEC Office on October 18, 2018. | | Criminal Fine | imposing a fine of 1,026,000.00 Baht according to 38/2561 | |
| 1515 | 24/10/2018 | Mrs. Chamaiporn Yongvongphaiboon | 246 / SEC Act | On November 9, 2016 Mrs. Chamaiporn Yongvongpaiboon acquired of Permsin Steel Works Public Company Limited (PERM) shares held by her nominees which caused her aggregate holding of PERM shares reached or passed five percent of the total number of voting rights of PERM but she failed to reported these acquisition to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. She later filed the accurate reports (Form 246-2) to the SEC Office on September 21, 2018. | | Criminal Fine | imposing a fine of 480,600.00 Baht according to 37/2561 | |
| 1516 | 24/10/2018 | Miss PANCHAPAT SOOKHO | | | 129/2018 | Administrative Orders | Revocation | Effective Date 24/10/2018 to 07/06/2025 |
| 1517 | 17/10/2018 | Mrs SUTTHASINEE PHUANGPHET | | failed to perform duties with loyalty by commiting wrongful acts against the investor's asset | 125/2018 | Administrative Orders | Revocation | Effective Date 17/10/2018 to 16/10/2028 |
| 1518 | 02/10/2018 | Ronghui International Service Co., Ltd. | 33 / SEC Act | Ronghui International Service Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. | 119/2018 | Criminal Complaints | | |
| 1519 | 02/10/2018 | Mr. Chu Yingjay | 300 / SEC Act | Mr. Chu Yingjay, an Authorized Director of the Company, responsible for the operation of Ronghui International Service Co., Ltd. shall be liable for Ronghui International Service Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. | 119/2018 | Criminal Complaints | | |
| 1520 | 26/09/2018 | Mr. Chanon Wangtal | 246 / SEC Act | On March 8, 2018, Mr. Chanon Wangtal acquired shares of META Corporation Public Company Limited (META) (previously named Vintage Engineering Public Company Limited (VTE)), which caused his aggregated holding of META shares to reach or pass a multiple of 5 percent of the total voting rights of META. But he filed inaccurate reports (Form 246-2) of his holding of META shares after such acquisition to the SEC Office within 3 business days as specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office on June 28, 2018. | | Criminal Fine | imposing a fine of 20,700.00 Baht according to 31/2561 | |
| 1521 | 26/09/2018 | Mr. Porameth Rungrongtanin | 247 in conjunction with Section 86 of the Penal Code / SEC Act | Mr. Porameth Rungrongtanin made a tender offer on behalf of Mr. Sathit Roongwatanapak but
Mr. Porameth did not disclose in tender offer report (Form 247-4) on September 30, 2013 that Mr. Sathit was the owner of ABC shares. Such action aided and abetted Mr. Sathit to violate section 247 and was to conceal that Mr.Sathit was the owner of ABC shares. | | Criminal Fine | imposing a fine of 781,333.33 Baht according to 30/2561 | |
| 1522 | 26/09/2018 | Mr. Porameth Rungrongtanin | 246 in conjunction with section 86 of the Penal Code / SEC Act | Mr. Porameth Rungrongtanin as a nominee of Mr. Sathit Roongwatanapak filed reports (Form 246-2) to the SEC Office the acquisition or disposal of Asset Bright Public Company Limited (ABC) shares when aggregate holding of ABC in trading account of Mr. Porameth reached or passed five percent
of the total number of voting rights of ABC. Such action aided and abetted Mr. Sathit to violate section 246. | | Criminal Fine | imposing a fine of 771,600.00 Baht according to 30/2561 | |
| 1523 | 26/09/2018 | Mr. Sathit Roongwatanapak | 246 / SEC Act | Between September 26, 2013 to May 22, 2015, Mr. Sathit Roongwatanapak acquired or disposed
Asset Bright Public Company Limited (ABC) shares through his nominee trading account which caused his aggregate holding of ABC shares reached or passed five percent of the total number of voting rights of ABC. He failed to report to the SEC Office the acquisition or disposal shares held by his nominee within the period specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office on August 10, 2018. | | Criminal Fine | imposing a fine of 1,157,400.00 Baht according to 29/2561 | |
| 1524 | 26/09/2018 | Mr. Sathit Roongwatanapak | 247 / SEC Act | Mr. Sathit Roongwatanapak filed an inaccurate tender offer report (Form 247-4) of Asset Bright Public Company Limited (ABC) shares on September 30, 2013. The Form 247-4 was filed in the name of
Mr. Porameth Rungrongtanin and did not disclose that Mr. Sathit was the owner of ABC shares. | | Criminal Fine | imposing a fine of 1,172,000.00 Baht according to 29/2561 | |
| 1525 | 24/09/2018 | Mr. Thanawat Chansuwan | 241 / SEC Act (before the fifth amendment) | From 1 November 2016 to 12 January 2017, Mr. Thanawat Chansuwan, while serving as the Chief Administrative Officer and a director of Inter Far East Energy Corporation Public Company Limited ("IFEC"), acquired the knowledge from the Board of Directors Meetings No. 11/2016, held on 1 November 2016, that IFEC faced a problem with insufficient cash flow to pay off its Bill of Exchange (B/E) due at the end of the year 2016. Such knowledge considered as a material fact that negatively affects the price of IFEC securities. He took advantage of other investors by utilizing the inside information for selling IFEC shares since 1 November 2016 till 22 December 2016, totaling 978,000 shares, through his own trading account. | 098/2018 | Civil Sanction | 11/09/2019 The Civil Court delivered a decree ordering Mr. Thanawat Chansuwan to pay 1,787,217.60 Baht with 7.5 percent per year interest of such principal from 1 January 2019 until the payment is made in full. However, the interest before the date of complaint must not exceed 27,175.50 Baht according to the request of the claimant. Moreover, the court ordered Mr. Thanawat to reimburse the execution cost and 6,000 Baht of attorney fee to the claimant. 15/03/2019 filed a lawsuit to a civil court 14/01/2019 referred the case to a state attorney for filing a lawsuit to a civil court 24/09/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,385,440.00 Baht
- a civil monetary penalty of 1,593,256.00 Baht | currently under the process of legal execution The SEC has banned Mr. Thanawat from holding the position of director or executive at any issuing or listed companies for 1 year from 5 September 2018 to 4 September 2019. |
| 1526 | 12/09/2018 | Chart Master Co., Ltd | 16 / DV Act | Chart Master Co., Ltd. by Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., had convinced and solicited the public to invest in derivative contracts. Such solicitation was made via various channels, for example, the website of the company - www.chart-master.com, Youtube, emails, telephone calls, SMS, and Line application with a view for investors to trade derivative contracts in their accounts of a securities company, in cooperation with Mr. Narathip Lohaweroj and Mr. Torpong Thammasombat, investment consultants of the securities company and Miss Skonwan Paruang had the duty to contact investors. The acts of Chart Master Co., Ltd. are liable to operating derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). | 108/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1527 | 12/09/2018 | Mr. Thiti Tarasuk | 16 / DV Act | Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., had convinced and solicited the public to invest in derivative contracts. Such solicitation was made via various channels, for example, the website of the company - www.chart-master.com, Youtube, emails, telephone calls, SMS, and Line application with a view for investors to trade derivative contracts in their accounts of a securities company, in cooperation with Mr. Narathip Lohaweroj and Mr. Torpong Thammasombat, investment consultants of the securities company and Miss Skonwan Paruang had the duty to contact investors. The acts of Mr. Thiti Tharasuk are liable to operating derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). | 108/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1528 | 12/09/2018 | Mr. Narathip Lohawaroj | 16 / DV Act | Mr. Narathip Lohaweroj, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., convinced and solicited the public to invest in derivative contracts. Such solicitation was made via various channels, for example, the website of the company - www.chart-master.com, Youtube, emails, telephone calls, SMS, and Line application with a view for investors to trade derivative contracts in their accounts of a securities company, in cooperation with Mr. Torpong Thammasombat, an investment consultant of the securities company and Miss Skonwan Paruang had the duty to contact investors. The acts of Mr. Narathip Lohaweroj are liable to operating derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). | 108/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1529 | 12/09/2018 | Mr. Torpong Thammasombut | 16 / DV Act | Mr. Torpong Thammasombat, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., convinced and solicited the public to invest in derivative contracts. Such solicitation was made via various channels, for example, the website of the company - www.chart-master.com, Youtube, emails, telephone calls, SMS, and Line application with a view for investors to trade derivative contracts in their accounts of a securities company, in cooperation with Mr. Narathip Lohaweroj, an investment consultant of the securities company and Miss Skonwan Paruang had the duty to contact investors. The acts of Mr. Torpong Thammasombat are liable to operating derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). | 108/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1530 | 12/09/2018 | Mrs. Sakonwan Paruang | 16 / DV Act | Miss Skonwan Paruang had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., who had convinced and solicited the public to invest in derivative contracts. Such solicitation was made via various channels, for example, the website of the company - www.chart-master.com, Youtube, emails, telephone calls, SMS, and Line application with a view for investors to trade derivative contracts in their accounts of a securities company, in cooperation with Mr. Narathip Lohaweroj and Mr. Torpong Thammasombat, investment consultants of the securities company and Miss Skonwan had the duty to contact investors. The acts of Miss Skonwan are liable to operating derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). | 108/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1531 | 05/09/2018 | Saxo Capital Market Pte.,Ltd. | 90 and Section 16 of DV Act / SEC Act | Saxo Capital Market Pte.,Ltd. (Saxo) colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively. | 103/2018 | Criminal Complaints | The public prosecutor issued a prosecution order; however, the juristic person representative has evaded the arrest and has been pursued for case proceedings. | |
| 1532 | 05/09/2018 | Mr. Chris Lum | 90 and Section 16 of DV Act / SEC Act | Mr. Chris Lum colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively. | 103/2018 | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, the accused escaped and an arrest warrant was issued to bring the accused to trial. | |
| 1533 | 05/09/2018 | Mr. Victor Wongsonegoro | 90 and Section 16 of DV Act / SEC Act | Mr. Victor Wongsonegoro colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively. | 103/2018 | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, the accused escaped and an arrest warrant was issued to bring the accused to trial. | |
| 1534 | 05/09/2018 | Ms. Chong Jia Min | 90 and Section 16 of DV Act / SEC Act | Ms. Chong Jia Min colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively. | 103/2018 | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, the accused escaped and an arrest warrant was issued to bring the accused to trial. | |
| 1535 | 05/09/2018 | Ms. Kaewta Hengpracha | 90 and Section 16 of DV Act / SEC Act | Ms. Kaewta Hengpracha colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively. | 103/2018 | Criminal Complaints | The public prosecutor issued a prosecution order against the accused. | |
| 1536 | 04/09/2018 | Mr. Suphanan Rittiphairoj | 241 / SEC Act (before the fifth amendment) | From 1 November 2016 to 12 January 2017, Mr. Suphanan Rittiphairoj, while serving as the Chief Operating Officer and a director of Inter Far East Energy Corporation Public Company Limited ("IFEC"), acquired the knowledge from the Board of Directors Meetings No. 11/2016, held on 1 November 2016, that IFEC faced a problem with insufficient cash flow to pay off its Bill of Exchange (B/E) due at the end of the year 2016. Such knowledge was considered as a material fact negatively affecting the price of IFEC securities. He took advantage of other investors by utilizing the inside information for selling IFEC shares on 4 November 2016, totaling 10,153,186 shares, through his own trading account. | 004/2021, 102/2018, 98/2018 | Civil Sanction | 22/12/2020 The Appeal Court has rendered a judgement opposing the judgement of the Civil Court by ordering the defendant, Mr. Suphanan Rittiphairoj, to pay the total amount of 31,926,822.72 baht plus the annual interest rate of 7.5 percent – starting from the case filing date (27 December 2018) until the date of completing the full payment – to SEC, the plaintiff. 12/11/2019 The Civil Court has a judgment to dismiss the case. 27/12/2018 filed a lawsuit to a civil court 04/09/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the process of legal execution |
| 1537 | 31/08/2018 | Mrs. Chamaiporn Yongwongpaiboon | 241 / SEC Act (before the fifth amendment) | Mrs. Chamaiporn Yongwongpaiboon, Managing Director and Accounting and Finance Director of Permsin Steel Works Public Company Limited ("PERM"), knew the inside information about an increase of the net profit of PERM in the 1st quarter of 2016 and the 3rd quarter of 2016 by virtue of her position. Subsequently, she purchased PERM shares through her securities trading account on 4 March 2016 and 18 April 2016, and proceeded to purchase PERM shares in other securities trading accounts, as follow:
- Miss Natthaporn Yongwongpaiboon's account on 5 April 2016, 18-20 April 2016, 22 April 2016, 9 November 2016 and 11 November 2016;
- Miss Lalinporn Yongwongpaiboon's account on 22 March 2016, 4 April 2016, 8-9 September 2016 and 13 September 2016; and
- Mr. Permsin Yongvongpaiboon's account on 19-23 September 2016, 3 October 2016, 12-13 October 2016 and 3, 7, 9, 10 and 14 November 2016. Therefore, such acts were done in a way to take advantage of other persons.
In addition, Miss Natthaporn, Miss Lalinporn and Mr. Permsin assisted or facilitated for Mrs. Chamaiporn in being involved in PERM share trading and financial transaction concerning the trade of PERM shares. | 100/2018 | Civil Sanction | 31/08/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 11,178,444.00 Baht
- a civil monetary penalty of 13,973,055.00 Baht | The SEC has banned Mrs. Chamaiporn from holding the position of director or executive at any issuing or listed companies for 3 years from 1 September 2018 to 31 August 2021. |
| 1538 | 31/08/2018 | Miss Natthaporn Yongwongpaiboon | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Mrs. Chamaiporn Yongwongpaiboon, Managing Director and Accounting and Finance Director of Permsin Steel Works Public Company Limited ("PERM"), knew the inside information about an increase of the net profit of PERM in the 1st quarter of 2016 and the 3rd quarter of 2016 by virtue of her position. Subsequently, she purchased PERM shares through her securities trading account on 4 March 2016 and 18 April 2016, and proceeded to purchase PERM shares in other securities trading accounts, as follow:
- Miss Natthaporn Yongwongpaiboon's account on 5 April 2016, 18-20 April 2016, 22 April 2016, 9 November 2016 and 11 November 2016;
- Miss Lalinporn Yongwongpaiboon's account on 22 March 2016, 4 April 2016, 8-9 September 2016 and 13 September 2016; and
- Mr. Permsin Yongvongpaiboon's account on 19-23 September 2016, 3 October 2016, 12-13 October 2016 and 3, 7, 9, 10 and 14 November 2016. Therefore, such acts were done in a way to take advantage of other persons.
In addition, Miss Natthaporn, Miss Lalinporn and Mr. Permsin assisted or facilitated for Mrs. Chamaiporn in being involved in PERM share trading and financial transaction concerning the trade of PERM shares. | 100/2018 | Civil Sanction | 31/08/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 666,666.66 Baht | |
| 1539 | 31/08/2018 | Miss Lalinporn Yongwongpaiboon | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Mrs. Chamaiporn Yongwongpaiboon, Managing Director and Accounting and Finance Director of Permsin Steel Works Public Company Limited ("PERM"), knew the inside information about an increase of the net profit of PERM in the 1st quarter of 2016 and the 3rd quarter of 2016 by virtue of her position. Subsequently, she purchased PERM shares through her securities trading account on 4 March 2016 and 18 April 2016, and proceeded to purchase PERM shares in other securities trading accounts, as follow:
- Miss Natthaporn Yongwongpaiboon's account on 5 April 2016, 18-20 April 2016, 22 April 2016, 9 November 2016 and 11 November 2016;
- Miss Lalinporn Yongwongpaiboon's account on 22 March 2016, 4 April 2016, 8-9 September 2016 and 13 September 2016; and
- Mr. Permsin Yongvongpaiboon's account on 19-23 September 2016, 3 October 2016, 12-13 October 2016 and 3, 7, 9, 10 and 14 November 2016. Therefore, such acts were done in a way to take advantage of other persons.
In addition, Miss Natthaporn, Miss Lalinporn and Mr. Permsin assisted or facilitated for Mrs. Chamaiporn in being involved in PERM share trading and financial transaction concerning the trade of PERM shares. | 100/2018 | Civil Sanction | 31/08/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 666,666.66 Baht | |
| 1540 | 31/08/2018 | Mr. Permsin Yongvongpaiboon | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Mrs. Chamaiporn Yongwongpaiboon, Managing Director and Accounting and Finance Director of Permsin Steel Works Public Company Limited ("PERM"), knew the inside information about an increase of the net profit of PERM in the 1st quarter of 2016 and the 3rd quarter of 2016 by virtue of her position. Subsequently, she purchased PERM shares through her securities trading account on 4 March 2016 and 18 April 2016, and proceeded to purchase PERM shares in other securities trading accounts, as follow:
- Miss Natthaporn Yongwongpaiboon's account on 5 April 2016, 18-20 April 2016, 22 April 2016, 9 November 2016 and 11 November 2016;
- Miss Lalinporn Yongwongpaiboon's account on 22 March 2016, 4 April 2016, 8-9 September 2016 and 13 September 2016; and
- Mr. Permsin Yongvongpaiboon's account on 19-23 September 2016, 3 October 2016, 12-13 October 2016 and 3, 7, 9, 10 and 14 November 2016. Therefore, such acts were done in a way to take advantage of other persons.
In addition, Miss Natthaporn, Miss Lalinporn and Mr. Permsin assisted or facilitated for Mrs. Chamaiporn in being involved in PERM share trading and financial transaction concerning the trade of PERM shares. | 100/2018 | Civil Sanction | 31/08/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1541 | 30/08/2018 | Mr. Surin Banyongponglert | 244/3 (1) / SEC Act (the fifth amendment) | From 25 July 2017 to 9 August 2017 (total 11 working days), Mr. Surin Banyongponglert traded PICO shares via his 4 trading accounts on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition and caused damages to other investors. | 099/2018, 167/2019 | Civil Sanction | 15/12/2020 The Civil Court delivered the Appeal Court judgment amending the Civil Court judgment. The Appeal Court imposed civil sanctions as follows: the payment of a sum of 24,538,815 Baht together with 7.5% per annum interest calculated from such amount since the date of the entry of the plaint (26 December 2018) until the payment is made in full; a suspension of trading in securities on the Stock Exchange or the over-the-counter center, or derivatives contracts on the Derivatives Exchange for 3 years from 15 December 2020; and a bar from serving as a director or executive in a securities issuing company or a securities company for 5 years from 15 December 2020. Moreover, the Appeal Court ordered the defendant to reimburse Appeal Court fees and attorney fees to the plaintiff. 16/10/2019 The Civil Court delivered a judgement that the defendant had committed an offense under the lawsuit of the plaintiff, and imposed civil sanctions, as follow: a civil penalty, a compensation at an equal amount to the benefit should have been received from committing the offence and a reimbursement of investigation expenses incurred by the SEC in a sum of 18,430,644.75 Baht together with 7.5% p.a. interest calculated from such amount since the date of the entry of the plaint until the payment is made in full; a suspension of trading in securities on the Stock Exchange or the over-the-counter center, or derivatives contracts on the Derivatives Exchange for 1 year and 6 months from 16 October 2019; and a bar from serving as a director or executive in a securities issuing company or a securities company for 3 years from 16 October 2019. Moreover, the court ordered the defendant to reimburse court fees and attorney fees to the plaintiff. 26/12/2018 filed a lawsuit to a civil court 30/08/2018 referred the case to a state attorney for filing a lawsuit to a civil court | |
| 1542 | 23/08/2018 | Mr. Yongyuth Ngamkaiwan | 300 / SEC Act | Mr. Yongyuth Ngamkaiwan, the person who is responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare (1) the audited financial statements for the year 2017, (2) the annual report for the year 2017 (Form 56-2, 2017), (3) the annual registration statement for the year 2017 (Form 56-1, 2017) and (4) the reviewed financial statements for Q1/2018 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, attempt to arrest the offender failed and the statute of limitations ran out. | |
| 1543 | 22/08/2018 | Miss Tanika Tangpoonphonvivat | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Tanika Tangpoonphonvivat and Mr. Sittichai Leeswadtrakul used and/or took control of 29 trading accounts of other individuals and juristic persons for purchasing and selling Millcon Steel Public Company Limited ("MILL") shares in the way of colluding by agreeing with others to purchase or sell MILL shares in concealment in order to mislead the general public to believe that such securities are purchased or sold in great volume. Plus, they continuously traded MILL shares in order to lure the general public to purchase or sell MILL shares, which led to a trading condition of MILL shares was not consistent with the normal market conditions.
In addition, there were other 5 individuals, namely: Miss Pornwadee Somphonchaikul, Mr. Kiartkasem Nanthaphiboon, Mr. Vorapote Amnueypol, Mr. Amarit Nantanawut and Mr. Pongpat Rungwanonchai, that joined with Mr. Sittichai and Miss Tanika in committing manipulation of Millcon Steel Public Company Limited ("MILL")'s share price by conducting financial transactions related to MILL share trading and being a beneficiary, instead of them, in a juristic person and trading accounts related to the trading of MILL shares.
Moreover, there were 17 individuals, namely: Mr. Amnard Wongpaitoonpiya, Miss Preechaya Wongphaitoonpiya, Mr. Anupong Kuttikul, Miss Nattaya Chokudomnirun, Miss Sayumporn Leksimlim, Miss Sri-Ubon Inthornaumnuay, Miss Boonyarat Saesue, Miss Ampai Rattana-nawin, Mr. Akkarin Thanakijrujiroj, Miss Tannapas Thanakijrujiroj, Miss Srila-Or Nanthasukkasem, Miss Thanthip Sakunphatthanarot, Mr. Pattipan Chatametikul, Mr. Ekapol Techamanoromb, Mr. Sitthut Sittisamarn, Miss Ratana Meeklinhom and Mr. Sarawut Leelasornchai, that assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat by allowing them to use their securities trading account and their bank account for the MILL shares trading. | 079/2018 | Civil Sanction | 22/08/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 81,989,987.87 Baht | |
| 1544 | 22/08/2018 | Mr. Sittichai Leeswadtrakul | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat used and/or took control of 29 trading accounts of other individuals and juristic persons for purchasing and selling Millcon Steel Public Company Limited ("MILL") shares in the way of colluding by agreeing with others to purchase or sell MILL shares in concealment in order to mislead the general public to believe that such securities are purchased or sold in great volume. Plus, they continuously traded MILL shares in order to lure the general public to purchase or sell MILL shares, which led to a trading condition of MILL shares was not consistent with the normal market conditions.
In addition, there were other 5 individuals, namely: Miss Pornwadee Somphonchaikul, Mr. Kiartkasem Nanthaphiboon, Mr. Vorapote Amnueypol, Mr. Amarit Nantanawut and Mr. Pongpat Rungwanonchai, that joined with Mr. Sittichai and Miss Tanika in committing manipulation of Millcon Steel Public Company Limited ("MILL")'s share price by conducting financial transactions related to MILL share trading and being a beneficiary, instead of them, in a juristic person and trading accounts related to the trading of MILL shares.
Moreover, there were 17 individuals, namely: Mr. Amnard Wongpaitoonpiya, Miss Preechaya Wongphaitoonpiya, Mr. Anupong Kuttikul, Miss Nattaya Chokudomnirun, Miss Sayumporn Leksimlim, Miss Sri-Ubon Inthornaumnuay, Miss Boonyarat Saesue, Miss Ampai Rattana-nawin, Mr. Akkarin Thanakijrujiroj, Miss Tannapas Thanakijrujiroj, Miss Srila-Or Nanthasukkasem, Miss Thanthip Sakunphatthanarot, Mr. Pattipan Chatametikul, Mr. Ekapol Techamanoromb, Mr. Sitthut Sittisamarn, Miss Ratana Meeklinhom and Mr. Sarawut Leelasornchai, that assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat by allowing them to use their securities trading account and their bank account for the MILL shares trading. | 079/2018 | Civil Sanction | 22/08/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 81,989,987.87 Baht | The SEC has banned Mr. Sittichai from holding the position of director or executive at any issuing or listed companies for 3 year |
| 1545 | 21/06/2018 | Mr. Sarath Teganjanavanich | 241 / SEC Act (before the fifth amendment) | During the period of 9 to 16 October 2015 and 12 to 26 April 2016, Mr. Sarath Teganjanavanich, Vice President of Business Planning and Finance of Thai Optical Group Public Company Limited ("TOG"), purchased TOG shares through Miss Malita Limlomwongse's securities trading account. In the purchase of TOG shares, he utilized the inside information accessed by the virtue of his position, that is:
- the net profit of TOG in the 3rd quarter of 2015 of 89.62 million Baht, which increased by 136.97 percent compared to the 3rd quarter of 2014 and 119.23 percent compared to the 1st quarter of 2015 that was disclosed to the public on 11 November 2015 (at 17.10 hrs), and
- the net profit of TOG in the 1st quarter of 2015 of 75.30 million Baht, which increased by 73.22 percent compared with the 1st quarter of 2015 and 35.29 percent compared with the 4th quarter of 2015 that was disclosed to the public on 11 May 2016 (at 17.12 hrs). Therefore, such act was done in a way to take advantage of other persons.
In addition, Miss Malita assisted or facilitated for Mr. Sarath by allowing him to use her securities trading account and involving in financial transaction concerning the trade of TOG shares. | 68/2018 | Civil Sanction | 21/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,853,425.00 Baht
- a civil monetary penalty of 2,316,781.25 Baht | The SEC has banned Mr. Sarath from holding the position of director or executive at any issuing or listed companies for 2 years from 22 June 2018 to 21 June 2020. |
| 1546 | 21/06/2018 | Miss Malita Limlomwongse | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 9 to 16 October 2015 and 12 to 26 April 2016, Mr. Sarath Teganjanavanich, Vice President of Business Planning and Finance of Thai Optical Group Public Company Limited ("TOG"), purchased TOG shares through Miss Malita Limlomwongse's securities trading account. In the purchase of TOG shares, he utilized the inside information accessed by the virtue of his position, that is:
- the net profit of TOG in the 3rd quarter of 2015 of 89.62 million Baht, which increased by 136.97 percent compared to the 3rd quarter of 2014 and 119.23 percent compared to the 1st quarter of 2015 that was disclosed to the public on 11 November 2015 (at 17.10 hrs), and
- the net profit of TOG in the 1st quarter of 2015 of 75.30 million Baht, which increased by 73.22 percent compared with the 1st quarter of 2015 and 35.29 percent compared with the 4th quarter of 2015 that was disclosed to the public on 11 May 2016 (at 17.12 hrs). Therefore, such act was done in a way to take advantage of other persons.
In addition, Miss Malita assisted or facilitated for Mr. Sarath by allowing him to use her securities trading account and involving in financial transaction concerning the trade of TOG shares. | 68/2018 | Civil Sanction | 21/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 666,666.66 Baht | |
| 1547 | 20/06/2018 | Mr.Khampol Viratepsuporn | 246 / SEC Act | Mr. Khampol Viratepsuporn failed to report to the SEC Office the acquisition or disposal of News Network Corporation Public Company Limited (NEWS) shares held by his nominee within the period specified in the notification of the Capital Market Supervisory Board after he acquired or disposed NEWS shares (on May 26 - 27, 2014) which caused his aggregate holding of NEWS shares reached or passed five percent of the total number of voting rights of NEWS. He later filed the accurate reports (Form 246-2) to the SEC Office on March 30, 2018. | | Criminal Fine | imposing a fine of 458,850.00 Baht according to 21/2561 | |
| 1548 | 20/06/2018 | Mr. Khampol Viratepsuporn | 246 / SEC Act | Mr. Khampol Viratepsuporn failed to report to the SEC Office the acquisition or disposal of Polaris Capital Public Company Limited (POLAR) shares held by his nominee within the period specified in the notification of the Capital Market Supervisory Board after he acquired or disposed POLAR shares (on November 27, 2014 and on January 9, 2015) which caused his aggregate holding of POLAR shares reached or passed five percent of the total number of voting rights of POLAR. He later filed the accurate reports (Form 246-2) to the SEC Office on March 30, 2018. | | Criminal Fine | imposing a fine of 402,450.00 Baht according to 21/2561 | |
| 1549 | 20/06/2018 | Mr. Suvit Pipatvilaikul | 246 / SEC Act | Mr. Suvit Pipatvilaikul failed to report to the SEC Office the acquisition or disposal of News Network Corporation Public Company Limited (NEWS) shares held by his nominee within the period specified in the notification of the Capital Market Supervisory Board after he acquired or disposed NEWS shares (between December 6, 2013 and September 15, 2016) which caused his aggregate holding of NEWS shares reached or passed five percent of the total number of voting rights of NEWS. He later filed the accurate reports (Form 246-2) to the SEC Office on July 6, 2018. | | Criminal Fine | imposing a fine of 992,250.00 Baht according to 20/2561 | |
| 1550 | 20/06/2018 | Mr. Suvit Pipatvilaikul | 246 / SEC Act | Mr. Suvit Pipatvilaikul failed to report to the SEC Office the acquisition or disposal of Polaris Capital Public Company Limited (POLAR) shares held by his nominee within the period specified in the notification of the Capital Market Supervisory Board after he acquired or disposed POLAR shares (between July 21, 2014 and June 30, 2015) which caused his aggregate holding of POLAR shares reached or passed five percent of the total number of voting rights of POLAR. He later filed the accurate reports (Form 246-2) to the SEC Office on July 6, 2018.
| | Criminal Fine | imposing a fine of 1,335,750.00 Baht according to 20/2561 | |
| 1551 | 13/06/2018 | Mr. Sathit Roongwatanapak | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 22 May 2014 to 30 June 2014, 7 offenders, namely: Mr. Sathit Roongwatanapak, Mr. Chavin Roongwatanapak, Mr. Porameth Rungrongtanin, Miss Tanyapa Sawessil, Miss Sorod Jantratip, Miss Iryne Tangpoolcharoen and Mrs. Saliga Tangpoolcharoen, colluded and divided duties with each other to commit offense in using Miss Sorod's securities trading account to purchase Asset Bright Public Company Limited ("ABC") shares on a continued basis and in concealment in order to mislead the general public to believe that ABC shares were purchased or sold in great volume or the price of such securities had changed or had not changed that was not consistent with the normal conditions, and such trading was made to lure other investors to purchase or sell ABC shares. | 059/2018, 064/2018 | Civil Sanction | 13/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 57,967,544.09 Baht | |
| 1552 | 13/06/2018 | Mr. Chavin Roongwatanapak | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 22 May 2014 to 30 June 2014, 7 offenders, namely: Mr. Sathit Roongwatanapak, Mr. Chavin Roongwatanapak, Mr. Porameth Rungrongtanin, Miss Tanyapa Sawessil, Miss Sorod Jantratip, Miss Iryne Tangpoolcharoen and Mrs. Saliga Tangpoolcharoen, colluded and divided duties with each other to commit offense in using Miss Sorod's securities trading account to purchase Asset Bright Public Company Limited ("ABC") shares on a continued basis and in concealment in order to mislead the general public to believe that ABC shares were purchased or sold in great volume or the price of such securities had changed or had not changed that was not consistent with the normal conditions, and such trading was made to lure other investors to purchase or sell ABC shares. | 059/2018, 064/2018 | Civil Sanction | 13/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 57,967,544.09 Baht | |
| 1553 | 12/06/2018 | Mr. Phisudhi Phihakendr | 312 / SEC Act | Mr. Phisudhi Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1554 | 12/06/2018 | Mr. Khajohnpong Khamdee | 312 / SEC Act | Mr. Khajohnpong Khamdee and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1555 | 12/06/2018 | Mr. Thanawat Pratoomsuwan | 312 / SEC Act | Mr. Thanawat Pratoomsuwan and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1556 | 12/06/2018 | Mr. Phiroon Phihakendr | 312 / SEC Act | Mr. Phiroon Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1557 | 12/06/2018 | Mr. Phipat Phihakendr | 312 / SEC Act | Mr. Phipat Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1558 | 12/06/2018 | Mr. Phiboon Phihakendr | 312 / SEC Act | Mr. Phiboon Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1559 | 12/06/2018 | Miss Kanchana Chakvichitsopon | 312 / SEC Act | Miss Kanchana Chakvichitsopon and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1560 | 12/06/2018 | Mr. Somkiat Sukdheva | 312 / SEC Act | Mr. Somkiat Sukdheva and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1561 | 12/06/2018 | Mr. Suriyaporn Bunchai | 312 / SEC Act | Mr. Suriyaporn Bunchai and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1562 | 12/06/2018 | Mr. Eknarin Thammaraks | 312 / SEC Act | Mr. Eknarin Thammaraks and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1563 | 12/06/2018 | Mr. Thongchai Watanasoponwong | 312 / SEC Act | Mr. Thongchai Watanasoponwong and ten directors and formal directors of Energy Earth Public Company Limited (“EARTH”) committed or permitted another to make false entries or fail to enter any material statement in the EARTH’s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht. | 062/2018 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1564 | 12/06/2018 | Miss Iryne Tangpoolcharoen | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 22 May 2014 to 30 June 2014, 7 offenders, namely: Mr. Sathit Roongwatanapak, Mr. Chavin Roongwatanapak, Mr. Porameth Rungrongtanin, Miss Tanyapa Sawessil, Miss Sorod Jantratip, Miss Iryne Tangpoolcharoen and Mrs. Saliga Tangpoolcharoen, colluded and divided duties with each other to commit offense in using Miss Sorod's securities trading account to purchase Asset Bright Public Company Limited ("ABC") shares on a continued basis and in concealment in order to mislead the general public to believe that ABC shares were purchased or sold in great volume or the price of such securities had changed or had not changed that was not consistent with the normal conditions, and such trading was made to lure other investors to purchase or sell ABC shares. | 059/2018, 064/2018 | Civil Sanction | 12/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1565 | 12/06/2018 | Mrs. Saliga Tangpoolcharoen | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 22 May 2014 to 30 June 2014, 7 offenders, namely: Mr. Sathit Roongwatanapak, Mr. Chavin Roongwatanapak, Mr. Porameth Rungrongtanin, Miss Tanyapa Sawessil, Miss Sorod Jantratip, Miss Iryne Tangpoolcharoen and Mrs. Saliga Tangpoolcharoen, colluded and divided duties with each other to commit offense in using Miss Sorod's securities trading account to purchase Asset Bright Public Company Limited ("ABC") shares on a continued basis and in concealment in order to mislead the general public to believe that ABC shares were purchased or sold in great volume or the price of such securities had changed or had not changed that was not consistent with the normal conditions, and such trading was made to lure other investors to purchase or sell ABC shares. | 059/2018, 064/2018 | Civil Sanction | 12/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 2,827,046.21 Baht | |
| 1566 | 11/06/2018 | Mr. Ke Xiwei | 90 / SEC Act | Mr. Ke Xiwei colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 61/2018 | Criminal Complaints | On October 3, 2018, the Bangkok South Criminal Court ruled against him for violating Sections 90 and 289 of the SEC Act. The Court inflicted the punishment of 2-year imprisonment. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment.The case was deemed final. | |
| 1567 | 11/06/2018 | Mr. Zhou Zhou | 90 / SEC Act | Mr. Zhou Zhou colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 61/2018 | Criminal Complaints | On October 3, 2018, the Bangkok South Criminal Court ruled against him for violating Sections 90 and 289 of the SEC Act. The Court inflicted the punishment of 2-year imprisonment. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment.The case was deemed final.
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| 1568 | 11/06/2018 | Mr. Cheng Jia | 90 / SEC Act | Mr. Cheng Jia colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 61/2018 | Criminal Complaints | On October 3, 2018, the Bangkok South Criminal Court ruled against him for violating Sections 90 and 289 of the SEC Act. The Court inflicted the punishment of 2-year imprisonment. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment. The case was deemed final.
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| 1569 | 11/06/2018 | Mr. Lu Yangyin | 90 / SEC Act | Mr. Lu Yangyin colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 61/2018 | Criminal Complaints | On October 3, 2018, the Bangkok South Criminal Court ruled against him for violating Sections 90 and 289 of the SEC Act. The Court inflicted the punishment of 2-year imprisonment. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment. The case was deemed final.
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| 1570 | 11/06/2018 | Mr. Wu Jincheng | 90 / SEC Act | Mr. Wu Jincheng colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 61/2018 | Criminal Complaints | On October 3, 2018, the Bangkok South Criminal Court ruled against him for violating Sections 90 and 289 of the SEC Act. The Court inflicted the punishment of 2-year imprisonment. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment. The case was deemed final.
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| 1571 | 11/06/2018 | Mr. Chen Xiaoxiang | 90 / SEC Act | Mr. Chen Xiaoxiang colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 61/2018 | Criminal Complaints | On October 3, 2018, the Bangkok South Criminal Court ruled against him for violating Sections 90 and 289 of the SEC Act. The Court inflicted the punishment of 2-year imprisonment. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment. The case was deemed final.
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| 1572 | 11/06/2018 | Mr. Xin Ye | 90 / SEC Act | Mr. Xin Ye colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 61/2018 | Criminal Complaints | On October 3, 2018, the Bangkok South Criminal Court ruled against him for violating Sections 90 and 289 of the SEC Act. The Court inflicted the punishment of 2-year imprisonment. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment. The case was deemed final.
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| 1573 | 11/06/2018 | Miss Tanyapa Sawessil | 243 (1) in conjunction with 244 and 243 (2) / SEC Act (before the fifth amendment) | During the period of 22 May 2014 to 30 June 2014, 7 offenders, namely: Mr. Sathit Roongwatanapak, Mr. Chavin Roongwatanapak, Mr. Porameth Rungrongtanin, Miss Tanyapa Sawessil, Miss Sorod Jantratip, Miss Iryne Tangpoolcharoen and Mrs. Saliga Tangpoolcharoen, colluded and divided duties with each other to commit offense in using Miss Sorod's securities trading account to purchase Asset Bright Public Company Limited ("ABC") shares on a continued basis and in concealment in order to mislead the general public to believe that ABC shares were purchased or sold in great volume or the price of such securities had changed or had not changed that was not consistent with the normal conditions, and such trading was made to lure other investors to purchase or sell ABC shares. | 059/2018, 064/2018 | Civil Sanction | 11/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1574 | 11/06/2018 | Miss Sorod Jantratip | 243 (1) in conjunction with 244 and 243 (2) / SEC Act (before the fifth amendment) | During the period of 22 May 2014 to 30 June 2014, 7 offenders, namely: Mr. Sathit Roongwatanapak, Mr. Chavin Roongwatanapak, Mr. Porameth Rungrongtanin, Miss Tanyapa Sawessil, Miss Sorod Jantratip, Miss Iryne Tangpoolcharoen and Mrs. Saliga Tangpoolcharoen, colluded and divided duties with each other to commit offense in using Miss Sorod's securities trading account to purchase Asset Bright Public Company Limited ("ABC") shares on a continued basis and in concealment in order to mislead the general public to believe that ABC shares were purchased or sold in great volume or the price of such securities had changed or had not changed that was not consistent with the normal conditions, and such trading was made to lure other investors to purchase or sell ABC shares. | 059/2018, 064/2018 | Civil Sanction | 11/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1575 | 07/06/2018 | Mr. Porameth Rungrongtanin | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 22 May 2014 to 30 June 2014, 7 offenders, namely: Mr. Sathit Roongwatanapak, Mr. Chavin Roongwatanapak, Mr. Porameth Rungrongtanin, Miss Tanyapa Sawessil, Miss Sorod Jantratip, Miss Iryne Tangpoolcharoen and Mrs. Saliga Tangpoolcharoen, colluded and divided duties with each other to commit offense in using Miss Sorod's securities trading account to purchase Asset Bright Public Company Limited ("ABC") shares on a continued basis and in concealment in order to mislead the general public to believe that ABC shares were purchased or sold in great volume or the price of such securities had changed or had not changed that was not consistent with the normal conditions, and such trading was made to lure other investors to purchase or sell ABC shares. | 059/2018, 064/2018 | Civil Sanction | 07/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | The SEC has banned Mr. Porameth from holding the position of director or executive at any issuing or listed companies for 3 years from 8 June 2018 to 7 June 2021. |
| 1576 | 06/06/2018 | Mr.Chatchai Dhammarungruang | 241 / SEC Act (before the fifth amendment) | Between July 7,2016 and August 3, 2016, Chatchai, former director of Modernform Group Plc. had used trading account of his daughter to sell a total of 1.3 million share of the common stock of Modern, while in possession of inside information on Modern's operating results of the Q2/2016 before Modern publicly disclosed the Q2/2016 financial statements through the SET's system. | 57/2018 | Civil Sanction | 06/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 999,200.00 Baht
- a civil monetary penalty of 1,249,000.00 Baht | The SEC has banned Chatchai from holding the position of director or executive at any issuing or listed companies for 1 year |
| 1577 | 06/06/2018 | Miss Benjamas Dhammarungruang | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Between July 7,2016 and August 3, 2016, Chatchai, former director of Modernform Group Plc. had used trading account of Benjamas Dhamarungruang his daughter to sell a total of 1.3 million share of the common stock of Modern, while in possession of inside information on Modern's operating results of the Q2/2016 before Modern publicly disclosed the Q2/2016 financial statements through the SET's system. | 57/2018 | Civil Sanction | 06/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1578 | 06/06/2018 | Mr. Amnard Wongpaitoonpiya | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Amnard Wongpaitoonpiya assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use his securities trading account and his bank account for MILL shares trading. | 79/2018 | Civil Sanction | 06/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1579 | 04/06/2018 | Mr. | 16 / DV Act | Mr. Ngeonwasawat Limthaweesakul contacted, solicited, and disseminated investment information via Line application by using various aliases such as “007 รหัสพิทักษ์โลก” via the Line group “007-1” with the intention of convincing the public to invest in derivatives offered by him with gold or an industrial group indices as the underlying commodities, and he has received benefits from investors from the funds transferred to his personal bank accounts. The acts of Mr. Ngeonwasawat are liable to operating derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). | 056/2018 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1580 | 04/06/2018 | Mr. Preecha Tantiwatanawanlop | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | During the period of 12 December 2013 to 27 November 2014, Mr. Preecha Tantiwatanawanlop joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. | 026/2018 | Civil Sanction | 04/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1581 | 04/06/2018 | Mr. Wirat Tansawat | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | During the period of 12 December 2013 to 27 November 2014, Mr. Wirat Tansawat joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. | 026/2018 | Civil Sanction | 04/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1582 | 31/05/2018 | Miss Preechaya Tikasurat | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Preechaya Wongphaitoonpiya assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use her securities trading account and her bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1583 | 31/05/2018 | Mr. Anupong Kuttikul | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Anupong Kuttikul assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use his securities trading account and his bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1584 | 31/05/2018 | Miss Nattaya Chokudomnirun | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Nattaya Chokudomnirun assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use her securities trading account and her bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1585 | 31/05/2018 | Miss Sayumporn Leksimlim | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Sayumporn Leksimlim assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use her securities trading account and her bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1586 | 31/05/2018 | Miss Sri-Ubon Inthornaumnuay | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Sri-Ubon Inthornaumnuay assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use her securities trading account and her bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1587 | 31/05/2018 | Miss Boonyarat Saesue | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Boonyarat Saesue assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use her securities trading account and her bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1588 | 31/05/2018 | Miss Ampai Rattana-Nawin | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Ampai Rattana-nawin assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use her securities trading account and her bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1589 | 31/05/2018 | Mr. Akkarin Thanakijrujiroj | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Akkarin Thanakijrujiroj assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use his securities trading account and his bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1590 | 31/05/2018 | Miss Tannapas Thanakijrujiroj | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Tannapas Thanakijrujiroj assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use her securities trading account and her bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1591 | 31/05/2018 | Miss Srila-Or Nanthasukkasem | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Srila-Or Nanthasukkasem assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use her securities trading account and her bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1592 | 31/05/2018 | Mr. Kiartkasem Nanthaphiboon | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Kiartkasem Nanthaphiboon joined with Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL")'s share price by conducting financial transactions related to MILL share trading and being a beneficiary, instead of Mr. Sittichai and Miss Tanika, in a juristic person and trading accounts related to the trading of MILL shares. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1593 | 31/05/2018 | Miss Thanthip Sakunphatthanarot | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Thanthip Sakunphatthanarot assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use her securities trading account and her bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1594 | 31/05/2018 | Mr. Ekapol Techamanoromb | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Ekapol Techamanoromb assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use his securities trading account and his bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1595 | 31/05/2018 | Mr. Amarit Nantanawut | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Amarit Nantanawut joined with Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL")'s share price by conducting financial transactions related to MILL share trading and being a beneficiary, instead of Mr. Sittichai and Miss Tanika, in a juristic person and trading accounts related to the trading of MILL shares. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1596 | 31/05/2018 | Mr. Sitthut Sittisamarn | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Sitthut Sittisamarn assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use his securities trading account and his bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1597 | 31/05/2018 | Miss Ratana Meeklinhom | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Ratana Meeklinhom assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use her securities trading account and her bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1598 | 31/05/2018 | Mr. Pongpat Rungwanonchai | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Pongpat Rungwanonchai joined with Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL")'s share price by conducting financial transactions related to MILL share trading and being a beneficiary, instead of Mr. Sittichai and Miss Tanika, in a juristic person and trading accounts related to the trading of MILL shares. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1599 | 31/05/2018 | Mr. Sarawut Leelasornchai | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Sarawut Leelasornchai assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use his securities trading account and his bank account for MILL shares trading. | 79/2018 | Civil Sanction | 31/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1600 | 22/05/2018 | Mr. Pattipan Chatametikul | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Pattipan Chatametikul assisted or facilitated for Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL") share price by allowing Mr. Sittichai and Miss Tanika to use his securities trading account and his bank account for MILL shares trading. | 79/2018 | Civil Sanction | 22/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1601 | 18/05/2018 | Miss Pornwadee Somphonchaikul | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Miss Pornwadee Somphonchaikul joined with Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL")'s share price by conducting financial transactions related to MILL share trading and being a beneficiary, instead of Mr. Sittichai and Miss Tanika, in a juristic person and trading accounts related to the trading of MILL shares. | 079/2018 | Civil Sanction | 18/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1602 | 16/05/2018 | Mr. Vorapote Amnueypol | 243 (1) in conjunction with 244 and 243 (2) in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 21 March 2014 to 3 June 2014, Mr. Vorapote Amnueypol joined with Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat in committing manipulation of Millcon Steel Public Company Limited ("MILL")'s share price by conducting financial transactions related to MILL share trading and being a beneficiary, instead of Mr. Sittichai and Miss Tanika, in a juristic person and trading accounts related to the trading of MILL shares. | 79/2018 | Civil Sanction | 16/05/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1603 | 24/04/2018 | Mr. Khumsup Lochaya | 246 / SEC Act | During December 11, 2008 to present, Mr. Khumsup Lochaya inaccurately reported or fail to reported to the SEC Office the acquisition or disposal of Superblock Public Company Limited (“SUPER”) shares because he did not report the shares that hold by his nominee, Miss Panissara Tiangtham caused his aggregate holding of SUPER shares reached or passed five percent of the total number of voting rights of SUPER. | | Criminal Complaints | This case is in the process of the Criminal Court. | |
| 1604 | 19/04/2018 | Mr. KANAWUT SRISUK | | | 40/2018 | Administrative Orders | Revocation | Effective Date 19/04/2018 to 18/04/2028 |
| 1605 | 18/04/2018 | Mr. Surachai Suwanthanakul | 246 / SEC Act | Between 26 December 2014 to 2 April 2015 , Mr. Surachai Suwanthanakul acquired TAPAC shares by himself and through others, causing his aggregate shareholding in TAPAC shares to reach or pass a multiple of 5 percent of the total number of voting rights of TAPAC amount four times, but he failed to report the acquisition of such TAPAC shares to the SEC Office within a period specified in the notification of Securities and Exchange Commission. Later he submitted such reports (Form 246-2) to the SEC Office on 17 April 2018. | | Criminal Fine | imposing a fine of 665,250.00 Baht according to 17/2561 | |
| 1606 | 18/04/2018 | Mr. Surachai Suwanthanakul | 247 / SEC Act | On 16 February, 2015, Mr. Surachai Suwanthanakul acquired shares of TAPACO Public Company Limited (TAPAC) by himself and through others, causing his aggregate shareholding in TAPAC shares to exceed trigger point at 25 percent of the total number of voting rights of TAPAC, but Mr. Surachai failed to comply with tender offer rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 . | | Criminal Fine | imposing a fine of 1,570,000.00 Baht according to 17/2561 | The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee.
|
| 1607 | 18/04/2018 | Mr.Suphanan Rittiphairoj | 300 / SEC Act | Mr. Suphanan Rittiphairoj, the Chief Executive Officer responsible for the operation of Inter Far East Energy Corporation Company Limited (“IFEC”), was liable for IFEC’s failure to prepare and submit the defaults in Bill of Exchange, incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within a specified period. | | Criminal Fine | imposing a fine of 31,600.00 Baht according to 16/2561 | |
| 1608 | 17/04/2018 | Mr. Yanakorn Warakunrak | 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code / SEC Act | During 2017, Mr. Yanakorn Warakunrak, the director of Polaris Capital Public Company Limited (“POLAR”), together with former directors and directors: (1) Mr. Asa Ninnad, (2) Mr.Poonsak Chumchuay, (3) Mr. Thakorn Taweesri and (4) Mr.Danuj Bunnag jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1609 | 17/04/2018 | Mr.Poonsak Chumchuay | 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code / SEC Act | During 2017, Mr.Poonsak Chumchuay, the director of Polaris Capital Public Company Limited (“POLAR”), together with former directors and directors: (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr. Thakorn Taweesri and (4) Mr.Danuj Bunnag jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1610 | 17/04/2018 | Mr. Asa Ninnad | 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code / SEC Act | During 2017, Mr. Asa Ninnad, the director of Polaris Capital Public Company Limited (“POLAR”), together with former directors and directors: (1) Mr. Yanakorn Warakunrak, (2) Mr.Poonsak Chumchuay, (3) Mr. Thakorn Taweesri and (4) Mr.Danuj Bunnag, former director and directors, jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1611 | 17/04/2018 | Mr. Thakorn Taweesri | 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code / SEC Act | During 2017, Mr. Thakorn Taweesri, the director of Polaris Capital Public Company Limited (“POLAR”), together with former directors and directors: 1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay and (4) Mr.Danuj Bunnag jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1612 | 17/04/2018 | Mr.Danuj Bunnag | 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code / SEC Act | During 2017, Mr.Danuj Bunnag, the director of Polaris Capital Public Company Limited (“POLAR”), together with former directors and directors: (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay and (4) Mr. Thakorn Taweesri jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1613 | 17/04/2018 | Mr. Apiruk Chutrakul | 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code / SEC Act | During 2017, Mr. Apiruk Chutrakul aided and abetted former directors and directors of Polaris Capital Public Company Limited (“POLAR”): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1614 | 17/04/2018 | United Trading Group Limited | 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code / SEC Act | During 2017, United Trading Group Limited aided and abetted former directors and directors of Polaris Capital Public Company Limited (“POLAR”): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1615 | 17/04/2018 | Mr. Thanyapong Limwongyut | 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code / SEC Act | During 2017, Mr. Thanyapong Limwongyut aided and abetted former directors and directors of Polaris Capital Public Company Limited (“POLAR”): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1616 | 17/04/2018 | Mr. Akkaradech Wattana | 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code / SEC Act | During 2017, Mr. Akkaradech Wattana aided and abetted former directors and directors of Polaris Capital Public Company Limited (“POLAR”): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1617 | 17/04/2018 | Simba Inter Company Limited | 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code / SEC Act | During 2017, Simba Inter Company Limited aided and abetted former directors and directors of Polaris Capital Public Company Limited (“POLAR”): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1618 | 17/04/2018 | Mr. Kamheang Hoonhirunsai | 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code / SEC Act | During 2017, Mr. Kamheang Hoonhirunsai aided and abetted former directors and directors of Polaris Capital Public Company Limited (“POLAR”): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR. | 038/2018 | Criminal Complaints | The public prosecutor has ordered the termination of a prosecution. | |
| 1619 | 30/03/2018 | Mr. Pinit Vongmasa | 241 / SEC Act (before the fifth amendment) | From 27 October 2016 to 9 November 2016, Mr. Pinit Vongmasa, an independent director of Padaeng Industry Public Company Limited ("PDI"), utilized an inside information, that is, PDI had a net profit of 221.45 million Baht in the third quarter of fiscal year 2016 to purchase PDI shares in Mr. Chatchala Vongmasa's trading account. Moreover, Chatchala assisted Pinit in making financial transactions concerning the purchase of PDI's shares. | 33/2018 | Civil Sanction | 30/03/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 704,250.00 Baht
- a civil monetary penalty of 880,312.50 Baht | |
| 1620 | 30/03/2018 | Mr. Chatchala Vongmasa | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | From 27 October 2016 to 9 November 2016, Mr. Pinit Vongmasa, an independent director of Padaeng Industry Public Company Limited ("PDI"), utilized an inside information, that is, PDI had a net profit of 221.45 million Baht in the third quarter of fiscal year 2016 to purchase PDI shares through Mr. Chatchala Vongmasa's trading account. Moreover, Chatchala assisted Pinit in making financial transactions concerning the purchase of PDI's shares. | 33/2018 | Civil Sanction | 30/03/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1621 | 28/03/2018 | Mr. Thaveechat Churanggool | 246 / SEC Act | Between 22 March 2017 to 21 April 2017 Mr. Thaveechat Churanggool, failed to report to the SEC Office the acquisition of NOK Airlines Public Company Limited (“NOK”) securities which caused his aggregate holding of NOK shares reached or passed five percent of the total number of voting rights of NOK within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 13,000.00 Baht according to 15/2561 | |
| 1622 | 28/03/2018 | Mr. Arak Ratboriharn | 300 / SEC Act | Mr. Arak Ratboriharn, chief executive officer and authorized director responsible for the operation of News Network Corporation Public Company Limited shall be liable for News Network Corporation Public Company Limited offer for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC. | 29/2018 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 13/2561 | |
| 1623 | 28/03/2018 | News Network Corporation Public Company Limited | 33 / SEC Act | News Network Corporation Public Company Limited (NEWS) offer for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC. | 29/2018 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 12/2561 | |
| 1624 | 26/03/2018 | Mr. Yanyong Intarasongkarw | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Yanyong Intarasongkarw joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 21 March 2014 to 3 June 2014 joined with other 5 persons manipulating the share price of Millcon Steel Public Company Limited ("MILL");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC"); and
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"). | 026/2018 | Civil Sanction | 28/02/2020 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Yanyong Intarasongkarw and other 5 persons jointly manipulating the share price of MILL. The details of the other 4 cases are as follows:
- 11/06/2021 Filing a lawsuit accusing him and other 16 persons jointly manipulating the share price of POLAR;
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing him and other 11 persons jointly manipulating the share price of NINE; and
- 03/09/2021 Filing a lawsuit accusing him and other 10 persons jointly manipulating the share price of NBC. |
| 1625 | 26/03/2018 | Mr. Raweerot Khiannilsiri | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Raweerot Khiannilsiri joined or agreed with other offenders in manipulating 6 securities by separating duties to transact buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 21 March 2014 to 3 June 2014 joined with other 5 persons manipulating the share price of Millcon Steel Public Company Limited ("MILL");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC");
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"); and
- 17 Febuary 2015 to 2 March 2015 joined with other 4 persons manipulating the warrant price of NINE-W1. | 026/2018 | Civil Sanction | 28/02/2020 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Raweerot Khiannilsiri and other 5 persons jointly manipulating the share price of MILL. The details of the other 5 cases are as follows:
- 11/06/2021 Filing a lawsuit accusing him and other 16 persons jointly manipulating the share price of POLAR;
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing him and other 11 persons jointly manipulating the share price of NINE;
- 03/09/2021 Filing a lawsuit accusing him and other 10 persons jointly manipulating the share price of NBC; and
- 28/09/2021 Filing a lawsuit accusing him and other 4 persons jointly manipulating the warrant price of NINE-W1. |
| 1626 | 26/03/2018 | Mr. Ekkavit Kamontaypa | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Ekkavit Kamontaypa
joined or agreed with other offenders in manipulating 6 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 21 March 2014 to 3 June 2014 joined with other 5 persons manipulating the share price of Millcon Steel Public Company Limited ("MILL");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC");
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"); and
- 17 Febuary 2015 to 2 March 2015 joined with other 4 persons manipulating the warrant price of NINE-W1. | 026/2018 | Civil Sanction | 28/02/2020 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Ekkavit Kamontaypa and other 5 persons jointly manipulating the share price of MILL. The details of the other 5 cases are as follows:
- 11/06/2021 Filing a lawsuit accusing him and other 16 persons jointly manipulating the share price of POLAR;
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing him and other 11 persons jointly manipulating the share price of NINE;
- 03/09/2021 Filing a lawsuit accusing him and other 10 persons jointly manipulating the share price of NBC; and
- 28/09/2021 Filing a lawsuit accusing him and other 4 persons jointly manipulating the warrant price of NINE-W1. |
| 1627 | 26/03/2018 | Mr. Siwasit Sainumphung | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Siwasit Sainumphung joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 21 March 2014 to 3 June 2014 joined with other 5 persons manipulating the share price of Millcon Steel Public Company Limited ("MILL");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC"); and
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"). | 026/2018 | Civil Sanction | 28/02/2020 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Siwasit Sainumphung and other 5 persons jointly manipulating the share price of MILL. The details of the other 4 cases are as follows:
- 11/06/2021 Filing a lawsuit accusing him and other 16 persons jointly manipulating the share price of POLAR;
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing him and other 11 persons jointly manipulating the share price of NINE; and
- 03/09/2021 Filing a lawsuit accusing him and other 10 persons jointly manipulating the share price of NBC. |
| 1628 | 26/03/2018 | Mrs. Woranan Lertkultum | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mrs. Woranan Lertkultum joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, she acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 21 March 2014 to 3 June 2014 joined with other 5 persons manipulating the share price of Millcon Steel Public Company Limited ("MILL");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC"); and
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"). | 026/2018 | Civil Sanction | 28/02/2020 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mrs. Woranan Lertkultum and other 5 persons jointly manipulating the share price of MILL. The details of the other 4 cases are as follows:
- 11/06/2021 Filing a lawsuit accusing her and other 16 persons jointly manipulating the share price of POLAR;
- 31/07/2021 Filing a lawsuit accusing her and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing her and other 11 persons jointly manipulating the share price of NINE; and
- 03/09/2021 Filing a lawsuit accusing her and other 10 persons jointly manipulating the share price of NBC. |
| 1629 | 26/03/2018 | Mr. Panurak Saengaram | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Panurak Saengaram joined or agreed with other offenders in manipulating 6 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 21 March 2014 to 3 June 2014 joined with other 5 persons manipulating the share price of Millcon Steel Public Company Limited ("MILL");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC");
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"); and
- 17 Febuary 2015 to 2 March 2015 joined with other 4 persons manipulating the warrant price of NINE-W1. | 026/2018 | Civil Sanction | 28/02/2020 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Panurak Saengaram and other 5 persons jointly manipulating the share price of MILL. The details of the other 5 cases are as follows:
- 11/06/2021 Filing a lawsuit accusing him and other 16 persons jointly manipulating the share price of POLAR;
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing him and other 11 persons jointly manipulating the share price of NINE;
- 03/09/2021 Filing a lawsuit accusing him and other 10 persons jointly manipulating the share price of NBC; and
- 28/09/2021 Filing a lawsuit accusing him and other 4 persons jointly manipulating the warrant price of NINE-W1. |
| 1630 | 26/03/2018 | Miss Pornpen Nithikasem | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Miss Pornpen Nithikasem joined or agreed with other offenders in manipulating 2 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, she acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS"); and
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"). | 026/2018 | Civil Sanction | 31/07/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Miss Pornpen Nithikasem and other 22 persons jointly manipulating the share price of NEWS. The details of another case are as follows:
- 01/09/2021 Filing a lawsuit accusing her and other 11 persons jointly manipulating the share price of NINE. |
| 1631 | 26/03/2018 | Miss Kannida Tangkittrongcharoen | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Miss Kannida Tangkittrongcharoen joined or agreed with other offenders in manipulating 4 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, she acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC"); and
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"). | 026/2018 | Civil Sanction | 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Miss Kannida Tangkittrongcharoen and other 16 persons jointly manipulating the share price of POLAR. The details of the other 3 cases are as follows:
- 31/07/2021 Filing a lawsuit accusing her and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing her and other 11 persons jointly manipulating the share price of NINE; and
- 03/09/2021 Filing a lawsuit accusing her and other 10 persons jointly manipulating the share price of NBC. |
| 1632 | 26/03/2018 | Mr. Koravit Asawakul | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Koravit Asawakul joined or agreed with other offenders in manipulating 4 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC"); and
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"). | 026/2018 | Civil Sanction | 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Koravit Asawakul and other 16 persons jointly manipulating the share price of POLAR. The details of the other 3 cases are as follows:
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing him and other 11 persons jointly manipulating the share price of NINE; and
- 03/09/2021 Filing a lawsuit accusing him and other 10 persons jointly manipulating the share price of NBC. |
| 1633 | 26/03/2018 | Mr. Pakkawan Wongopasi | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Pakkawan Wongopasi joined or agreed with other offenders in manipulating 4 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC"); and
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"). | 026/2018 | Civil Sanction | 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Pakkawan Wongopasi and other 16 persons jointly manipulating the share price of POLAR. The details of the other 3 cases are as follows:
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing him and other 11 persons jointly manipulating the share price of NINE; and
- 03/09/2021 Filing a lawsuit accusing him and other 10 persons jointly manipulating the share price of NBC. |
| 1634 | 26/03/2018 | Mr. Suvit Pipatvilaikul | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Suvit Pipatvilaikul joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC");
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"); and
- 17 Febuary 2015 to 2 March 2015 joined with other 4 persons manipulating the warrant price of NINE-W1. | 026/2018 | Civil Sanction | 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Suvit Pipatvilaikul and other 16 persons jointly manipulating the share price of POLAR. The details of the other 4 cases are as follows:
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing him and other 11 persons jointly manipulating the share price of NINE;
- 03/09/2021 Filing a lawsuit accusing him and other 10 persons jointly manipulating the share price of NBC; and
- 28/09/2021 Filing a lawsuit accusing him and other 4 persons jointly manipulating the warrant price of NINE-W1. |
| 1635 | 26/03/2018 | Mr. Pisit Pipatvilaikul | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Pisit Pipatvilaikul joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS");
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR");
- 26 November 2014 to 13 Febuary 2015 joined with other 10 persons manipulating the share price of Nation Broadcasting Corporation Public Company Limited ("NBC");
- 19 December 2014 to 24 March 2015 joined with other 11 persons manipulating the share price of Nation International Edutainment Public Company Limited ("NINE"); and
- 17 Febuary 2015 to 2 March 2015 joined with other 4 persons manipulating the warrant price of NINE-W1. | 026/2018 | Civil Sanction | 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Pisit Pipatvilaikul and other 16 persons jointly manipulating the share price of POLAR. The details of the other 4 cases are as follows:
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS;
- 01/09/2021 Filing a lawsuit accusing him and other 11 persons jointly manipulating the share price of NINE;
- 03/09/2021 Filing a lawsuit accusing him and other 10 persons jointly manipulating the share price of NBC; and
- 28/09/2021 Filing a lawsuit accusing him and other 4 persons jointly manipulating the warrant price of NINE-W1. |
| 1636 | 26/03/2018 | Mr. Songkran Tansiri | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | During the period of 12 December 2013 to 27 November 2014, Mr. Songkran Tansiri joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. | 026/2018 | Civil Sanction | 31/07/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1637 | 26/03/2018 | Mr. Amorn Promdeeraj | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | During the period of 12 December 2013 to 27 November 2014, Mr. Amorn Promdeeraj joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. | 026/2018 | Civil Sanction | 31/07/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1638 | 26/03/2018 | Mr. Supawun Rattanawun | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | During the period of 12 December 2013 to 27 November 2014, Mr. Supawun Rattanawun joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. | 026/2018 | Civil Sanction | 31/07/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1639 | 26/03/2018 | Miss Patchara Masorn | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | During the period of 23 June 2014 to 9 January 2015, Miss Patchara Masorn joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. | 026/2018 | Civil Sanction | 06/11/2023 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of Appeal consideration |
| 1640 | 26/03/2018 | Miss Pronpun Saraboonma | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | During the period of 23 June 2014 to 9 January 2015, Miss Pronpun Saraboonma joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. | 026/2018 | Civil Sanction | 06/11/2023 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under an appeal period |
| 1641 | 26/03/2018 | Mr. Kumpol Wirathepsuporn | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Kumpol Wirathepsuporn joined or agreed with other offenders in manipulating 2 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS"); and
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR"). | 026/2018 | Civil Sanction | 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Kumpol Wirathepsuporn and other 16 persons jointly manipulating the share price of POLAR. The details of another case are as follows:
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS. |
| 1642 | 26/03/2018 | Mr. Tanapol Viratepsuporn | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | During the period of 12 December 2013 to 27 November 2014, Mr. Tanapol Viratepsuporn joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. | 026/2018 | Civil Sanction | 31/07/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1643 | 26/03/2018 | Mr. Treekhanit Makraksa | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Treekhanit Makraksa joined or agreed with other offenders in manipulating 2 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS"); and
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR"). | 026/2018 | Civil Sanction | 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Treekhanit Makraksa and other 16 persons jointly manipulating the share price of POLAR. The details of another case are as follows:
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS. |
| 1644 | 26/03/2018 | Mr. Thitipat Thitiphan | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Thitipat Thitiphan joined or agreed with other offenders in manipulating 2 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS"); and
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR"). | 026/2018 | Civil Sanction | 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Thitipat Thitiphan and other 16 persons jointly manipulating the share price of POLAR. The details of another case are as follows:
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS. |
| 1645 | 26/03/2018 | Mr. Teerachai Rattanakamolporn | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | Mr. Teerachai Rattanakamolporn joined or agreed with other offenders in manipulating 2 securities by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows:
- 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS"); and
- 23 June 2014 to 9 January 2015 joined with other 16 persons manipulating the share price of Polaris Capital Public Company Limited ("POLAR"). | 026/2018 | Civil Sanction | 11/06/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration The case that appears in the details column is the case of filing a lawsuit accusing Mr. Teerachai Rattanakamolporn and other 16 persons jointly manipulating the share price of POLAR. The details of another case are as follows:
- 31/07/2021 Filing a lawsuit accusing him and other 22 persons jointly manipulating the share price of NEWS. |
| 1646 | 26/03/2018 | Mr. Nirandr Haetrakul | 243 (1) in conjunction with 244 (1) (2) (3) / SEC Act (before the fifth amendment) | During the period of 12 December 2013 to 27 November 2014, Mr. Nirandr Haetrakul joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. | 026/2018 | Civil Sanction | 31/07/2021 filed a lawsuit to a civil court 26/03/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the Court of First Instance consideration |
| 1647 | 26/02/2018 | Mr. Wichai Thavornwattanayong | 89/7 / SEC Act | Mr.Wichai Thavornwattanayong, former chairman of IFEC and the authorized person to disclose information through the SET’s information disclosure system (ELCID), failed to disclose IFEC’s default on its bills of exchange, following the SET’s request for clarification on 12 January 2017. Wichai’s actions appear to be intentional causing IFEC to be suspended from trading shares in the SET. He also gained benefits from which his IFEC shares of more than 57.46 million used as the collateral for his margin trading were not subject to force selling. As a result, he could remain an IFEC shareholder and exercise the voting right to select company directors at three shareholders’ meeting in 2017. It is considered that His such failure violated a law and he illegally gained the benefit were dishonest duty performance, as specified under Section 89/7 and Paragraph 2 of Section 281/2 of the SEA. | 016/2018 | Criminal Complaints | The public prosecutor decided not to pursue the case in court and the case was deemed final. | |
| 1648 | 21/02/2018 | Mr. Wichai Thavornwattanayong | 300 / SEC Act | Mr. Wichai Thavornwattanayong, the Ex-Chairman responsible for the operation of Inter Far East Energy Corporation Company Limited (“IFEC”), was liable for IFEC’s failure to prepare and submit the defaults in Bill of Exchange and the default in the interest of bonds, these incidents which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within specified period. | | Criminal Fine | imposing a fine of 42,900.00 Baht according to 10/2561 | |
| 1649 | 21/02/2018 | Mr. Pongkawin Jungrungruangkit | 300 / SEC Act | Mr. Pongkawin Jungrungruangkit, Chairman, responsible for the operation of the International Engineering Public Company Limited (“IEC”), failed to supervise IEC to submit the financial statements for Q3/2017 within the specified period. | | Criminal Fine | imposing a fine of 193,800.00 Baht according to 8/2561 | The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee. |
| 1650 | 21/02/2018 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, managing director, responsible for the operation of Yarnapund Public Company Limited (“YNP”), shall be liable for YNP’s failure to prepare and submit the financial report for the first half of the year 2017 within the specified period. | | Criminal Fine | imposing a fine of 69,900.00 Baht according to 7/2561 | |
| 1651 | 21/02/2018 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited (“YNP”), a securities issuer, failed to prepare and submit the financial report for the first half of the year 2017 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the financial report for the first half of the year 2016 were later filed with the SET and the SEC Office on December 26, 2017 and December 27, 2017, respectively. | | Criminal Fine | imposing a fine of 69,900.00 Baht according to 6/2561 | |
| 1652 | 20/02/2018 | Polaris Capital Public Company Limited | 281/10 / SEC Act (the fifth amendment) | When Polaris Capital Public Company Limited ("POLAR"), which was authorized by Mr. Yanakorn Warakunrak and Mr. Poonsak Chumchuay, had the duty to submit or disclose material facts that POLAR ceased operating all or part of its business due to a court-ordered receivership on 3 August 2017, POLAR concealed such information and other activities proceeded under the Bankruptcy Law. | 15/2018 | Civil Sanction | 02/07/2024 The Civil Court delivered The Appeal Court judgment upholding the Civil Court judgment. 16/08/2022 The Civil Court delivered a judgment that all three defendants, including Polaris Capital Public Company Limited ("1st defendant"), Mr. Yanakorn Warakunrak ("2nd defendant"), and Mr. Poonsak Chumchuay ("3rd defendant"), had committed an offense under the lawsuit of the plaintiff. The Civil Court also imposed civil sanctions as follows:
(1) The 1st defendant shall pay the civil penalty in the amount of 2,000,000 Baht with liability of the 2nd defendant and the 3rd defendant to jointly pay such civil penalty;
(2) The 2nd defendant and the 3rd defendant shall personally pay the civil penalty in the amount of 2,000,000 Baht for each;
(3) The 2nd defendant and the 3rd defendant are barred from serving as a director or executive in a securities issuing company or a securities company for 10 years; and
(4) All defendants shall jointly pay a reimbursement of investigation expenses incurred by the SEC in the amount of 102,132 Baht together with interest at the rate 7.5% per annum since the date of the entry of the plaint (3 September 2020) until the payment is made in full.
Moreover, the Civil Court ordered all defendants to jointly reimburse Court fees and attorney fees to the plaintiff. 03/09/2020 filed a lawsuit to a civil court 20/02/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the process of legal execution |
| 1653 | 20/02/2018 | Mr. Yanakorn Warakunrak | 281/10 / SEC Act (the fifth amendment) | Due to the fact that Polaris Capital Public Company Limited ("POLAR") committed an offence of concealment of material facts under Section 281/10 of Securities and Exchange Act, which was a result of a failure to order or act of POLAR's directors, namely: Mr. Yanakorn Warakunrak and Mr. Poonsak Chumchuay. Therefore, Mr. Yanakorn was liable to the civil sanctions. | 15/2018 | Civil Sanction | 02/07/2024 The Civil Court delivered The Appeal Court judgment upholding the Civil Court judgment. 16/08/2022 The Civil Court delivered a judgment that all three defendants, including Polaris Capital Public Company Limited ("1st defendant"), Mr. Yanakorn Warakunrak ("2nd defendant"), and Mr. Poonsak Chumchuay ("3rd defendant"), had committed an offense under the lawsuit of the plaintiff. The Civil Court also imposed civil sanctions as follows:
(1) The 1st defendant shall pay the civil penalty in the amount of 2,000,000 Baht with liability of the 2nd defendant and the 3rd defendant to jointly pay such civil penalty;
(2) The 2nd defendant and the 3rd defendant shall personally pay the civil penalty in the amount of 2,000,000 Baht for each;
(3) The 2nd defendant and the 3rd defendant are barred from serving as a director or executive in a securities issuing company or a securities company for 10 years; and
(4) All defendants shall jointly pay a reimbursement of investigation expenses incurred by the SEC in the amount of 102,132 Baht together with interest at the rate 7.5% per annum since the date of the entry of the plaint (3 September 2020) until the payment is made in full.
Moreover, the Civil Court ordered all defendants to jointly reimburse Court fees and attorney fees to the plaintiff. 03/09/2020 filed a lawsuit to a civil court 20/02/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the process of legal execution |
| 1654 | 20/02/2018 | Mr. Poonsak Chumchuay | 281/10 / SEC Act (the fifth amendment) | Due to the fact that Polaris Capital Public Company Limited ("POLAR") committed an offence of concealment of material facts under Section 281/10 of Securities and Exchange Act, which was a result of a failure to order or act of POLAR's directors, namely: Mr. Yanakorn Warakunrak and Mr. Poonsak Chumchuay. Therefore, Mr. Poonsak was liable to the civil sanctions.
| 15/2018 | Civil Sanction | 02/07/2024 The Civil Court delivered The Appeal Court judgment upholding the Civil Court judgment. 16/08/2022 The Civil Court delivered a judgment that all three defendants, including Polaris Capital Public Company Limited ("1st defendant"), Mr. Yanakorn Warakunrak ("2nd defendant"), and Mr. Poonsak Chumchuay ("3rd defendant"), had committed an offense under the lawsuit of the plaintiff. The Civil Court also imposed civil sanctions as follows:
(1) The 1st defendant shall pay the civil penalty in the amount of 2,000,000 Baht with liability of the 2nd defendant and the 3rd defendant to jointly pay such civil penalty;
(2) The 2nd defendant and the 3rd defendant shall personally pay the civil penalty in the amount of 2,000,000 Baht for each;
(3) The 2nd defendant and the 3rd defendant are barred from serving as a director or executive in a securities issuing company or a securities company for 10 years; and
(4) All defendants shall jointly pay a reimbursement of investigation expenses incurred by the SEC in the amount of 102,132 Baht together with interest at the rate 7.5% per annum since the date of the entry of the plaint (3 September 2020) until the payment is made in full.
Moreover, the Civil Court ordered all defendants to jointly reimburse Court fees and attorney fees to the plaintiff. 03/09/2020 filed a lawsuit to a civil court 20/02/2018 referred the case to a state attorney for filing a lawsuit to a civil court | currently under the process of legal execution |
| 1655 | 14/02/2018 | Mr.Thanawat Pratoomsuwan | 300 / SEC Act | Mr.Thanawat Pratoomsuwan, the director, responsible for the operation of Energy Earth Public Company Limited (EARTH), failed to supervise EARTH to prepare the reviewed financial statements for Q2/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a fine of Baht 40,000 and a further fine of Baht 1,000 each day for 36 days starting from August 16,2017 until September 20,2017 totally 36,000 Baht. The amount of total fine for the accused is 76,000 Baht. Since the accused pled guilty, the Court reduced the fines by half, resulting in a total fine of Baht 38,000. | |
| 1656 | 10/02/2018 | Mr. SAKKARIN UTTAKRIT | | Account of committing undue acts toward clients' assets and using a client's trading account to trade securities for his own interest. | 14/2018 | Administrative Orders | Revocation | Effective Date 10/02/2018 to 09/02/2028 |
| 1657 | 30/01/2018 | Mr. Prasit Jiewkok | 300 in conjunction with 33 / SEC Act | Mr. Prasit Jiewkok, a chief executive officer, responsible for the operation of Mandawee Tour Co., Ltd. shall be liable for Mandawee Tour Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office.
| 009/2018 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 5/2561 | |
| 1658 | 30/01/2018 | Mandawee Tour Co., Ltd. | 33 / SEC Act | Mandawee Tour Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. | 009/2018 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 4/2561 | |
| 1659 | 30/01/2018 | Mr. Suraphong Triamchanchai | 246 / SEC Act | Between 10 January 2014 to 2 March 2017 Mr. Suraphong Triamchanchai, the director and the managing director of Nippon Pack (Thailand) Public Company Limited (NPP) failed to report to the SEC Office the acquisition of NPP securities and NPP warrant (NPP-W1) which caused his aggregate holding of NPP shares or NPP-W1 reached or passed five percent of the total number of voting rights of NPP within the period specified in the notification of the Capital Market Supervisory Board for 6 times. He later filed the accurate reports (Form 246-2) to the SEC Office on 8 August, 2017.
| | Criminal Fine | imposing a fine of 379,350.00 Baht according to 3/2561 | |
| 1660 | 30/01/2018 | Mr. Somporn Mangmee | 300 / SEC Act | Mr. Somporn Mangmee, the chairman of the executive committee (acting) for the operation of PAE (Thailand) Public Company Limited (“PAE”), shall be liable for PAE’s failure to prepare and submit the reviewed financial statements for Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 48,600.00 Baht according to 2/2561 | |
| 1661 | 12/01/2018 | Mr. Yongyuth Ngamkaiwan | 300 / SEC Act | Mr. Yongyuth Ngamkaiwan, the representative of the planner (TUCC), responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare the reviewed financial statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | The statute of limitations ran out. | |
| 1662 | 12/01/2018 | Thai Unique Coil Center Public Company Limited | 56(1) in conjunction with 199 / SEC Act | Thai Unique Coil Center Public Company Limited, failed to prepare and submit the reviewed financial statements for Q3/2017 to the SEC and the SET within specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1663 | 05/01/2018 | Mr. Sunchai Intarauksorn | 89/7 and Section 281/2 paragraph 2 and Section 307 308 311 312 and 83 of Criminal Code / SEC Act | Between September 22, 2015 and October 27, 2016, Mr. Sunchai Intarauksorn, former deputy managing director and executive director of K.C. Property Public Company Limited (KC), together with Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director, jointly made a fraudulent arrangement for KC to offer the 25 B/E issues at a value ranging from 25 to 150 million baht each, and then misappropriated the proceeds by counterfeiting the company’s meeting documents, jointly opening a bank account for receiving the B/E transfer transactions, concealing such B/E sale by omitting the sale transactions from the company’s accounting records, and concealing the fraud by extending the maturity terms of such B/E issues several times. The fraud was supported and assisted by (1) Mr. Thepthiwa Bootprom, who knew Mr. Krittiphat Ittisanyakorn and Mr. Sunchai Intarauksorn. In so doing, Mr. Thepthiwa allowed his own bank account to receive transfers of the total B/E sale money to be further distributed to other persons while (2) Miss Nittha Kongkarien (formerly named Miss Jaroonluck), secretary to the KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr. Kitisan – to take the positions of director and executive of KC, was believed to have involved in the fraudulent acts and the receipt of a certain amount of B/E sale money. | 2/2018 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1664 | 05/01/2018 | Mr. Teerasit Sangngern | 281/2 paragraph 2 in conjunction with 89/7 312 and section 83 of the Penal Code / SEC Act | During 2016, Mr. Teerasit Sangngern, at the time he was holding the position of executive director of K.C. Property Public Company Limited (KC) knew dishonest acts of misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons’ but did not perform his duties responsibly and honestly, and failed to have the B/E transactions in the KC accounting records, causing inaccurate and false preparation of such records.
| 2/2018 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1665 | 05/01/2018 | Mr. Kitisan Mookdee | 281/2 paragraph 2 in conjunction with 89/7 312 and section 83 of the Penal Code / SEC Act | During 2016, Mr. Kitisan Mookdee, at the time he was holding the position of managing director of K.C. Property Public Company Limited (KC), knew dishonest acts of misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons’ but did not perform his duties responsibly and honestly, and failed to have the B/E transactions in the KC accounting records, causing inaccurate and false preparation of such records. | 2/2018 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1666 | 05/01/2018 | Mr. Thepthiwa Bootprom | 307 308 311 in conjunction with 315 and section 86 of the Penal Code / SEC Act | Between September 22, 2015 and October 27, 2016, Mr. Thepthiwa Bootprom aided and abetted the former executive of K.C. Property Public Company Limited (KC): (1) Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director and
(2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director, by allowing his own bank account to receive transfers of the total sale money of KC’s bill of exchange (B/E) to be further distributed to other persons.
| 2/2018 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1667 | 05/01/2018 | Mr. Veerawat Sukwara | 307 308 311 312 in conjunction with 315 and section 86 of the Penal Code / SEC Act | Between September 22, 2015 and October 27, 2016, Mr. Veerawat Sukwara aided and abetted the former executive of K.C. Property Public Company Limited (KC): (1) Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director and
(2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director. Mr. Veerawat, who also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai, Mr. Teerasit and Mr. Kitisan – to take the positions of director and executive of KC, was believed to have involved in the fraudulent acts and the receipt of a certain amount of bill of exchange (B/E) sale money.
| 2/2018 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1668 | 05/01/2018 | Miss Nittha Kongkarien (formerly named Miss Jaroonluck) | 307 and 311 in conjunction with 315 and section 86 of the Penal Code / SEC Act | Between September 22, 2015 and October 27, 2016, Miss Nittha Kongkarien (formerly named Miss Jaroonluck), secretary to the K.C. Property Public Company Limited (KC) Board of Directors, aided and abetted the former executive of KC (1) Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director and (2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director, in executing certain financial transactions through her own bank account. | 2/2018 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1669 | 05/01/2018 | Mr. Krittiphat Ittisanyakorn (formerly named Mr.Pattarapob ) | 89/7 and Section 281/2 paragraph 2 and Section 307 308 311 312 and 83 of Criminal Code / SEC Act | Between September 22, 2015 and October 27, 2016, Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director of K.C. Property Public Company Limited (KC), together with Mr. Sunchai Intarauksorn, former deputy managing director and executive director, jointly made a fraudulent arrangement for KC to offer the 25 B/E issues at a value ranging from 25 to 150 million baht each, and then misappropriated the proceeds by counterfeiting the company’s meeting documents, jointly opening a bank account for receiving the B/E transfer transactions, concealing such B/E sale by omitting the sale transactions from the company’s accounting records, and concealing the fraud by extending the maturity terms of such B/E issues several times. The fraud was supported and assisted by (1) Mr. Thepthiwa Bootprom, who knew Mr. Krittiphat Ittisanyakorn and Mr. Sunchai Intarauksorn. In so doing, Mr. Thepthiwa allowed his own bank account to receive transfers of the total B/E sale money to be further distributed to other persons while (2) Miss Nittha Kongkarien (formerly named Miss Jaroonluck), secretary to the KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr. Kitisan – to take the positions of director and executive of KC, was believed to have involved in the fraudulent acts and the receipt of a certain amount of B/E sale money. | 2/2018 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1670 | 20/12/2017 | L.V. Technology Public Company Limited | 56 and 199 / SEC Act | L.V. Technology Public Company Limited, failed to prepare and submit (1) the reviewed financial statements for Q2/ 2017, and (2) the reviewed financial statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board.
| | Criminal Complaints | On July 2, 2020,The Criminal Court ordered the defendant to pay a fine of Baht 383,500. Since the defendant pleaded guilty, the Court reduced the fines one-third, resulting in a fine of Baht 255,668 and a further fine of Baht 250 for each day starting from the next day of prosecution date (June 20,2018) until the company so complies for failing to file the reviewed financial statements for Q2-Q3/2017.
| |
| 1671 | 20/12/2017 | Mr. Wichai Thavornwattanayong | 300 / SEC Act | Mr. Wichai Thavornwattanayong, the Ex-Chairman responsible for the operation of Inter Far East Energy Corporation Company Limited (“IFEC”), was liable for IFEC’s failure to prepare and submit the incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within specified period. | | Criminal Fine | imposing a fine of 367,500.00 Baht according to 104/2560 | |
| 1672 | 20/12/2017 | Mr. Apichart Karoonkornsakul | 300 / SEC Act | Mr. Apichart Karoonkornsakul, president, responsible for the operation of Asia Precision Public Company Limited (“APCS”), shall be liable for APCS’s failure to prepare and submit the financial statements for the year 2016 within the specified period. | | Criminal Fine | imposing a fine of 85,800.00 Baht according to 101/2560 | |
| 1673 | 20/12/2017 | Mr. Amorn Meemano | 300 / SEC Act | Mr. Amorn Meemano, the Chief Executive Officer responsible for the operation of AJ Advance Technology Public Company Limited (“AJA”), was liable for AJA’s failure to prepare and submit the reviewed financial statements for Q2/2017 ended June 30, 2017 within August 15, 2017. | | Criminal Fine | imposing a fine of 193,500.00 Baht according to 99/2560 | |
| 1674 | 20/12/2017 | Mr. Apivut Thongkam | 300 / SEC Act | Mr. Apivut Thongkam, chief executive officer for the operation of AQ Estate Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and submit the reviewed financial statements for Q1/2017 and Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 111,900.00 Baht according to 97/2560 | |
| 1675 | 30/11/2017 | Thai Unique Coil Center Public Company Limited | 56(1) in conjunction with 199 / SEC Act | Thai Unique Coil Center Public Company Limited, failed to prepare and submit the reviewed financial statements for Q1/2017 and the reviewed financial statements for Q2/2017 to the SEC and the SET within specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1676 | 30/11/2017 | Mr. Yongyuth Ngamkaiwan | 300 / SEC Act | Mr. Yongyuth Ngamkaiwan, the representative of Thai Unique Coil Center Public Company Limited (TUCC), responsible for the operation of TUCC, failed to supervise TUCC to prepare the reviewed financial statements for Q1/2017 and the reviewed financial statements for Q2/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | The statute of limitations ran out. | |
| 1677 | 15/11/2017 | Mr. Chan Thienkanjanawong | 246 / SEC Act | Mr. Chan Thienkanjanawong (“Mr. Chan”) inaccurately reported to the SEC Office the acquisition of Big Camera Corporation Public Company Limited (“BIG”) on June 9, 2014. On June 10, 2017, he reported his acquisition of BIG shares of 241,164,000 shares which equaled to 27.34 percent of the total number of voting rights of BIG and reported the aggregate holding of his shares, his spouse’s and concert party’s shares in the combined amount of 547,969,500 shares which equaled to 62.11 percent of the total number of voting rights of BIG. But Mr. Chan did not report other shares held by his nominee in the amount of 73,106,100 shares which equaled to 8.29 percent of the total number of voting rights of BIG causing his aggregate holding of BIG shares to reach or pass a multiple of five percent of the total number of voting rights of the BIG. Later, on September 15, 2017, Mr. Chan filed the report of the acquisition of BIG shares held by his nominee to the SEC Office. Moreover, Mr. Chan failed to report the disposal of BIG shares on March 8, 2016, within the period specified in the notification of the Capital Market Supervisory Board which is in the amount of 49,724,400 shares which equaled to 1.41 percent of the total number of voting rights of BIG causing the total amount of shares held by him, his spouse and concert party to decrease from 2,497,678,500 shares which equaled to 70.80 percent of the total number of voting rights of BIG to 2,447,954,100 shares which equaled to 69.37 percent of the total number of voting rights of BIG. He later filed the reports to the SEC Office on September 15, 2017. | | Criminal Fine | imposing a fine of 146,750.00 Baht according to 95/2560 | |
| 1678 | 15/11/2017 | Miss Ornpaphat Chantarasaka | 300 / SEC Act | Miss Ornpaphat Chantarasaka, authorized director, responsible for the operation of Marnfah Group Company Limited, shall be liable for Marnfah Group Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval form the SEC Office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 94/2560 | |
| 1679 | 15/11/2017 | Marnfah Group Company Limited | 33 / SEC Act | Marnfah Group Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 500,000.00 Baht according to 93/2560 | |
| 1680 | 15/11/2017 | Miss Kanyakorn Supakarnkacharoen | 300 / SEC Act | Miss Kanyakorn Supakarnkacharoen, an authorized director, responsible for the operation of Lederer (Thailand) Company Limited, shall be liable for Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office.
| | Criminal Fine | imposing a fine of 1,530,000.00 Baht according to 92/2560 | |
| 1681 | 15/11/2017 | Lederer (Thailand) Company Limited | 33 / SEC Act | Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. | | Criminal Fine | imposing a fine of 1,530,000.00 Baht according to 91/2560 | |
| 1682 | 15/11/2017 | Miss Sugunya Sukjaroenkraisri | 300 / SEC Act | Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (“ACAP”), shall be liable for ACAP’s failure to prepare and submit the accurate financial statement for the year 2016 specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 62,100.00 Baht according to 90/2560 | |
| 1683 | 15/11/2017 | Miss Sugunya Sukjaroenkraisri | 300 / SEC Act | Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (“ACAP”), shall be liable for ACAP’s failure to prepare and submit the accurate annual registration statement for the year 2016 (Form 56-1) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 68,100.00 Baht according to 90/2560 | |
| 1684 | 15/11/2017 | Miss Sugunya Sukjaroenkraisri | 300 / SEC Act | Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (“ACAP”), shall be liable for ACAP’s failure to prepare and submit the accurate annual report for the year 2016 (Form 56-2) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed. | | Criminal Fine | imposing a fine of 60,300.00 Baht according to 90/2560 | |
| 1685 | 15/11/2017 | Asia Capital Group Public Company Limited | 56 and 199 / SEC Act | Asia Capital Group Public Company Limited (“ACAP”) prepared and submitted the inaccurate financial statement for the year 2016 to the SET and the SEC Office. The financial statement for the year 2016 did not comply with the Thai Accounting Standard no.18 (revised 2015), Revenue (TAS 18) and clause 14 a(i) of IAS - IE 18. Later, the rectified financial statement for the year 2016 was filed with the SET and the SEC Office. | | Criminal Fine | imposing a fine of 62,100.00 Baht according to 89/2560 | |
| 1686 | 15/11/2017 | Asia Capital Group Public Company Limited | 56 and 199 / SEC Act | Asia Capital Group Public Company Limited (“ACAP”) prepared and submitted the inaccurate annual registration statement for the year 2016 (“Form 56-1”), to the SET and the SEC Office. The Form 56-1 did not comply with the Thai Accounting Standard no.18 (revised 2015), Revenue (TAS 18) and clause 14 a(i) of IAS - IE 18. Later, the rectified Form 56-1 was filed with the SET and the SEC Office. | | Criminal Fine | imposing a fine of 68,100.00 Baht according to 89/2560 | |
| 1687 | 15/11/2017 | Asia Capital Group Public Company Limited | 56 and 199 / SEC Act | Asia Capital Group Public Company Limited (“ACAP”) prepared and submitted the inaccurate annual report for the year 2016 (“Form 56-2”) to the SET and the SEC Office.The Form 56-2 did not comply with the Thai Accounting Standard no.18 (revised 2015), Revenue (TAS 18) and clause 14 a(i) of IAS – IE 18. Later, the rectified Form 56-2 was filed with the SET and the SEC Office. | | Criminal Fine | imposing a fine of 60,300.00 Baht according to 89/2560 | |
| 1688 | 15/11/2017 | Mr. Pratheep Theepakornsukkasem | 300 / SEC Act | Mr. Pratheep Theepakornsukkasem, a chief executive director responsible for the operation of Smart Concrete Public Company Limited (“SMART”), shall be liable for SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 55,200.00 Baht according to 88/2560 | |
| 1689 | 15/11/2017 | Mr. Chamnarn Pornpilailuck | 300 / SEC Act | Mr. Chamnarn Pornpilailuck, a managing director responsible for the operation of Porn Prom Metal Public Company Limited (PPM), shall be liable for PPM’s failure to prepare and submit the reviewed financial statements for Q1/2017 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company’s violation of section 56. | | Criminal Fine | imposing a fine of 93,000.00 Baht according to 86/2560 | |
| 1690 | 15/11/2017 | Mr. Amorn Meemano | 300 / SEC Act | Mr. Amorn Meemano, the Chief Executive Officer responsible for the operation of AJ Advance Technology Public Company Limited (“AJA”), was liable for AJA’s failure to prepare and submit the reviewed financial statements for Q1/2017 ended March 31, 2017 within May 15, 2017. | | Criminal Fine | imposing a fine of 185,400.00 Baht according to 84/2560 | |
| 1691 | 15/11/2017 | Miss Asavinee Srisomburananont | 247 in conjunction with Section 86 of the Penal Code / SEC Act | Miss Asavinee Srisomburananont, a supervisor appointed by The Siam Commercial Bank Public Company Limited to act as the preparer of the offer document of Jasmine International Public Company Limited (“JAS”) played a part in being the supporter of Mr.Pete Bodharamik’s offence that are failing to prepare and submit (1) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (2) a report on the result of the tender offer in form 247-6-Khor to the SEC Office within the period Specified in the notification. | | Criminal Fine | imposing a fine of 108,000.00 Baht according to 82/2560 | |
| 1692 | 15/11/2017 | Miss Asavinee Srisomburananont | 247 in conjunction with Section 86 of the Penal Code / SEC Act | Miss Asavinee Srisomburananont, a supervisor appointed by The Siam Commercial Bank Public Company Limited to act as the preparer of the offer document of Jasmine Telecom Systems Public Company Limited (“JTS”) played a part in being the supporter of Mr.Pete Bodharamik’s offence that are failing to prepare and submit (1) a report on the total number of shares held in Form 246-2 (2) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (3) a submission of the offer document in Form 247-4 to the SEC Office within the period Specified in the notification. | | Criminal Fine | imposing a fine of 112,000.00 Baht according to 82/2560 | |
| 1693 | 09/11/2017 | Mr. Surachai Suwanthanakul | 243 (1) in conjunction with 244 (2) (3) and Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 25 Febuary 2015 to 17 March 2015, Mr. Surachai Suwanthanakul, Mrs. Orthai Sae-tung and Mr. Somsak Saravutwattanakorn joined with Miss Phichayada Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that stimulated the share's movements, and arranging low-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded in high volume and its price was changed. As a result, the trading of TAPAC shares contradicted normal market conditions. | 112/2017 | Civil Sanction | 09/11/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,635,871.25 Baht | The SEC has banned Mr. Surachai from holding the position of director or executive at any issuing or listed companies for 2 year from 10 November 2017 to 9 November 2019. |
| 1694 | 09/11/2017 | Mrs. Orthai Sae-tung | 243 (1) in conjunction with 244 (2) (3) and Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 25 Febuary 2015 to 17 March 2015, Mr. Surachai Suwanthanakul, Mrs. Orthai Sae-tung and Mr. Somsak Saravutwattanakorn joined with Miss Phichayada Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that stimulated the share's movements, and arranging low-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded in high volume and its price was changed. As a result, the trading of TAPAC shares contradicted normal market conditions. | 112/2017 | Civil Sanction | 09/11/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1695 | 09/11/2017 | Mr. Somsak Saravutwattanakorn | 243 (1) in conjunction with 244 (2) (3) and Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 25 Febuary 2015 to 17 March 2015, Mr. Surachai Suwanthanakul, Mrs. Orthai Sae-tung and Mr. Somsak Saravutwattanakorn joined with Miss Phichayada Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that stimulated the share's movements, and arranging low-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded in high volume and its price was changed. As a result, the trading of TAPAC shares contradicted normal market conditions. | 112/2017 | Civil Sanction | 09/11/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | The SEC has banned Mr. Somsak from holding the position of director or executive at any issuing or listed companies for 1 year from 10 November 2017 to 9 November 2018 |
| 1696 | 09/11/2017 | Miss Phichayada Phichayarom (formerly named Miss Suthasinee Nantapakprasit) | 243 (1) in conjunction with 244 (2) (3) and Section 83 of the Penal Code / SEC Act (before the fifth amendment) | During the period of 25 Febuary 2015 to 17 March 2015, Mr. Surachai Suwanthanakul, Mrs. Orthai Sae-tung and Mr. Somsak Saravutwattanakorn joined with Miss Phichayada Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that stimulated the share's movements, and arranging low-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded in high volume and its price was changed. As a result, the trading of TAPAC shares contradicted normal market conditions. | 112/2017 | Civil Sanction | 09/11/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1697 | 31/10/2017 | Mr. Bhusana Premanode | 307 308 311 312 and 89/7 281/2 and section 352 353 and 354 of Penal Code in conjunction with section 91 of Penal Code / SEC Act | During February to October 2014, Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), performed his duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. He committed a fraud by misappropriating IEC assets through a purchase transaction of 75% of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million baht. Mr. Sutin Jaitham and Miss Jaruwan Bhusanabhibankup sold their SK1’s shares and received 300 million baht from the sale; the margin of approximately 45 million baht was given back to Mr. Bhusana. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official.. | |
| 1698 | 31/10/2017 | Mr. Sutin Jaitham | 307 308 311 312 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Sutin Jaitham rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to International Engineering Public Company Limited (IEC) and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating IEC assets through a purchase transaction of 75% of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million baht. Mr. Sutin and Miss Jaruwan Bhusanabhibankup sold their SK1’s shares and received 300 million baht from the sale; the margin of approximately 45 million baht was given back to Mr. Bhusana. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1699 | 31/10/2017 | Miss Jaruwan Bhusanabhibankup | 307 308 311 312 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Miss Jaruwan Bhusanabhibankup rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to International Engineering Public Company Limited (IEC) and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana Committed a fraud by misappropriating IEC assets through a purchase transaction of 75% of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million baht. Mr. Sutin Jaitham and Miss Jaruwan sold their SK1’s shares and received 300 million baht from the sale; the margin of approximately 45 million baht was given to Mr. Bhusana. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1700 | 31/10/2017 | Mr. Sutat Suklert | 307 308 311 312 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Sutat Suklert rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to International Engineering Public Company Limited (IEC) and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana Committed a fraud by misappropriating IEC assets through a purchase transaction of 75% of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million baht. Mr. Sutin Jaitham and Miss Jaruwan Bhusanabhibankup sold their SK1’s shares and received 300 million baht from the sale; the margin of approximately 45 million baht was given to Mr. Bhusana. The amount of shares purchased, 345 million baht, is overevaluate regarding to inaccurate raw material price specified in a fuel sale contracts made by Mr. Sutat to SK1. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1701 | 31/10/2017 | Mr. Saran Lertchareonwongsa | 307 308 311 312 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Saran Lertchareonwongsa rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to International Engineering Public Company Limited (IEC) and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana Committed a fraud by misappropriating IEC assets through a purchase transaction of 75% of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million baht. Mr. Sutin Jaitham and Miss Jaruwan sold their SK1’s shares and received 300 million baht from the sale; the margin of approximately 45 million baht was given to Mr. Bhusana. The amount of shares purchased is overevaluate regarding to inaccurate raw material price specified in fuel sale contracts made by Mr. Sutat Suklert to SK1. Mr. Saran suggested Mr. Sutat enter into the contract and the contract were arranged by Mr. Saran. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1702 | 31/10/2017 | Mr. Bhusana Premanode | 312 in conjunction with section 83 of Penal Code / SEC Act | In February 2016, Mr. Bhusana Premanode jointly with Mr. Chanchai Khemvichien arranged or allowed preparation of International Engineering Public Company Limited (IEC)'s accounting records to be inaccurate and inconsistent with the facts. In arranging for falsification of the IEC financial statements; Mr. Bhusana and Mr. Chanchai made up fake documents and partially paid for the debt owed by Mr. Suthat Suklert, who had agreed to take on the debt for Mr. Sutin Jaitham and Ms. Charuwan Bhusanabhibankup, to mislead the company's auditor into believing that the debtor owing the outstanding balance of fuel charge worth 53.62 million baht was capable of debt repayment to the company before the auditor signed off the disclosure of the annual financial statements for the year 2015 without allowance for a doubtful account of the outstanding debt. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1703 | 31/10/2017 | Mr. Chanchai Khemvichien | 312 in conjunction with section 83 of Penal Code / SEC Act | Mr. Chanchai Khemvichien jointly with Mr. Bhusana Premanode arranged or allowed preparation of International Engineering Public Company Limited (IEC)'s accounting records to be inaccurate and inconsistent with the facts. In arranging for falsification of the IEC financial statements; Mr. Bhusana and Mr. Chanchai made up fake documents and partially paid for the debt owed by Mr. Suthat Suklert, who had agreed to take on the debt for Mr. Sutin Jaitham and Ms. Charuwan Bhusanabhibankup, to mislead the company's auditor into believing that the debtor owing the outstanding balance of fuel charge worth 53.62 million baht was capable of debt repayment to the company before the auditor signed off the disclosure of the annual financial statements for the year 2015 without allowance for a doubtful account of the outstanding debt. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1704 | 31/10/2017 | Mr. Sutat Suklert | 312 in conjunction with 315 / SEC Act | Mr. Sutat Suklert rendered assistance and support for Mr. Bhusana Premanode and Mr. Chanchai Khemvichien arranged or allowed preparation of International Engineering Public Company Limited (IEC)'s accounting records to be inaccurate and inconsistent with the facts. In arranging for falsification of the IEC financial statements; Mr. Bhusana and Mr. Chanchai made up fake documents and partially paid for the debt owed by Mr. Sutat, who had agreed to take on the debt for Mr. Sutin Jaitham and Ms. Charuwan Bhusanabhibankup, to mislead the company's auditor into believing that the debtor owing the outstanding balance of fuel charge worth 53.62 million baht was capable of debt repayment to the company before the auditor signed off the disclosure of the annual financial statements for the year 2015 without allowance for a doubtful account of the outstanding debt. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1705 | 31/10/2017 | Mr. Sutin Jaitham | 312 in conjunction with 315 / SEC Act | Mr. Sutin Jaitham rendered assistance and support for Mr. Bhusana Premanode and Mr. Chanchai Khemvichien arranged or allowed preparation of International Engineering Public Company Limited (IEC)'s accounting records to be inaccurate and inconsistent with the facts. In arranging for falsification of the IEC financial statements; Mr. Bhusana and Mr. Chanchai made up fake documents and partially paid for the debt owed by Mr. Sutat Suklert, who had agreed to take on the debt for Mr. Sutin and Ms. Charuwan Bhusanabhibankup, to mislead the company's auditor into believing that the debtor owing the outstanding balance of fuel charge worth 53.62 million baht was capable of debt repayment to the company before the auditor signed off the disclosure of the annual financial statements for the year 2015 without allowance for a doubtful account of the outstanding debt. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1706 | 31/10/2017 | Miss Jaruwan Bhusanabhibankup | 312 in conjunction with 315 / SEC Act | Miss Charuwan Bhusanabhibankup rendered assistance and support for Mr. Bhusana Premanode and Mr. Chanchai Khemvichien arranged or allowed preparation of International Engineering Public Company Limited (IEC)'s accounting records to be inaccurate and inconsistent with the facts. In arranging for falsification of the IEC financial statements; Mr. Bhusana and Mr. Chanchai made up fake documents and partially paid for the debt owed by Mr. Sutat Suklert, who had agreed to take on the debt for Mr. Sutin Jaitham and Ms. Charuwan, to mislead the company's auditor into believing that the debtor owing the outstanding balance of fuel charge worth 53.62 million baht was capable of debt repayment to the company before the auditor signed off the disclosure of the annual financial statements for the year 2015 without allowance for a doubtful account of the outstanding debt. | 104/2017 | Criminal Complaints | his case is in the process of inquiry by the special case inquiry official. | |
| 1707 | 31/10/2017 | Mr. Saran Lertchareonwongsa | 312 in conjunction with 315 / SEC Act | Mr. Saran Lertchareonwongsa rendered assistance and support for Mr. Bhusana Premanode and Mr. Chanchai Khemvichien arranged or allowed preparation of International Engineering Public Company Limited (IEC)'s accounting records to be inaccurate and inconsistent with the facts. In arranging for falsification of the IEC financial statements; Bhusana and Mr. Chanchai made up fake documents and partially paid for the debt owed by Mr. Suthat Suklert, who had agreed to take on the debt for Mr. Sutin Jaitham and Ms. Charuwan Bhusanabhibankup, to mislead the company's auditor into believing that the debtor owing the outstanding balance of fuel charge worth 53.62 million baht was capable of debt repayment to the company before the auditor signed off the disclosure of the annual financial statements for the year 2015 without allowance for a doubtful account of the outstanding debt. Mr. Saran arranged the documentations for Mr. Sutat Mr. Sutin and Ms. Charuwan. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1708 | 31/10/2017 | Mr. Bhusana Premanode | 307 311 89/7 281/2 / SEC Act | During 30 May – 14 June 2014, Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), performed his duties dishonestly and seeking wrongful gains, which caused damage to IEC, through a purchase transaction of 25% of SK1 shares at the amount of 100 million baht. The transaction was executed after SK1 had been placed in absolute receivership by the Central Bankruptcy Court's order. Mr. Bhusana acknowledged the order but persisted IEC to buy SK1 shares from Mr. Sutin Jaitham and Miss. Charuwan Bhusanabhibankup, who were his debtors. Later Mr. Sutin repaid Mr.Bhusana with the money received from the share sale. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1709 | 31/10/2017 | Mr. Sutin Jaitham | 307 311 in conjunction with 315 / SEC Act | Mr. Sutin Jaitham rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly and seeking wrongful gains, which caused damage to International Engineering Public Company Limited (IEC), through a purchase transaction of 25% of SK1 shares at the amount of 100 million baht. The transaction was executed after SK1 had been placed in absolute receivership by the Central Bankruptcy Court's order. Mr. Bhusana acknowledged the order but persisted IEC to buy SK1 shares from Mr. Sutin and Miss. Charuwan Bhusanabhibankup, who were his debtors. Later Mr. Sutin repaid Mr. Bhusana with the money received from the share sale. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1710 | 31/10/2017 | Miss Jaruwan Bhusanabhibankup | 307 311 in conjunction with 315 / SEC Act | Miss Jaruwan Bhusanabhibankup rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly and seeking wrongful gains, which caused damage to International Engineering Public Company Limited (IEC), through a purchase transaction of 25% of SK1 shares at the amount of 100 million baht. The transaction was executed after SK1 had been placed in absolute receivership by the Central Bankruptcy Court's order. Mr. Bhusana acknowledged the order but persisted IEC to buy SK1 shares from Mr. Sutin Jaitham and Miss Charuwan, who were his debtors. Later Miss Charuwan repaid Mr.Bhusana with the money received from the share sale. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1711 | 31/10/2017 | Mr. Saran Lertchareonwongsa | 307 311 in conjunction with 315 / SEC Act | Mr. Saran Lertchareonwongsa rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly and seeking wrongful gains, which caused damage to International Engineering Public Company Limited (IEC), through a purchase transaction of 25% of SK1 shares at the amount of 100 million baht. The transaction was executed after SK1 had been placed in absolute receivership by the Central Bankruptcy Court's order. Mr. Bhusana acknowledged the order but persisted IEC to buy SK1 shares from Mr. Sutin Jaitham and Miss Charuwan Bhusanabhibankup, who were his debtors. Later Mr. Sutin repaid Mr.Bhusana with the money received from the share sale. Mr. Saran arranged the documentation and the payment for Mr. Sutin. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1712 | 31/10/2017 | Mr. Bhusana Premanode | 307 311 89/7 281/2 / SEC Act | During 13 May 2015 to 17 August 2016, Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), performed his duties dishonestly and seeking wrongful gains, which caused damage to IEC, in the case where IEC did not exercise the right to purchase shares of Kokcharoen Green Energy Company Limited (KE) at the amount of 45 million baht. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the significantly higher price of 70 million baht, which created an unlawful benefit for Mr. Bhusana. Miss Ploykaew Pariswong, Miss Kornrawan Sunprasert and Mr. Nanthawat Bhudithaiyarasak, who were Energy System Engineering and Service Company Limited (ESES) directors, assisted and supported the execution of such trading transactions. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1713 | 31/10/2017 | Mr. Saran Lertchareonwongsa | 307 311 in conjunction with 315 / SEC Act | Mr. Saran Lertchareonwongsa rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly and seeking wrongful gains, which caused damage to International Engineering Public Company Limited (IEC), in the case where IEC did not exercise the right to purchase shares of Kokcharoen Green Energy Company Limited (KE) at the amount of 45 million baht. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the significantly higher price of 70 million baht, which created an unlawful benefit for Mr. Bhusana. Miss Ploykaew Pariswong, Miss Kornrawan Sunprasert and Mr. Nanthawat Bhudithaiyarasak, who were Energy System Engineering and Service Company Limited (ESES) directors, assisted and supported the execution of such trading transactions. ESES is deemed under control of Mr. Saran | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1714 | 31/10/2017 | Energy System Engineering and Service Co., Ltd. | 307 311 in conjunction with 315 / SEC Act | Energy System Engineering and Service Company Limited (ESES) rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly and seeking wrongful gains, which caused damage to International Engineering Public Company Limited (IEC), in the case where IEC did not exercise the right to purchase shares of Kokcharoen Green Energy Company Limited (KE) at the amount of 45 million baht. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the significantly higher price of 70 million baht, which created an unlawful benefit for Mr. Bhusana. Miss Ploykaew Pariswong, Miss Kornrawan Sunprasert and Mr. Nanthawat Bhudithaiyarasak, who were ESES directors, assisted and supported the execution of such trading transactions. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1715 | 31/10/2017 | Mr. Nanthawat Bhudithaiyarasak | 307 311 in conjunction with 315 / SEC Act | Mr. Nanthawat Bhudithaiyarasak rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly and seeking wrongful gains, which caused damage to International Engineering Public Company Limited (IEC), in the case where IEC did not exercise the right to purchase shares of Kokcharoen Green Energy Company Limited (KE) at the amount of 45 million baht. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the significantly higher price of 70 million baht, which created an unlawful benefit for Mr. Bhusana. Miss Ploykaew Pariswong, Miss Kornrawan Sunprasert and Mr. Nanthawat, who were ESES director, assisted and supported the execution of such trading transactions. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1716 | 31/10/2017 | Mr. Sutin Jaitham | 307 311 in conjunction with 315 / SEC Act | Mr. Sutin Jaitham, shareholder of Kokcharoen Green Energy Company Limited (KE), rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly and seeking wrongful gains, which caused damage to International Engineering Public Company Limited (IEC), in the case where IEC did not exercise the right to purchase shares of KE at the amount of 45 million baht. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the significantly higher price of 70 million baht, which created an unlawful benefit for Mr. Bhusana. Miss Ploykaew Pariswong, Miss Kornrawan Sunprasert and Mr. Nanthawat Bhudithaiyarasak, who were ESES director, assisted and supported the execution of such trading transactions. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1717 | 31/10/2017 | Miss Jaruwan Bhusanabhibankup | 307 311 in conjunction with 315 / SEC Act | Miss Jaruwan Bhusanabhibankup, shareholder of Kokcharoen Green Energy Company Limited (KE), rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly and seeking wrongful gains, which caused damage to International Engineering Public Company Limited (IEC), in the case where IEC did not exercise the right to purchase shares of KE at the amount of 45 million baht. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the significantly higher price of 70 million baht, which created an unlawful benefit for Mr. Bhusana. Miss Ploykaew Pariswong, Miss Kornrawan Sunprasert and Mr. Nanthawat Bhudithaiyarasak, who were ESES director, assisted and supported the execution of such trading transactions. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1718 | 31/10/2017 | Miss Ploykaew Pariswong | 307 311 in conjunction with 315 / SEC Act | Miss Ploykaew Pariswong rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly and seeking wrongful gains, which caused damage to International Engineering Public Company Limited (IEC), in the case where IEC did not exercise the right to purchase shares of Kokcharoen Green Energy Company Limited (KE) at the amount of 45 million baht. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the significantly higher price of 70 million baht, which created an unlawful benefit for Mr. Bhusana. Miss Ploykaew, Miss Kornrawan Sunprasert and Mr. Nanthawat Bhudithaiyarasak, who were ESES director, assisted and supported the execution of such trading transactions. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1719 | 31/10/2017 | Miss Kornrawan Sunprasert | 307 311 in conjunction with 315 / SEC Act | Miss Kornrawan Sunprasert rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly and seeking wrongful gains, which caused damage to International Engineering Public Company Limited (IEC), in the case where IEC did not exercise the right to purchase shares of Kokcharoen Green Energy Company Limited (KE) at the amount of 45 million baht. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the significantly higher price of 70 million baht, which created an unlawful benefit for Mr. Bhusana. Miss Ploykaew Pariswong, Miss Kornrawan and Mr. Nanthawat Bhudithaiyarasak, who were Energy System Engineering and Service Company Limited (ESES) director, assisted and supported the execution of such trading transactions. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1720 | 31/10/2017 | Mr. Bhusana Premanode | 307 308 311 312 and 89/7 281/2 paragraph 2 and section 352 353 and 354 of Penal Code in conjunction with section 83 91 of Penal Code / SEC Act | Between April and May 2016, Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), performed his duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. He committed a fraud by misappropriating money of Nongree Power Plants Company Limited (a 100-percent subsidiary of IEC) through a contract with Energy System Engineering and Service Company Limited (ESES) for the construction of a building and the installation of electricity-generating machinery at the exaggerated price of 58 million baht. Nongree Power Plants, approved by Mr. Bhusana, paid for the first instalment of 12.48 million baht to ESES. Later the contract was terminated but there was no construction and installation. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1721 | 31/10/2017 | Energy System Engineering and Service Co., Ltd. | 307 308 311 312 in conjunction with 315 / SEC Act | Energy System Engineering and Service Co., Ltd. (ESES) by Mr. Nanthawat Bhudithaiyarasak as a director of ESES, rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to International Engineering Public Company Limited (IEC) and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of Nongree Power Plants Company Limited (a 100-percent subsidiary of IEC) through a contract with ESES for the construction of a building and the installation of electricity-generating machinery at the exaggerated price of 58 million baht. Nongree Power Plants, approved by Mr. Bhusana, paid for the first instalment of 12.48 million baht to ESES. Later the contract was terminated but there was no construction and installation. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1722 | 31/10/2017 | Mr. Nanthawat Bhudithaiyarasak | 307 308 311 312 in conjunction with 315 / SEC Act | Mr. Nanthawat Bhudithaiyarasak, a director of Energy System Engineering and Service Co., Ltd. (ESES), rendered assistance and support for Mr. Bhusana Premanode performed duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to International Engineering Public Company Limited (IEC) and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of Nongree Power Plants Company Limited (a 100-percent subsidiary of IEC) through a contract with ESES for the construction of a building and the installation of electricity-generating machinery at the exaggerated price of 58 million baht. Nongree Power Plants, approved by Mr. Bhusana, paid for the first instalment of 12.48 million baht to ESES. Later the contract was terminated but there was no construction and installation. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1723 | 31/10/2017 | Mr. Saran Lertchareonwongsa | 307 308 311 312 in conjunction with 315 / SEC Act | Mr. Saran Lertchareonwongsa rendered assistance and support for Mr. Bhusana Premanode performed duties committed a fraud by misappropriating money of Nongree Power Plants Company Limited (a 100-percent subsidiary of IEC) through a contract with Energy System Engineering and Service Co., Ltd. (ESES), deemed under control of Mr. Bhusansa and Mr. Saran, for the construction of a building and the installation of electricity-generating machinery at the exaggerated price of 58 million baht. Nongree Power Plants, approved by Mr. Bhusana, paid for the first instalment of 12.48 million baht to ESES. Later the contract was terminated but there was no construction and installation. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1724 | 31/10/2017 | Mr. Bhusana Premanode | 307 308 311 312 and 89/7 281/2 paragraph 2 and section 352 353 and 354 of Penal Code in conjunction with section 83 91 of Penal Code / SEC Act | Between 7 January and 13 July 2016, Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), performed his duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the selling transactions of thermoplastic of an IEC project in Rayong province. In so doing, Mr. Bhusana, Mr. Maruphong Siriwat and Mr. Chayakorn Akaramas jointly sold the thermoplastic to third parties before the launch date of commercial operation. Instead of making the payment for the thermoplastic to IEC, the buyers transferred the total payment of approximately 2.95 million baht into the accounts of Mr. Niwat Maenim, Mr. Sutin Promthong and North Environment Co., Ltd. (NE). Mr. Sunthorn Srimai, who was an NE director, was involved in the arrangement. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1725 | 31/10/2017 | Mr. Maruphong Siriwat | 307 308 311 312 and section 352 353 and 354 of Penal Code in conjunction with section 83 91 of Penal Code / SEC Act | Between 7 January and 13 July 2016, Mr. Maruphong Siriwat, a general manager of thermoplastic of an International Engineering Public Company Limited (IEC) project in Rayong province jointly with Mr. Chayakorn Akaramas, an office manager of the project and Mr. Bhusana Premanode, while being director and executive of IEC, performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the selling transactions of thermoplastic of an IEC project in Rayong province. In so doing, Mr. Bhusana, Mr. Maruphong and Mr. Chayakorn jointly sold the thermoplastic to third parties before the launch date of commercial operation. Instead of making the payment for the thermoplastic to IEC, the buyers transferred the total payment of approximately 2.95 million baht into the accounts of Mr. Niwat Maenim, Mr. Sutin Promthong and North Environment Co., Ltd. (NE). Mr. Sunthorn Srimai, who was an NE director, was involved in the arrangement. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1726 | 31/10/2017 | Mr. Chayakorn Akaramas | 307 308 311 312 and section 352 353 and 354 of Penal Code in conjunction with section 83 91 of Penal Code / SEC Act | Between 7 January and 13 July 2016, Mr. Chayakorn Akaramas, an office manager of thermoplastic project of International Engineering Public Company Limited (IEC) in Rayong province, jointly with the Mr. Maruphong Siriwat, a general manager of the project and Mr. Bhusana Premanode, while being director and executive of IEC, performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the selling transactions of thermoplastic of an IEC project in Rayong province. In so doing, Mr. Bhusana, Mr. Maruphong and Mr. Chayakorn jointly sold the thermoplastic to third parties before the launch date of commercial operation. Instead of making the payment for the thermoplastic to IEC, the buyers transferred the total payment of approximately 2.95 million baht into the accounts of Mr. Niwat Maenim, Mr. Sutin Promthong and North Environment Co., Ltd. (NE). Mr. Sunthorn Srimai, who was an NE director, was involved in the arrangement. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1727 | 31/10/2017 | Mr. Saran Lertchareonwongsa | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Saran Lertchareonwongsa rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), jointly with Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC in Rayong province and Mr. Chayakorn Akaramas, an office manager of the project performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the selling transactions of thermoplastic of an IEC project in Rayong province. In so doing, Mr. Bhusana, Mr. Maruphong and Mr. Chayakorn jointly sold the thermoplastic to third parties before the launch date of commercial operation. Instead of making the payment for the thermoplastic to IEC, the buyers transferred the total payment of approximately 2.95 million baht into the accounts of Mr. Niwat Maenim, Mr. Sutin Promthong and North Environment Co., Ltd. (NE). NE is deemed under control of Mr. Bhusana and Mr. Saran. Mr. Sunthorn Srimai, who was an NE director, was involved in the arrangement. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1728 | 31/10/2017 | Mr. Niwat Maenim | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Niwat Maenim rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), jointly with Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC in Rayong province and Mr. Chayakorn Akaramas, an office manager of the project performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the selling transactions of thermoplastic of an IEC project in Rayong province. In so doing, Mr. Bhusana, Mr. Maruphong and Mr. Chayakorn jointly sold the thermoplastic to third parties before the launch date of commercial operation. Instead of making the payment for the thermoplastic to IEC, the buyers transferred the total payment of approximately 2.95 million baht into the accounts of Mr. Niwat, Mr. Sutin Promthong and North Environment Co., Ltd. (NE). NE is deemed under control of Mr. Bhusana and Mr. Saran Lertchareonwongsa. Mr. Sunthorn Srimai, who was an NE director, was involved in the arrangement. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1729 | 31/10/2017 | Mr. Sutin Promthong | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Sutin Promthong rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), jointly with Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC in Rayong province and Mr. Chayakorn Akaramas, an office manager of the project performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the selling transactions of thermoplastic of an IEC project in Rayong province. In so doing, Mr. Bhusana, Mr. Maruphong and Mr. Chayakorn jointly sold the thermoplastic to third parties before the launch date of commercial operation. Instead of making the payment for the thermoplastic to IEC, the buyers transferred the total payment of approximately 2.95 million baht into the accounts of Mr. Niwat Maenim, Mr. Sutin and North Environment Co., Ltd. (NE). NE is deemed under control of Mr. Bhusana and Mr. Saran Lertchareonwongsa.. Mr. Sunthorn Srimai, who was an NE director, was involved in the arrangement. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1730 | 31/10/2017 | North Environment Co., Ltd. | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | North Environment Co., Ltd. (NE) rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), jointly with Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC in Rayong province and Mr. Chayakorn Akaramas, an office manager of the project performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the selling transactions of thermoplastic of an IEC project in Rayong province. In so doing, Mr. Bhusana, Mr. Maruphong and Mr. Chayakorn jointly sold the thermoplastic to third parties before the launch date of commercial operation. Instead of making the payment for the thermoplastic to IEC, the buyers transferred the total payment of approximately 2.95 million baht into the accounts of Mr. Niwat Maenim, Mr. Sutin Promthong and NE. NE is deemed under control of Mr. Bhusana and Mr. Saran Lertchareonwongsa.. Mr. Sunthorn Srimai, who was an NE director, was involved in the arrangement. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1731 | 31/10/2017 | Mr. Sunthorn Srimai | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Sunthorn Srimai rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), jointly with Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC in Rayong province and Mr. Chayakorn Akaramas, an office manager of the project performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the selling transactions of thermoplastic of an IEC project in Rayong province. In so doing, Mr. Bhusana, Mr. Maruphong and Mr. Chayakorn jointly sold the thermoplastic to third parties before the launch date of commercial operation. Instead of making the payment for the thermoplastic to IEC, the buyers transferred the total payment of approximately 2.95 million baht into the accounts of Mr. Niwat Maenim, Mr. Sutin Promthong and North Environment Co., Ltd. (NE). NE is deemed under control of Mr. Bhusana and Mr. Saran Lertchareonwongsa. Mr. Sunthorn Srimai, who was a NE director, was involved in the arrangement. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1732 | 31/10/2017 | Mr. Bhusana Premanode | 307 308 311 312 and 89/7 281/2 paragraph 2 and section 352 353 and 354 of Penal Code in conjunction with section 83 91 of Penal Code / SEC Act | Between 12 February and 3 March 2016, Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC) performed his duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract with Bann Tongkum Co., Ltd. where Mr. Somchai Phothi was a director. The 15.09-million-baht contract was for the construction of a wastewater treatment system and a water purifier system of an IEC project in Rayong province. Mr. Bhusana and Mr. Maruphong Siriwat had signed in acceptance of the complete construction and approved the full payment when in fact the construction was incomplete. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1733 | 31/10/2017 | Mr. Maruphong Siriwat | 307 308 311 312 and section 352 353 and 354 of Penal Code in conjunction with section 83 91 of Penal Code / SEC Act | Between 12 February and 3 March 2016, Mr. Maruphong Siriwat, a general manager of thermoplastic project of International Engineering Public Company Limited (IEC) at Rayong province jointly with Mr. Bhusana Premanode, while being director and executive of IEC performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract with Bann Tongkum Co., Ltd. where Mr. Somchai Phothi was a director. The 15.09-million-baht contract was for the construction of a wastewater treatment system and a water purifier system of an IEC project in Rayong province. Mr. Bhusana and Mr. Maruphong had signed in acceptance of the complete construction and approved the full payment when in fact the construction was incomplete. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1734 | 31/10/2017 | Bann Tongkum Co., Ltd. | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Bann Tongkum Co., Ltd. rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC) and Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC at Rayong province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract with Bann Tongkum Co., Ltd where Mr. Somchai Phothi was a director. The 15.09-million-baht contract was for the construction of a wastewater treatment system and a water purifier system of an IEC project in Rayong province. Mr. Bhusana and Mr. Maruphong had signed in acceptance of the complete construction and approved the full payment when in fact the construction was incomplete. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1735 | 31/10/2017 | Mr. Somchai Phothi | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Somchai Phothi rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC) and Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC at Rayong province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract with Bann Tongkum Co., Ltd where Mr. Somchai Phothi was a director. The 15.09-million-baht contract was for the construction of a wastewater treatment system and a water purifier system of an IEC project in Rayong province. Mr. Bhusana and Mr. Maruphong had signed in acceptance of the complete construction and approved the full payment when in fact the construction was incomplete. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1736 | 31/10/2017 | Mr. Bhusana Premanode | 307 308 311 312 and 89/7 281/2 paragraph 2 and section 352 353 and 354 of Penal Code in conjunction with section 83 91 of Penal Code / SEC Act | Between 17 August and 8 October 2015, Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC) and Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC at Rayong province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract with Thai-Chin Engineering & Construction where Mr. Rattanathorn Shinkrajangkij and Ms. Yadapat Shinkrajangkij were directors. The 10.50-million-baht contract was for the construction of a contaminated plastic distilling plant of an IEC project in Had Yai District, Songkla Province. Mr. Bhusana and Mr. Marupong signed in acceptance of the complete construction and approved the full payment by IEC even though the construction was in breach of the contract. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1737 | 31/10/2017 | Mr. Maruphong Siriwat | 307 308 311 312 and section 352 353 and 354 of Penal Code in conjunction with section 83 91 of Penal Code / SEC Act | Between 21 – 29 September 2015, Mr. Maruphong Siriwat, a general manager of International Engineering Public Company Limited (IEC) project in Had Yai District, Songkla Province jointly with Mr. Bhusana Premanode, while being director and executive of IEC, performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the 10.70 million baht purchasing contract of waste trommel screen machines of the IEC project in Had Yai. The contract was made with Petchpiya Group Co, Ltd. where Mr. Thanapat Petchkwan and Ms. Kanyapak Petchkwan were directors. Mr. Bhusana, Mr. Marupong and Mr. Sunan Srijaiphra signed in acceptance of the machines and approved the full payment by IEC where in fact the machines could not be found. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1738 | 31/10/2017 | Mr. Sunan Srijaiphrachareon | 307 308 311 312 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Sunan Srijaiphrachareon rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), and Mr. Maruphong Siriwat, a general manager of an IEC project in Had Yai District, Songkla Province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the 10.70 million baht purchasing contract of waste trommel screen machines of the IEC project in Had Yai. The contract was made with Petchpiya Group Co, Ltd. where Mr. Thanapat Petchkwan and Ms. Kanyapak Petchkwan were directors. Mr. Bhusana, Mr. Marupong and Mr. Sunan, as the project assistant manager, signed in acceptance of the machines and approved the full payment by IEC where in fact the machines could not be found. | 104/2017 | Criminal Complaints | Prosecutorial stage issue a non-prosecution order. | |
| 1739 | 31/10/2017 | Petchpiya Group Co., Ltd. | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Petchpiya Group Co, Ltd. rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), and Mr. Maruphong Siriwat, a general manager of an IEC project in Had Yai District, Songkla Province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the 10.70 million baht purchasing contract of waste trommel screen machines of the IEC project in Had Yai. The contract was made with Petchpiya Group Co, Ltd. where Mr. Thanapat Petchkwan and Ms. Kanyapak Petchkwan were directors. Mr. Bhusana, Mr. Marupong and Mr. Sunan, as the project assistant manager, signed in acceptance of the machines and approved the full payment by IEC where in fact the machines could not be found. | 104/2017 | Criminal Complaints | Prosecutorial stage issue a non-prosecution order. | |
| 1740 | 31/10/2017 | Mr. Thanapat Petchkwan | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Thanapat Petchkwan, a director of Petchpiya Group Co, Ltd., rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), and Mr. Maruphong Siriwat, a general manager of an IEC project in Had Yai District, Songkla Province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the 10.70 million baht purchasing contract of waste trommel screen machines of the IEC project in Had Yai. The contract was made with Petchpiya Group Co, Ltd. where Mr. Thanapat and Ms. Kanyapak Petchkwan were directors. Mr. Bhusana, Mr. Marupong and Mr. Sunan, as the project assistant manager, signed in acceptance of the machines and approved the full payment by IEC where in fact the machines could not be found. | 104/2017 | Criminal Complaints | Prosecutorial stage issue a non-prosecution order. | |
| 1741 | 31/10/2017 | Ms. Kanyapak Petchkwan | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Ms. Kanyapak Petchkwan, a director of Petchpiya Group Co, Ltd., rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), and Mr. Maruphong Siriwat, a general manager of an IEC project in Had Yai District, Songkla Province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the 10.70 million baht purchasing contract of waste trommel screen machines of the IEC project in Had Yai. The contract was made with Petchpiya Group Co, Ltd. where Mr. Thanapat and Ms. Kanyapak were directors. Mr. Bhusana, Mr. Marupong and Mr. Sunan, as the project assistant manager, signed in acceptance of the machines and approved the full payment by IEC where in fact the machines could not be found. | 104/2017 | Criminal Complaints | Prosecutorial stage issue a non-prosecution order. | |
| 1742 | 31/10/2017 | Mr. Bhusana Premanode | 307 308 311 312 and 89/7 281/2 paragraph 2 and section 352 353 and 354 of Penal Code in conjunction with section 83 91 of Penal Code / SEC Act | Between 21 – 29 September 2015, Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), jointly with Mr. Maruphong Siriwat, a general manager of an IEC project in Had Yai District, Songkla Province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the 10.70 million baht purchasing contract of waste trommel screen machines of the IEC project in Had Yai. The contract was made with Petchpiya Group Co, Ltd. where Mr. Thanapat Petchkwan and Ms. Kanyapak Petchkwan were directors. Mr. Bhusana, Mr. Marupong and Mr. Sunan Srijaiphra signed in acceptance of the machines and approved the full payment by IEC where in fact the machines could not be found. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1743 | 31/10/2017 | Mr. Maruphong Siriwat | 307 308 311 312 and section 352 353 and 354 of Penal Code in conjunction with section 83 91 of Penal Code / SEC Act | Between 17 August and 8 October 2015, Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC at Rayong province jointly with Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC) performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract with Thai-Chin Engineering & Construction where Mr. Rattanathorn Shinkrajangkij and Ms. Yadapat Shinkrajangkij were directors. The 10.50-million-baht contract was for the construction of a contaminated plastic distilling plant of an IEC project in Had Yai District, Songkla Province. Mr. Bhusana and Mr. Marupong signed in acceptance of the complete construction and approved the full payment by IEC even though the construction was in breach of the contract. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1744 | 31/10/2017 | Thai-Shin Engineering and Construction Co., Ltd. | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Thai-Shin Engineering and Construction Co., Ltd.
rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC) and Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC at Rayong province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract with Thai-Chin Engineering & Construction where Mr. Rattanathorn Shinkrajangkij and Ms. Yadapat Shinkrajangkij were directors. The 10.50-million-baht contract was for the construction of a contaminated plastic distilling plant of an IEC project in Had Yai District, Songkla Province. Mr. Bhusana and Mr. Marupong signed in acceptance of the complete construction and approved the full payment by IEC even though the construction was in breach of the contract. | 104/2017 | Criminal Complaints | Prosecutorial stage issue a non-prosecution order. | |
| 1745 | 31/10/2017 | Mr. Rattanathorn Shinkrajangkij | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Mr. Rattanathorn Shinkrajangkij, a director of Thai-Shin Engineering and Construction Co., Ltd.,
rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC) and Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC at Rayong province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract with Thai-Chin Engineering & Construction where Mr. Rattanathorn and Ms. Yadapat Shinkrajangkij were directors. The 10.50-million-baht contract was for the construction of a contaminated plastic distilling plant of an IEC project in Had Yai District, Songkla Province. Mr. Bhusana and Mr. Marupong signed in acceptance of the complete construction and approved the full payment by IEC even though the construction was in breach of the contract. | 104/2017 | Criminal Complaints | Prosecutorial stage issue a non-prosecution order. | |
| 1746 | 31/10/2017 | Ms. Yadapat Shinkrajangkij | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Ms. Yadapat Shinkrajangkij, a director of Thai-Shin Engineering and Construction Co., Ltd.,
rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC) and Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC at Rayong province performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract with Thai-Chin Engineering & Construction where Mr. Rattanathorn Shinkrajangkij and Ms. Yadapat were directors. The 10.50-million-baht contract was for the construction of a contaminated plastic distilling plant of an IEC project in Had Yai District, Songkla Province. Mr. Bhusana and Mr. Marupong signed in acceptance of the complete construction and approved the full payment by IEC even though the construction was in breach of the contract. | 104/2017 | Criminal Complaints | Prosecutorial stage issue a non-prosecution order. | |
| 1747 | 31/10/2017 | Miss Kornrawan Sunprasert | 307 308 311 312 in conjunction with 315 and section 352 353 and 354 of Penal Code in conjunction with section 86 91 of Penal Code / SEC Act | Miss Kornrawan Sunprasert rendered assistance and support for Mr. Bhusana Premanode, while being director and executive of International Engineering Public Company Limited (IEC), and Mr. Maruphong Siriwat, a general manager of thermoplastic project of IEC in Rayong province and Mr. Chayakorn Akaramas, an office manager of the project performed their duties dishonestly, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons. Mr. Bhusana committed a fraud by misappropriating money of IEC through the selling transactions of thermoplastic of an IEC project in Rayong province. In so doing, Mr. Bhusana, Mr. Maruphong and Mr. Chayakorn jointly sold the thermoplastic to third parties before the launch date of commercial operation. Instead of making the payment for the thermoplastic to IEC, the buyers transferred the total payment of approximately 2.95 million baht into the accounts of Mr. Niwat Maenim, Mr. Sutin Promthong and North Environment Co., Ltd. (NE). NE is deemed under control of Mr. Bhusana and Mr. Saran. Mr. Sunthorn Srimai, who was an NE director, was involved in the arrangement. The payment was made by Miss Kornrawan. | 104/2017 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1748 | 24/10/2017 | Mr. Surasak Chuntori | 241 / SEC Act (before the fifth amendment) | On 22 August 2012, Mr. Surasak Chuntori, an audit committee and independent director of Siam Global House Public Company Limited ("GLOBAL") used Mr. Ekkamon Chuntori's trading account to purchase 75,000 GLOBAL shares by utilizing the non-public information he accessed by virtue of his positions. Such information was SCG Distribution Co., Ltd., a subsidary company of Siam Cement Public Company Limited, agreed to invest in GLOBAL shares at least 30% of issued shares. | 022/2016 | Civil Sanction | 26/05/2020 The Civil Court delivered The Appeal Court judgement upholding the Civil Court judgement and ordering each party to pay there own costs and expenses. 25/02/2019 The Civil Court delivered a judgement ordering the defendant to pay a civil penalty and a compensation at an equal amount to the benefit should have been received from committing the offence in a sum of 522,500 Baht together with 7.5% interest calculated from the amount equals to the benefit should have been received from committing the offence since the date of the entry of the plaint until the defendant fully pays the said amount of money to the plaintiff to be collected as public revenue and ordering the defendants to jointly reimburse the execution cost to the plaintiff. 26/02/2018 filed a lawsuit to a civil court 24/10/2017 referred the case to a state attorney for filing a lawsuit to a civil court | |
| 1749 | 24/10/2017 | Mr. Ekkamon Chuntori | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | On 22 August 2012, Mr. Ekkamon Chuntorii assisted or facilitated for Mr. Surasak Chuntori in allowing him to use his trading account to purchase 75,000 Siam Global House Public Company Limited ("GLOBAL") shares by utilizing the non-public information Mr. Surasak accessed by virtue of his positions as an audit committee and independent director of GLOBAL. Mr. Ekkamon also involved in financial transaction concerning the purchase of GLOBAL shares. | 022/2016 | Civil Sanction | 26/05/2020 The Civil Court delivered The Appeal Court judgement upholding the Civil Court judgement and ordering each party to pay there own costs and expenses. 25/02/2019 The Civil Court delivered a judgement ordering the defendant to pay a sum of 333,333.33 Baht to the plaintiff to be collected as public revenue and ordering the defendants to jointly reimburse the execution cost to the plaintiff. 26/02/2018 filed a lawsuit to a civil court 24/10/2017 referred the case to a state attorney for filing a lawsuit to a civil court | |
| 1750 | 21/10/2017 | Mr. PHISIST PHONGPHEUK | | Performing duties dishonestly on account of deceiving several clients, falsifying ducuments, spending clients' money for his own interest, and using clients' trading accounts to trade securities for himself. | 99/2017 | Administrative Orders | Revocation | Effective Date 21/10/2017 to 20/10/2027 |
| 1751 | 18/10/2017 | The Siam Commercial Bank Public Company Limited | 247 in conjunction with Section 86 of the Penal Code / SEC Act | The Siam Commercial Bank Public Company Limited, a financial advisor appointed as the preparer of the offer document of Jasmine International Public Company Limited (“JAS”) played a part in being the supporter of Mr.Pete Bodharamik’s offence that are failing to prepare and submit (1) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (2) a report on the result of the tender offer in form 247-6-Khor to the SEC Office within the period Specified in the notification. | | Criminal Fine | imposing a fine of 108,000.00 Baht according to 81/2560 | |
| 1752 | 18/10/2017 | The Siam Commercial Bank Public Company Limited | 247 in conjunction with Section 86 of the Penal Code / SEC Act | The Siam Commercial Bank Public Company Limited, a financial advisor appointed as the preparer of the offer document of Jasmine Telecom Systems Public Company Limited (“JTS”) played a part in being the supporter of Mr.Pete Bodharamik’s offence that are failing to prepare and submit (1) a report on the total number of shares held in Form 246-2 (2) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (3) a submission of the offer document in Form 247-4 to the SEC Office within the period Specified in the notification. | | Criminal Fine | imposing a fine of 112,000.00 Baht according to 81/2560 | |
| 1753 | 18/10/2017 | Mr. Pete Bodharamik | 247 / SEC Act | On September 19, 2016, Mr. Pete Bodharamik (“Mr. Pete”) acquired shares of Jasmine International Public Company Limited (“JAS”) which caused his aggregated holdings of JAS shares to exceed trigger point at 50 percent of the total voting rights of JAS. However, Mr. Pete failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as he failed to prepare and submit (1) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (2) a report on the result of the tender offer in form 247-6-Khor to the SEC Office within the period Specified in the notification. | | Criminal Fine | imposing a fine of 162,000.00 Baht according to 80/2560 | |
| 1754 | 18/10/2017 | Mr. Pete Bodharamik | 247 / SEC Act | On September 19, 2016, Mr. Pete Bodharamik (“Mr. Pete”) acquired shares of Jasmine International Public Company Limited (“JAS”) in the amount of 29.42 percent of the total voting rights of JAS which caused his aggregated holdings of JAS shares to exceed 50 percent. The amount of his holdings of JAS was a significant degree of control of JTS. However, Mr. Pete failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as he failed to prepare and submit (1) a report on the total number of shares held in Form 246-2 (2) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (3) a submission of the offer document in Form 247-4 to the SEC Office within the period Specified in the notification. | | Criminal Fine | imposing a fine of 168,000.00 Baht according to 80/2560 | |
| 1755 | 18/10/2017 | Mr. Narin Usanawarong | 300 / SEC Act | Mr. Narin Usanawarong, as the director responsible for the operation of
SS National Logistic Company Limited (SSNL) shall be liable for SSNL’s failure to disclose the accurate tender offer report (Form 247-4) of SSNL’s holding of Sermsuk Public Company Limited (SSC) shares on October 28, 2010. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares, Mr. Narin Usanawarong certified the completion and accuracy of the information provided in Form 247-4. | | Criminal Fine | imposing a fine of 1,596,000.00 Baht according to 79/2560 | |
| 1756 | 18/10/2017 | Mr. Sakchai Thanaboonchai | 300 / SEC Act | Mr. Sakchai Thanaboonchai, at the time he was holding the position of the director responsible for the operation of SS National Logistic Company Limited (SSNL) shall be liable for SSNL’s failure to disclose the accurate tender offer report (Form 247-4) of SSNL’s holding of Sermsuk Public Company Limited (SSC) shares on October 28, 2010. The Form
247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares, Mr. Sakchai Thanaboonchai certified the completion and accuracy of the information provided in Form 247-4.
| | Criminal Fine | imposing a fine of 1,596,000.00 Baht according to 78/2560 | |
| 1757 | 18/10/2017 | SS National Logistic Company Limited | 247 / SEC Act | On October 28, 2010, SS National Logistic Company Limited (SSNL) filed the inaccurate tender offer report (Form 247-4) of SSNL’s holding of Sermsuk Public Company Limited (SSC) shares. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares. | | Criminal Fine | imposing a fine of 1,596,000.00 Baht according to 77/2560 | |
| 1758 | 18/10/2017 | Esteemed Networks Group Ltd. | 246 / SEC Act | Esteemed Networks Group Ltd. failed to report the acquisition of NOBLE shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he acquired NOBLE shares between January 31, 2013 and May 3, 2013 | | Criminal Fine | imposing a fine of 47,000.00 Baht according to 76/2560 | |
| 1759 | 18/10/2017 | Mr. Kris Narongdej | 246 / SEC Act | Mr. Kris Narongdej failed to report the acquisition or disposal of NOBLE shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he acquired or disposed NOBLE shares between January 11, 2013 and September 4, 2014 so that the acquisition or disposal of such shares caused his aggregate holding of NOBLE shares held by himself, by juristic persons under section 258 and by Narongdej’s family to reach or pass a multiple of five percent of the total number of voting rights of the business. | | Criminal Fine | imposing a fine of 1,658,000.00 Baht according to 75/2560 | |
| 1760 | 18/10/2017 | Mr. Kris Narongdej | 247 / SEC Act | Mr. Kris Narongdej failed to comply with rules specified by Securities and Exchange Commission on January 21, 2014, Mr. Kris Narongdej acquired shares of NOBLE shares held by himself and by juristic persons under section 258 resulting in his aggregate number of shares held by other persons exceeded trigger point at 25 percent of the total voting rights of NOBLE. Later, Mr. Kris Narongdej reduced his shareholding below such trigger point, he then was exempted from the requirement to make a tender offer.
| | Criminal Fine | imposing a fine of 812,500.00 Baht according to 75/2560 | |
| 1761 | 16/10/2017 | Mr. Mitsuji Konoshita | 281/2 paragraph 2 in conjunction with 89/7, 307, 308, 311, 312, and 313 / SEC Act | Mr. Konoshita ordered Group Lease Holding Co., Ltd. (GLH), a subsidiary of GL based in Singapore, to issue loans to several foreign companies.
Evidence showed that GLH had issued loans to four registered companies in Cyprus and another one in Singapore, in the total amount of approximately US$54 million dollars with Mr. Konoshita as the controller and the ultimate benefactor. After receiving the loan money from GLH, the five debtor companies transferred the money within the companies of the lender’s group to repay for the interest and the principal to GLH in installment. The amounts of the interests were recorded as income in the GLH’s financial statements, which was considered fabrication of accounting records and exaggeration of GL operating results.
Mr. Konoshita’s misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed and disseminated false statements, which caused an impact on the GL securities price and investors’ investment decisions. Such information also contradicted the information GL had disclosed through the Stock Exchange of Thailand on 13 March 2017 and his statement at the press conference the following day when he reassured that the foreign borrowers were unrelated to him.
As a result, he is liable to failure to perform duties responsibly, carefully and honestly under Section 307, Section 308, Section 311, Section 312 and Section 313 and Paragraph 2 of Section 281/2 in conjunction with Section 89/7 | 95/2017 | Criminal Complaints | file a criminal complaint | |
| 1762 | 21/09/2017 | The International Engineering Public Company Limited | 199 in conjunction with 56(1) / SEC Act | The International Engineering Public Company Limited (“IEC”) has failed to submit the reviewed financial statement for Q1/2017 to the SEC and the SET. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1763 | 21/09/2017 | Mr. SUPORNCHAI SIRIWOHARN | 300 in conjunction with 199 and 56(1) / SEC Act | Mr. Supornchai Siriwoharn, the chief executive officer of the International Engineering Public Company Limited (“IEC”), a person responsible for the operation of IEC to submit the audited financial statement in accordance with the specified rules, has failed to order or act in accordance with the duties resulted in IEC’s failure to submit the reviewed financial statement for Q1/2017 to the SEC and the SET. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1764 | 20/09/2017 | Miss Malinee Leopairat | 300 / SEC Act | Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (“BUI”),was liable for BUI’s failure to prepare and submit the reviewed financial statements for Q1/2017 ended March 31, 2017 within May 15, 2017. | | Criminal Fine | imposing a fine of 184,620.00 Baht according to 67/2560 | |
| 1765 | 20/09/2017 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, managing director, responsible for the operation of Yarnapund Public Company Limited (“YNP”), shall be liable for YNP’s failure to prepare and submit the audited financial statements for the year 2016 within the specified period. | | Criminal Fine | imposing a fine of 64,800.00 Baht according to 65/2560 | |
| 1766 | 20/09/2017 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, managing director, responsible for the operation of Yarnapund Public Company Limited (“YNP”), shall be liable for YNP’s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1, 2016) within the specified period. | | Criminal Fine | imposing a fine of 69,000.00 Baht according to 65/2560 | |
| 1767 | 20/09/2017 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, managing director, responsible for the operation of Yarnapund Public Company Limited (“YNP”), shall be liable for YNP’s failure to prepare and submit the annual report for the year 2016 (Form 56-2, 2016) within the specified period. | | Criminal Fine | imposing a fine of 59,400.00 Baht according to 65/2560 | |
| 1768 | 20/09/2017 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited (“YNP”), a securities issuer, failed to submit the audited financial statements for the year 2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the audited financial statements for the year 2016 were later filed with the SET and the SEC Office on July 25, 2017 and August 9, 2017, respectively. | | Criminal Fine | imposing a fine of 64,800.00 Baht according to 64/2560 | |
| 1769 | 20/09/2017 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited (“YNP”), a securities issuer, failed to submit the annual registration statement for the year 2016 (Form 56-1, 2016) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the annual registration statement for the year 2016 (Form 56-1, 2016) was later filed with the SET and the SEC Office on August 8, 2017 and August 9, 2017, respectively. | | Criminal Fine | imposing a fine of 69,000.00 Baht according to 64/2560 | |
| 1770 | 20/09/2017 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited (“YNP”), a securities issuer, failed to submit the annual report for the year 2016 (Form 56-2, 2016) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the annual report for the year 2016 (Form 56-2, 2016) was later filed with the SET and the SEC Office on August 8, 2017 and August 9, 2017, respectively. | | Criminal Fine | imposing a fine of 59,400.00 Baht according to 64/2560 | |
| 1771 | 20/09/2017 | Miss Sopacha Dhumrongpiyawut, | 300 / SEC Act | Miss Sopacha Dhumrongpiyawut, President responsible for the operation of Gunkul Engineering Public Company Limited (Gunkul), was liable for Gunkul’s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1, 2016) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Fine | imposing a fine of 46,800.00 Baht according to 63/2560 | |
| 1772 | 20/09/2017 | Mr. Tarakorn Angpubate | 300 / SEC Act | Mr. Tarakorn Angpubate, President responsible for the operation of Food Capital Public Company Limited (FC), was liable for FC’s failure to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 within the period specified in the notification. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 61/2560 | |
| 1773 | 20/09/2017 | Food Capitals Public Company Limited | 56 and 199 / SEC Act | Food Capitals Public Company Limited (FC), failed to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The audited financial statements for the year 2016 were later submitted to the SEC Office on March 2, 2017 and the SET on March 1, 2017. | | Criminal Fine | imposing a fine of 30,300.00 Baht according to 60/2560 | |
| 1774 | 19/09/2017 | Polaris Capital Public Company Limited | 56 and 199 / SEC Act | Polaris Capital Public Company Limited (“POLAR”) has failed to submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1, 2016), the annual report for the year 2016 (Form 56-2, 2016) and the reviewed financial statement for Q1/2017 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 514,400. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 257,200 and a further fine of Baht 200 each day starting from the next day of prosecution date (February 28, 2018) until the company so complies. | |
| 1775 | 19/09/2017 | Mr. Yannakorn Warakunrak | 300 / SEC Act | Mr. Yannakorn Warakunrak, the chief executive officer responsible for the operation of Polaris Capital Public Company Limited (“POLAR”), has failed to supervise POLAR to submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1, 2016), the annual report for the year 2016 (Form 56-2, 2016) and the reviewed financial statement for Q1/2017 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 514,400. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 257,200 and a further fine of Baht 200 each day starting from the next day of prosecution date (February 28, 2018) until the company so complies. | |
| 1776 | 15/09/2017 | Mr. RAVI LOHTONG | 241 / SEC Act (before the fifth amendment) | During the period of 8 - 30 October 2015, Mr. Ravi Lohthong, director and chief advisor to the executive board of Siam Sport Syndicate Public Company Limited ("SPORT") used Lohtong Holding Co., Ltd.'s trading account to purchase 1,479,700 SPORT shares by utilizing non-public information he accessed by virtue of his positions. Such information was the Q3/2015 operating results showed the net earnings of 14.25 million Baht, which was a significant increase compared to the Q3/2014. | 084/2017 | Civil Sanction | 15/09/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | |
| 1777 | 05/09/2017 | Mr. Wichai Thavornwattanayong | 89/7 / SEC Act | Mr.Wichai, in his role as Chairman of the Board of Directors, called for shareholders’ meetings to seek the shareholders’ resolution for election of new directors to fill in the vacancies and meet the quorum requirement. In so doing at the Extraordinary Shareholders’ Meeting No. 2/2560 on 14 February 2017 and the Annual General Shareholders’ Meeting on 2 May 2017, Wichai, as Chairman of the Board of Directors and both meetings, arranged for the election by means of cumulative voting despite knowing that such method was not allowed according to the company’s articles of association. | 79/2017 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1778 | 25/08/2017 | Mr. Thanasit Theinkanjanawong | 241 / SEC Act (before the fifth amendment) | During the period of 11 - 13 January 2016, Mr. Thanasit Theinkanjanawong, the managing director of Big Camera Corporation Public Company Limited ("BIG"), purchased 2,620,000 BIG shares by utilizing the non-public information he accessed by virtue of his position. Such information was the annual financial statement of 2015 operating results showed the net earnings, which was a significant increase compared to the annual financial statement of 2014. | 075/2017 | Civil Sanction | 25/08/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,187,900.00 Baht
- a civil monetary penalty of 1,366,085.00 Baht | The SEC has banned Mr. Thanasit from holding the position of director or executive at any issuing or listed companies for 1 year. |
| 1779 | 25/08/2017 | Mr. Chitchai Theinkanjanawong | 241 / SEC Act (before the fifth amendment) | On 11 and 14 January 2016, Mr. Chitchai Theinkanjanawong, a director of operation department of Big Camera Corporation Public Company Limited ("BIG") purchased 3,858,100 BIG shares by utilizing the non-public information he accessed by virtue of his position. Such information was the annual financial statement of 2015 operating results showed the net earnings, which was a significant increase compared to the annual financial statement of 2014. | 075/2017 | Civil Sanction | 25/08/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,719,112.00 Baht
- a civil monetary penalty of 1,976,978.80 Baht | The SEC has banned Mr. Chitchai from holding the position of director or executive at any issuing or listed companies for 1 year. |
| 1780 | 21/08/2017 | Mr. Yutaka Ito | 300 / SEC Act | Mr. Yutaka Ito, President responsible for the operation of S.PACK & PRINT (SPACK) Public Company Limited (SPACK), was liable for SPACK’s failure to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 within the period specified in the notification.
| | Criminal Fine | imposing a fine of 33,000.00 Baht according to 56/2560 | |
| 1781 | 21/08/2017 | Mr. Nawat Triyapongpattana | 300 / SEC Act | Mr. Nawat Triyapongpattana, the Managing director responsible for the operation of Ubis (Asia) Public Company Limited (UBIS), was liable for UBIS’s failure to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 within the period specified in the notification. | | Criminal Fine | imposing a fine of 118,200.00 Baht according to 54/2560 | |
| 1782 | 21/08/2017 | Mr. Nawat Triyapongpattana | 300 / SEC Act | Mr. Nawat Triyapongpattana, the Managing director responsible for the operation of Ubis (Asia) Public Company Limited (UBIS), was liable for UBIS’s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1) ended December 31, 2016 within the period specified in the notification. | | Criminal Fine | imposing a fine of 81,000.00 Baht according to 54/2560 | |
| 1783 | 16/08/2017 | Mr. Kaow or Sakkarin Sricharoen | Section 16 / DV Act | Mr. Kaow or Sakkarin Sricharoen operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125. | 71/2017 | Criminal Complaints | On April 8, 2021, the Criminal Court sentenced the accused 1-year imprisonment and 1,000,000 Baht fine. Since the accused pleaded guilty, the Court reduced the punishments by half, resulting in 6-month imprisonment and 500,000 Baht fine. The court suspended the determination of punishment for 2 years. | |
| 1784 | 16/08/2017 | Mr. Thanawat Kiattisak | Section 16 / DV Act | Mr. Thanawat Kiattisak operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125. | 71/2017 | Criminal Complaints | The public prosecutor ordered a non-prosecution order. | |
| 1785 | 03/08/2017 | The International Engineering Public Company Limited | 199 and Section 56(2)(3)(4) / SEC Act | The International Engineering Public Company Limited (“IEC”) has failed to submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1, 2016), the annual report for the year 2016 (Form 56-2, 2016) to the SEC and the SET.
| | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1786 | 03/08/2017 | Mr. SUPORNCHAI SIRIWOHARN | 300 and Section 199 and Section 56(2)(3)(4) / SEC Act | Mr. Supornchai Siriwoharn, the chief executive officer of the International Engineering Public Company Limited (“IEC”), a person responsible for the operation of IEC to submit the audited financial statements in accordance with the specified rules, has failed to order or act in accordance with the duties resulted in IEC’s failure to submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1, 2016), the annual report for the year 2016 (Form 56-2, 2016) to the SEC and the SET. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1787 | 21/07/2017 | Mr. Suraphong Triamchanchai | 241 / SEC Act (before the fifth amendment) | During the period of 29 September 2014 to 19 October 2014, Mr. Suraphong Triamchanchai, a Managing Director of Nippon Pack (Thailand) Public Company Limited ("NPP"), used Miss Rinnapa Kunawatsatit's securities trading account to purchase NPP shares and NPP-W1 by utilizing the non-public information about increasing NPP's equity by issuing new 544.09 million shares in 2014 that he knew by the virtue of his position. Moreover, he also persuaded other persons to purchase NPP shares. | 059/2017 | Civil Sanction | 21/07/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 7,602,368.00 Baht
- a civil monetary penalty of 10,002,960.00 Baht | The SEC has banned Mr. Suraphong from holding the position of director or executive at any issuing or listed companies for 2 years and 6 months. |
| 1788 | 20/07/2017 | Miss Rinnapa Kunawatsatit | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Miss Rinnapa Kunawatsatit assisted or facilitated for Mr. Suraphong Triamchanchai in allowing him to use her securities trading account to purchase NPP shares and NPP-W1. | 059/2017 | Civil Sanction | 20/07/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.30 Baht | |
| 1789 | 19/07/2017 | Mr. Suthisak Vageepiyanantanon | 300 / SEC Act | Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE
Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and submit the reviewed financial statements for Q2/2016 within the specified period.
| | Criminal Fine | imposing a fine of 71,100.00 Baht according to 47/2560 | |
| 1790 | 19/07/2017 | Mr. Suthisak Vageepiyanantanon | 300 / SEC Act | Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE
Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and submit the reviewed financial statements for Q3/2016 within the specified period.
| | Criminal Fine | imposing a fine of 43,800.00 Baht according to 47/2560 | |
| 1791 | 07/07/2017 | Miss PHOTCHAMAN SUPHROM | | Committing frauds against the assets of mutual fund clients | 55/2017 | Administrative Orders | Revocation | Effective Date 07/07/2017 to 06/07/2027 |
| 1792 | 27/06/2017 | Thai Unique Coil Center Public Company Limited | 56(2)(3)(4) and 199 / SEC Act | Thai Unique Coil Center Public Company Limited, failed to prepare and submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1) and the annual report for the year 2016 (Form 56-2) to the SEC and the SET within specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1793 | 27/06/2017 | Mr. Yongyuth Ngamkaiwan | 300 / SEC Act | Mr. Yongyuth Ngamkaiwan, the person who is responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1) and the annual report for the year 2016 (Form 56-2) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | The statute of limitations ran out. | |
| 1794 | 21/06/2017 | AI Energy Public Company Limited | 56 and 199 / SEC Act | AI Energy Public Company Limited (“AIE”), a securities issuer, failed to submit the reviewed financial statements for Q3/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements for Q3/2016 were later filed with the SET and the SEC Office on February 28, 2017 and March 1, 2017, respectively. | | Criminal Fine | imposing a fine of 202,200.00 Baht according to 39/2560 | |
| 1795 | 21/06/2017 | Miss Malinee Leopairat | 300 / SEC Act | Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI’s failure to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 within the period specified in the notification. | | Criminal Fine | imposing a fine of 239,700.00 Baht according to 38/2560 | |
| 1796 | 21/06/2017 | Miss Malinee Leopairat | 300 / SEC Act | Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI’s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1) ended December 31, 2016 within the period specified in the notification. | | Criminal Fine | imposing a fine of 121,800.00 Baht according to 38/2560 | |
| 1797 | 21/06/2017 | Miss Malinee Leopairat | 300 / SEC Act | Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI’s failure to prepare and submit the annual report for the year 2016 (Form 56-2) ended December 31, 2016 within the period specified in the notification. | | Criminal Fine | imposing a fine of 103,800.00 Baht according to 38/2560 | |
| 1798 | 20/06/2017 | Mr. Anurag Thareratanavibool | 312 / SEC Act | Between 2014 and 2015, Mr. Anurag Thareratanavibool, former chief executive officer of AI Energy Public Company Limited (“AIE”), together with Mr. Noppol Thareerattanavibool, former director and Accounting and Finance director of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining of crude oil and not to record material revenues and other account in AIE’s accounting system causing inaccuracy in AIE’s financial statements for Q1-Q3 of the year 2014 and the financial statement for the year 2014. Such action was done to deceive other persons of the true financial position and operating results of AIE. | 046/2017 | Criminal Complaints | This case is in the process of inquiry by the court. | |
| 1799 | 20/06/2017 | Mr. Noppol Thareerattanavibool | 312 / SEC Act | Between 2014 and 2015, Mr. Noppol Thareerattanavibool, former director and Accounting and Finance director of AI Energy Public Company Limited (“AIE”), together with Mr. Anurag Thareratanavibool, former chief executive officer of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining of crude oil and not to record material revenues and other account in AIE’s accounting system causing inaccuracy in AIE’s financial statements for Q1-Q3 of the year 2014 and the financial statement for the year 2014. Such action was done to deceive other persons of the true financial position and operating results of AIE. | 046/2017 | Criminal Complaints | This case is in the process of inquiry by the court. | |
| 1800 | 16/06/2017 | Bangkok Insurance Public Company Limited | 241 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | On 7 November 2014, Bangkok Insurance Public Company Limited (BKI) sold 200,000 of Bangkok Life Assurance Public Company Limited (BLA) shares through its own account in such a way as to take advantage of other persons by using negative material non- public information concerning the fact that BLA’s operating net loss of 880.59 million baht significantly fell from Q3/2013 with the net profit of 1,100.96 million baht, a decrease of 179.98 percent and fell from Q2/2014 with the net profit of 168.79 million baht, a decrease of 621.72 percent, before such information became public on 12 November, 2014. BKI obtained the material non- public information by Mr.Chai Sophonpanich, authorized person of BKI and director of BLA. | 44/2017 | Civil Sanction | 16/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,100,000.00 Baht
- a civil monetary penalty of 1,265,000.00 Baht | |
| 1801 | 16/06/2017 | Mr. Chai Sophonpanich | 241 in conjunction with Section 83 of the Penal Code / SEC Act (before the fifth amendment) | On 7 November 2014, Mr.Chai Sophonpanich, authorized person of Bangkok Insurance Public Company Limited (BKI), ordered 200,000 of Bangkok Life Assurance Public Company Limited (BLA) shares to be sold from the account of BKI in such a way as to take advantage of other persons by using negative material non-public information concerning BLA’s operating net loss of 880.59 million baht significantly fell from Q3/2013 with the net profit of 1,100.96 million baht, a decrease of 179.98 percent and fell from Q2/2014 with the net profit of 168.79 million baht, a decrease of 621.72 percent. He obtained the material non- public information by virtue of his positions before such information became public on 12 November 2014. | 44/2017 | Civil Sanction | 16/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | The SEC has banned Mr. Chai from holding the position of director or executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. |
| 1802 | 16/06/2017 | Mr. Choedchu Sophonpanich | 241 and 241 / SEC Act (before the fifth amendment) | During June 25, 2014 - July 25 2014, Mr. Choedchu Sophonpanich, at the time he was holding the position of Chairman of the executive board of directors of Bangkok Life Assurance Public Company Limited (BLA), sold 800,000 shares of BLA through his the securities trading account and then during July 25, 2014 - August 1 2014, Mr. Choedchu Sophonpanich, director and proxy for securities transaction of Wattanasophonpanich Co., Ltd. ordered 200,000 shares of BLA to be sold
from the securities trading account of Wattanasophonpanich Co., Ltd. in such a way as to take
advantage of other persons by using negative material non- public information concerning BLA’s operating net profit decrease in Q2/2014 of 168.79 million baht which significantly fell from the operating net profit of Q1/2014 by 84.60 percent (a decrease of 1,096.04 million baht). He obtained
the material non- public information by virtue of his positions before such information became public
on August 8, 2014.
| 44/2017 | Civil Sanction | 16/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 350,900.00 Baht
- a civil monetary penalty of 1,000,000.00 Baht | The SEC has banned Mr. Choedchu from holding the position of director or executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. |
| 1803 | 16/06/2017 | Wattanasophonpanich Co.,Ltd. | 241 / SEC Act (before the fifth amendment) | During July 25, 2014 - August 1 2014, Wattanasophonpanich Co.,Ltd., a major shareholder of Bangkok Life Assurance Public Company Limited (BLA), sold 200,000 shares of BLA through its the securities trading account in such a way as to take advantage of other persons by using negative material non- public information concerning BLA’s operating net profit decrease in Q2/2014 of 168.79 million baht which significantly fell from the operating net profit of Q1/2014 by 84.60
percent (a decrease of 1,096.04 million baht). Wattanasophonpanich Co.,Ltd., obtained the material non- public information by Mr. Choedchu Sophonpanich, director and proxy for securities transaction of Wattanasophonpanich Co., Ltd, before such information became public on August 8, 2014.
| 44/2017 | Civil Sanction | 16/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 299,250.00 Baht
- a civil monetary penalty of 500,000.00 Baht | |
| 1804 | 12/06/2017 | Mr.Suwat Choradol | 241 / SEC Act (the fifth amendment) | Between October 14, 2015 and November 16, 2015, Mr.Suwat Choradol has sold ordinary shares of DEMCO Public Company Limited (“DEMCO”), through securities trading account of Mr. Sukrit Choradol. The sales were made in a way that took advantage of others by using non-public information material to DEMCO share price concerning the operating results for the third quarter of 2015 which contained expense of repair of DEMCO’s construction projects. Mr.Suwat used such non-public information material to gain unfair benefits over other persons by virtue of his position as a Assistant Managing Director, Deputy Managing Director Purchasing and Warehouse of DEMCO. | 41/2017 | Civil Sanction | 12/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 5,970,670.00 Baht
- a civil monetary penalty of 7,463,337.50 Baht | |
| 1805 | 12/06/2017 | Mr.Sukrit Choradol | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Between October 14, 2015 and November 16, 2015, Mr.Sukrit Choradol assisted and facilitated Mr.Suwat Choradol in selling DEMCO Public Company Limited (“DEMCO”)’s shares by using material non- public information for Mr.Suwat's profit. | 41/2017 | Civil Sanction | 12/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1806 | 24/05/2017 | Mr. Chatchai Chotanakarn | 241 / SEC Act (before the fifth amendment) | During 23 - 27 June 2014, Mr. Chatchai Chotanakarn, at the time he was holding the position of Adviser of President of Bangkok Life Assurance Public Company Limited (BLA), sold 29,000 shares of BLA through his the securities trading account in such a way as to take advantage of other persons by using negative material non-public information concerning BLA’s operating net profit decrease in Q2/2014 of 168.79 million baht which significantly fell from the operating net profit of Q1/2014 by 84.60 percent (a decrease of 1,096.04 million baht). He obtained the material non- public information by virtue of his positions before such information became public on August 8, 2014. | 44/2017 | Civil Sanction | 24/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 500,000.00 Baht | The SEC has banned Mr. Chatchaifrom holding the position of director or executive at any issuing or listed companies for 1 year. |
| 1807 | 19/05/2017 | Mr. Yinganan Wongsiridej | 241 / SEC Act (the fifth amendment) | Mr. Yinganan, while he was a fund manager of the Sala@Sathorn Property Fund (SSPF), knew inside information that there was an offer from one company to purchase the main property of SSPF in an amount of 1,700 million Baht. He utilized this information to buy 360,000 units of SSPF between 9-11 June 2015. | 34/2017 | Civil Sanction | 19/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,383,500.00 Baht
- a civil monetary penalty of 1,729,375.00 Baht | By virtue of the notification No. Thor Lor Tor 8/2557, the SEC Office has revoked the approval of property fund manager granted to Mr. Yinganan Wongsiridej, and banned him from functioning as capital market personnel for 5 years. |
| 1808 | 17/05/2017 | Miss Malinee Leopairat | 300 / SEC Act | Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (“BUI”),was liable for BUI’s failure to prepare and submit the reviewed financial statements for Q3/2016 ended September 30, 2016 within November 14, 2016. | | Criminal Fine | imposing a fine of 303,300.00 Baht according to 35/2560 | |
| 1809 | 17/05/2017 | Asian Insulators Public Company Limited | 56 and 199 / SEC Act | Asian Insulators Public Company Limited (“AI”), a securities issuer, failed to submit the reviewed financial statements for Q3/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements for Q3/2016 were later filed with the SET and the SEC Office on February 28, 2017 and March 1, 2017, respectively. | | Criminal Fine | imposing a fine of 252,750.00 Baht according to 32/2560 | |
| 1810 | 17/05/2017 | Mr. Chirasak Chiyachantana | 300 / SEC Act | Mr. Chirasak Chiyachantana, chief executive officer and chairman of the board, responsible for the operation of World Corporation Public Company Limited (“WORLD”), shall be liable for WORLD’s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1) within the specified period. | | Criminal Fine | imposing a fine of 60,750.00 Baht according to 31/2560 | |
| 1811 | 17/05/2017 | World Corporation Public Company Limited | 56 and 199 / SEC Act | World Corporation Public Company Limited (“WORLD”), a securities issuer, failed to submit the annual registration statement for the year 2016 (Form 56-1) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the Form 56-1 for the year 2016 were later filed with the SET and the SEC Office on September 6, 2016 and September 12, 2016, respectively. | | Criminal Fine | imposing a fine of 60,750.00 Baht according to 30/2560 | |
| 1812 | 12/05/2017 | Miss Keerarat Viphosupan | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | help Mr. Yinganan to buy and sell SSPF securities by offer money transaction in buying and transfer the money which her receives from selling this securities for Mr. Yinganan's profit. | 34/2017 | Civil Sanction | 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1813 | 12/05/2017 | Miss Sarunya Khemtong | 241 in conjunction with Section 86 of the Penal Code / SEC Act (before the fifth amendment) | Allow Mr. Yinganan to use her account for buy SSPF securities by using his money to purchase . After selling , she transfers money for Mr. Yinganan's profit | 34/2017 | Civil Sanction | 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 333,333.33 Baht | |
| 1814 | 20/04/2017 | Miss Neeranuch Na Ranong | 89/7 and Section 281/2 paragraph 2 and Section 307 308 311 312 and 83 of Criminal Code / SEC Act | Between 2013 and 2014, (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited (LIVE)), together with (2) Mr. Apinun Panyakorn, former executive director and (3) Mr. Suttirod Eaktaraphiphat, former accounting and finance director, on account of jointly committing dishonest acts to misappropriate TRITN assets, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records, in many circumstances, as follows:
1. Misappropriating money through loan transactions for V Billboard Company Limited (VBB).
2. Seeking improper benefits from the rental and buy-back of advertising Billboards.
3. Seeking improper gains from land purchase.
4. Misappropriating TRITN’s money through transactions with VBB for securing locations for the billboards.
With the assistances are: (4) Miss Waranit Pongveranon, (5) Mr. Tharakorn Junkerd, (6) Mr. Akkarapol Lohitthai, (7) VBB , (8) Mr. Chamni Chantarasupawong, and (9) Mr. Isres Chalermrut.
| 23/2017 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1815 | 20/04/2017 | Mr. Apinun Panyakorn | 89/7 and Section 281/2 paragraph 2 and Section 307 308 311 312 and 83 of Criminal Code / SEC Act | Between 2013 and 2014, (1) Mr. Apinun Panyakorn, former executive director of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited (LIVE)), together with (2) Miss Neeranuch Na Ranong, former vice chairman and chief executive director and (3) Mr. Suttirod Eaktaraphiphat, former accounting and finance director, on account of jointly committing dishonest acts to misappropriate TRITN assets, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records, in many circumstances, as follows:
1. Misappropriating money through loan transactions for V Billboard Company Limited (VBB).
2. Seeking improper benefits from the rental and buy-back of advertising Billboards.
3. Seeking improper gains from land purchase.
4. Misappropriating TRITN’s money through transactions with VBB for securing locations for the billboards.
With the assistances are: (4) Miss Waranit Pongveranon, (5) Mr. Tharakorn Junkerd, (6) Mr. Akkarapol Lohitthai, (7) VBB , (8) Mr. Chamni Chantarasupawong, and (9) Mr. Isres Chalermrut.
| 23/2017 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1816 | 20/04/2017 | Mr. Suttirod Eaktaraphiphat | 89/7 and Section 281/2 paragraph 2 and Section 307 308 311 312 and 83 of Criminal Code / SEC Act | Between 2013 and 2014, (1) Mr. Suttirod Eaktaraphiphat, former accounting and finance director of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited (LIVE)), together with (2) Miss Neeranuch Na Ranong, former vice chairman and chief executive director and (3) Mr. Apinun Panyakorn, former executive director, on account of jointly committing dishonest acts to misappropriate TRITN assets, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records, in many circumstances, as follows:
1. Misappropriating money through loan transactions for V Billboard Company Limited (VBB).
2. Seeking improper benefits from the rental and buy-back of advertising Billboards.
3. Seeking improper gains from land purchase.
4. Misappropriating TRITN’s money through transactions with VBB for securing locations for the billboards.
With the assistances are: (4) Miss Waranit Pongveranon, (5) Mr. Tharakorn Junkerd, (6) Mr. Akkarapol Lohitthai, (7) VBB , (8) Mr. Chamni Chantarasupawong, and (9) Mr. Isres Chalermrut.
| 23/2017 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1817 | 20/04/2017 | Miss Waranit Pongveranon | 281/2 paragraph 2 and section 89/24 307 311 312 315 and 86 of Criminal Code / SEC Act | Miss Waranit Pongveranon aided and abetted the former executive of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited (LIVE)): (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director, (2) Mr. Apinun Panyakorn, former executive director and (3) Mr. Suttirod Eaktaraphiphat, former accounting and finance director, in seeking improper benefits from the rental and buy-back of advertising billboards.
| 23/2017 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1818 | 20/04/2017 | Mr. Tharakorn Junkerd | 307 308 311 312 315 / SEC Act | Mr. Tharakorn Junkerd aided and abetted the former executive of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited (LIVE)): (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director, (2) Mr. Apinun Panyakorn, former executive director and (3) Mr. Suttirod Eaktaraphiphat, former accounting and finance director, in many circumstances, as follows:
1. Misappropriating money through loan transactions for V Billboard Company Limited (VBB).
2. Seeking improper benefits from the rental and buy-back of advertising billboards.
3. Misappropriating TRITN’s money through transactions with VBB for securing locations for the billboards.
| 23/2017 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1819 | 20/04/2017 | Mr. Akkarapol Lohitthai | 307 308 311 312 315 / SEC Act | Mr. Akkarapol Lohitthai aided and abetted the former executive of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited (LIVE)): (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director, (2) Mr. Apinun Panyakorn, former executive director and (3) Mr. Suttirod Eaktaraphiphat, former accounting and finance director, in many circumstances, as follows:
1. Misappropriating money through loan transactions for V Billboard Company Limited (VBB).
2. Seeking improper benefits from the rental and buy-back of advertising billboards.
3. Seeking improper gains from land purchase.
4. Misappropriating TRITN’s money through transactions with VBB for securing locations for the billboards
| 23/2017 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1820 | 20/04/2017 | V Billboard Company Limited | 307 308 311 312 315 / SEC Act | V Billboard Company Limited (VBB) aided and abetted the former executive of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited (LIVE)): (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director, (2) Mr. Apinun Panyakorn, former executive director and (3) Mr. Suttirod Eaktaraphiphat, former accounting
and finance director, in many circumstances, as follows:
1. Misappropriating money through loan transactions for V Billboard Company Limited (VBB).
2. Seeking improper benefits from the rental and buy-back of advertising billboards.
3. Seeking improper gains from land purchase.
4. Misappropriating TRITN’s money through transactions with VBB for securing locations for the billboards.
| 23/2017 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1821 | 20/04/2017 | Mr. Chamni Chantarasupawong | 307 308 311 in conjunction with 315 / SEC Act | Mr. Chamni Chantarasupawong aided and abetted the former executive of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited (LIVE)):
(1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director, (2) Mr. Apinun Panyakorn, former executive director and (3) Mr. Suttirod Eaktaraphiphat, former accounting and finance director, in misappropriating money through loan transactions of 60 million baht to V Billboard Company Limited (VBB). VBB later returned 20 million baht to TRITN and VBB was found to have used the remaining amount for trading LIVE shares and converting share warrants of Mr. Chamni Chantarasupawong and Mr. Isres Chalermrut.
| 23/2017 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1822 | 20/04/2017 | Mr. Isres Chalermrut | 307 308 311 in conjunction with 315 / SEC Act | Mr. Isres Chalermrut aided and abetted the former executive of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited (LIVE)): (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director, (2) Mr. Apinun Panyakorn, former executive director and (3) Mr. Suttirod Eaktaraphiphat, former accounting and finance director, in misappropriating money through loan transactions of 60 million baht to V Billboard Company Limited (VBB). VBB later returned 20 million baht to TRITN and VBB was found to have used the remaining amount for trading LIVE shares and converting share warrants of Mr. Chamni Chantarasupawong and Mr. Isres Chalermrut.
| 23/2017 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1823 | 16/03/2017 | Chuo Senko (Thailand) Public Company Limited | 56 and 199 / SEC Act | Chuo Senko (Thailand) Public Company Limited, failed to prepare and submit the reviewed financial statements for Q1/2016, Q2/2016 and Q3/2016 to the SEC and the SET within specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 589,500 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 298,7500 and a further fine of Baht 250 each day starting from the next day of prosecution date (May 15, 2017) until the company so complies. | |
| 1824 | 15/03/2017 | Electronics Industry Public Company Limited | 56 and 199 / SEC Act | Electronics Industry Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for Q1/ 2016 ended March, 2016 to the Stock Exchange of Thailand and the SEC Office on May 16 and 17 2016, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements were later filed with the SET and the SEC Office on January 20, 2017. | | Criminal Fine | imposing a fine of 178,500.00 Baht according to 24/2560 | |
| 1825 | 15/03/2017 | Mr. Yannakorn Warakunrak | 300 / SEC Act | Mr. Yannakorn Warakunrak, the Chief Executive Officer, responsible for the operation of the Polaris Capital Public Company Limited (“POLAR”), shall be liable for POLAR’s failure to prepare and submit the reviewed financial statements for Q3/2016 within the specified period. | | Criminal Fine | imposing a fine of 41,100.00 Baht according to 23/2560 | |
| 1826 | 28/02/2017 | Mr. Yongyuth Ngamkaiwan | 300 / SEC Act | Mr. Yongyuth Ngamkaiwan, the representative of the planner (TUCC), responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare the reviewed financial statements for Q3/2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | The statute of limitations ran out. | |
| 1827 | 28/02/2017 | Thai Unique Coil Center Public Company Limited | 56(1) in conjunction with 199 / SEC Act | Thai Unique Coil Center Public Company Limited, failed to prepare and submit the reviewed financial statements for Q3/2016 to the SEC and the SET within specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 1828 | 27/02/2017 | Mr. Punya Kritiyawong | 300 / SEC Act | Mr. Punya Kritiyawong, the managing director responsible for the operation of L.V. Technology Public Company Limited (LVT), failed to supervise LVT to prepare and submit the reviewed financial statements for Q3/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court ordered the defendant to pay a fine of Baht 80,000 and a further fine of Baht 1,000 for each day starting from the next day of prosecution date until the company so complies for failing to file the reviewed financial statements for Q3/2016. Since the defendant pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 40,000 and a further fine of Baht 500 for each day starting from the next day of prosecution date (October 20,2017) until the company so complies.
| |
| 1829 | 21/02/2017 | Solartron Public Company Limited | 56 and 199 / SEC Act | Solartron Public Company Limited (“SOLAR”) prepared and submitted the inaccurate financial statement for the year 2015 to the SET and the SEC Office on February 26, 2016 and February 29, 2016 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to the SET and the SEC Office on May 30, 2016. | | Criminal Fine | imposing a fine of 58,500.00 Baht according to 16/2560 | |
| 1830 | 21/02/2017 | Solartron Public Company Limited | 56 and 199 / SEC Act | Solartron Public Company Limited (“SOLAR”) prepared and submitted the inaccurate reviewed financial statements for Q1/2016 to the SET and the SEC Office on May 13, 2016 and May 16, 2016 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to the SET and the SEC Office on May 23, 2016 and May 24, 2016 | | Criminal Fine | imposing a fine of 33,300.00 Baht according to 16/2560 | |
| 1831 | 21/02/2017 | Solartron Public Company Limited | 56 and 199 / SEC Act | Solartron Public Company Limited (“SOLAR”) prepared and submitted the inaccurate annual registration statement for the year 2015 (Form 56-1) to the SET and the SEC Office
on March 22, 2016 and March 23, 2016 respectively. The annual registration statement did not comply with the notification of the Capital Market Supervisory Board. The rectified annual registration statement was later submitted to the SET and the SEC Office on June 2, 2016 and June 6, 2016
| | Criminal Fine | imposing a fine of 51,900.00 Baht according to 16/2560 | |
| 1832 | 21/02/2017 | Solartron Public Company Limited | 56 and 199 / SEC Act | Solartron Public Company Limited (“SOLAR”) prepared and submitted the inaccurate annual report for the year 2015 (Form 56-2) to the SEC office on April 11, 2016. The annual report did not comply with the notification of the Capital Market Supervisory Board.
The rectified information was later submitted to the SEC Office on June 2, 2016.
| | Criminal Fine | imposing a fine of 45,900.00 Baht according to 16/2560 | |
| 1833 | 21/02/2017 | Miss Malinee Leopairat | 300 / SEC Act | Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI’s failure to prepare and submit the reviewed financial statements for Q3/2015 ended September 30, 2015 within October 21, 2016,the due date extended by SEC Office. | | Criminal Fine | imposing a fine of 90,000.00 Baht according to 15/2560 | |
| 1834 | 21/02/2017 | Miss Malinee Leopairat | 300 / SEC Act | Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI’s failure to prepare and submit the reviewed financial statements for Q1/2016 ended March 31, 2016 within August 15, 2016,the due date extended by SEC Office. | | Criminal Fine | imposing a fine of 122,400.00 Baht according to 15/2560 | |
| 1835 | 21/02/2017 | Miss Malinee Leopairat | 300 / SEC Act | Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI’s failure to prepare and submit the reviewed financial statements for Q2/2016 ended June 30, 2016 within August 15, 2016. | | Criminal Fine | imposing a fine of 145,800.00 Baht according to 15/2560 | |
| 1836 | 21/02/2017 | Mr. Suthisak Vageepiyanantanon | 300 / SEC Act | Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE
Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and submit the reviewed financial statements for Q1/2016 within the specified period.
| | Criminal Fine | imposing a fine of 83,400.00 Baht according to 11/2560 | |
| 1837 | 21/02/2017 | AI Energy Public Company Limited | 56 and 199 / SEC Act | AI Energy Public Company Limited (“AIE”) has failed to submit the reviewed financial statement for Q3/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | On June 21, 2017, the Criminal Fining Committee issued order no. 39/2017 imposing a fine of 202,200 Baht on AI Energy Public Company Limited as the inquiry official requested the case to be settled by the Criminal Fining Committee. | |
| 1838 | 21/02/2017 | Mr. Anurag Thareratanavibool | 300 / SEC Act | Mr. Anurag Thareratanavibool, the chief executive officer responsible for the operation of AI Energy Public Company Limited (“AIE”), did not act or supervise AIE resulting in AIE’s failure to submit the reviewed financial statement for Q3/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | On June 21, 2017, the Criminal Fining Committee issued order no. 40/2017 imposing a fine of 202,200 Baht on Mr. Anurag Thareratanavibool as the inquiry official requested the case to be settled by the Criminal Fining Committee. | |
| 1839 | 21/02/2017 | Asian Insulators Public Company Limited | 56 and 199 / SEC Act | Asian Insulators Public Company Limited (“AI”) has failed to submit the reviewed financial statement for Q3/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | On May 17, 2017, the Criminal Fining Committee issued order no. 32/2017 imposing a fine of 252,750 Baht on Asian Insulators Public Company Limited as the inquiry official requested the case to be settled by the Criminal Fining Committee. | |
| 1840 | 21/02/2017 | Mr. Thanit Thareratanavibool | 300 / SEC Act | Mr. Thanit Thareratanavibool, the chief executive officer responsible for the operation of Asian Insulators Public Company Limited (“AI”), did not act or supervise AI resulting in AI’s failure to submit the reviewed financial statement for Q3/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | On May 17, 2017, the Criminal Fining Committee issued order no. 33/2017 imposing a fine of 252,750 Baht on Mr. Thanit Thareratanavibool as the inquiry official requested the case to be settled by the Criminal Fining Committee. | |
| 1841 | 15/02/2017 | Mr. NIRAN RODCHAIYA | | misconduct against client's assets | 7/2017 | Administrative Orders | Not consider an application for approval as capital market personnel | Effective Date 15/02/2017 to 14/02/2027 |
| 1842 | 23/01/2017 | The International Engineering Public Company Limited | 199 in conjunction with 56(1) / SEC Act | International Engineering Public Company Limited failed to prepare and submit the reviewed financial statements for Q2/2016 and Q3/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1843 | 23/01/2017 | Mr. Bhusana Premanode | 199 in conjunction with 56(1) / SEC Act | Mr. Bhusana Premanode, the Group President responsible for the operation of The International Engineering Public Company Limited (IEC), failed to supervise IEC to prepare and submit the reviewed financial statements for Q2/2016 and Q3/2016 to the SEC and the SET within the specified period.
| | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1844 | 18/01/2017 | Mrs. Wipa Stapornchaiyasit | 246 / SEC Act | Mrs. Wipa Stapornchaiyasit failed to report to the SEC Office the disposal of Thai Industrial and Engineering Service Public Company Limited (“TIES”) (now known as “T”) shares on October 13, 2014 which when combined with TIES shares held by her spouse and her minor child caused her aggregate holding of TIES shares reached or passed five percent of the total number of voting rights of TIES within the period specified in the notification of the Capital Market Supervisory Board. She later filed the accurate report (Form 246-2) to the SEC Office on October 31, 2016. | | Criminal Fine | imposing a fine of 84,600.00 Baht according to 9/2560 | |
| 1845 | 18/01/2017 | Mr. Suchai Stapornchaiyasit | 246 / SEC Act | Mr. Suchai Stapornchaiyasit inaccurately reported or failed to report to the SEC Office the acquisition of Thai Industrial and Engineering Service Public Company Limited (“TIES”) (now known as “T”) shares between 2010-2012 which when combined with TIES shares held by his spouse and his minor child caused his aggregate holding of TIES shares reached or passed five percent of the total number of voting rights of TIES within the period specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office on October 31, 2016. | | Criminal Fine | imposing a fine of 255,400.00 Baht according to 8/2560 | |
| 1846 | 18/01/2017 | Mr. Yannakorn Warakunrak | 300 / SEC Act | Mr. Yannakorn Warakunrak, the Chief Executive Officer, responsible for the operation of
the Polaris Capital Public Company Limited (“POLAR”), shall be liable for POLAR’s failure
to prepare and submit the reviewed financial statements for Q1/2016 within the specified period.
| | Criminal Fine | imposing a fine of 82,500.00 Baht according to 4/2560 | |
| 1847 | 18/01/2017 | Mr. Yannakorn Warakunrak | 300 / SEC Act | Mr. Yannakorn Warakunrak, the Chief Executive Officer, responsible for the operation of
the Polaris Capital Public Company Limited (“POLAR”), shall be liable for POLAR’s failure
to prepare and submit the reviewed financial statements for Q2/2016 within the specified period.
| | Criminal Fine | imposing a fine of 68,400.00 Baht according to 4/2560 | |
| 1848 | 18/01/2017 | Mr. Suthisak Vageepiyanantanon | 300 / SEC Act | Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE
Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and submit the annual registration statement for the year 2015 (Form 56-1) within the specified period.
| | Criminal Fine | imposing a fine of 88,800.00 Baht according to 2/2560 | |
| 1849 | 18/01/2017 | Mr. Suthisak Vageepiyanantanon | 300 / SEC Act | Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE
Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and submit the annual report for the year 2015 (Form 56-2) within the specified period.
| | Criminal Fine | imposing a fine of 78,000.00 Baht according to 2/2560 | |
| 1850 | 04/01/2017 | Mr. NOPARAT JONGYIN | | | 131/2016 | Administrative Orders | Revocation | Effective Date 04/01/2017 to 03/01/2027 |
| 1851 | 28/12/2016 | SMC Power Public Company Limited | 56 and 199 / SEC Act | SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the financial statements for the year 2015 (2) the annual registration statement for the year 2015 (Form 56-1,2015) (3) the annual report for the year 2015 (Form 56-2, 2015) and (4) the financial statements for the six-month period ended June 30, 2016 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1852 | 28/12/2016 | Mr. Satit Vongpanakorn | 300 / SEC Act | Mr. Satit Vongpanakorn, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the financial statements for the year 2015 (2) the annual registration statement for the year 2015 (Form 56-1,2015) and (3) the annual report for the year 2015 (Form 56-2, 2015) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1853 | 28/12/2016 | Ms. Jurairut Bonaitern | 300 / SEC Act | Ms. Jurairut Bonaitern, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the annual report for the year 2015
(Form 56-2, 2015) and (2) the financial statements for the six-month period ended June 30, 2016
to the SEC and the SET within the specified period.
| | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1854 | 28/12/2016 | Mr. Rapeepat Katekawee | 300 / SEC Act | Mr. Rapeepat Katekawee, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the financial statements for the year 2015
and (2) the annual registration statement for the year 2015 (Form 56-1,2015) to the SEC and the SET within the specified period.
| | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1855 | 09/12/2016 | Miss KORNYACHATH YODAPIKUL | | Misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel. | 123/2016 | Administrative Orders | Revocation | Effective Date 09/12/2016 to 08/12/2026 |
| 1856 | 02/12/2016 | Miss Kornyachath Yodapikul | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During September 10 - 27, 2013, Miss Kornyachath Yodapikul colluded or agreed with other principals to trade shares of Yong Thai Pubic Company Limited (YCI) in concealment to mislead the general public to believe that YCI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded YCI shared
to lure the general public to purchase or sell such shares which resulted in the purchase or sale of YCI shares not consistent with the normal market conditions.
| 123/2016 | Criminal Fine | imposing a fine of 1,183,425.00 Baht according to 109/2559 | |
| 1857 | 02/12/2016 | Mr.Chanya Leerungruangporn | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During September 10 - 27, 2013, Mr.Chanya Leerungruangporn colluded or agreed with other principals to trade shares of Yong Thai Pubic Company Limited (YCI) in concealment to mislead the general public to believe that YCI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded YCI shared
to lure the general public to purchase or sell such shares which resulted in the purchase or sale of YCI shares not consistent with the normal market conditions.
| 123/2016 | Criminal Fine | imposing a fine of 1,183,425.00 Baht according to 108/2559 | |
| 1858 | 02/12/2016 | Mr.Bhanurak Saengaram | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During September 10 - 27, 2013, Mr.Bhanurak Saengaram colluded or agreed with other principals by using his trading account and/or trading accounts of abettors to trade shares of Yong Thai Pubic Company Limited (YCI) in concealment to mislead the general public to believe that YCI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded YCI shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of YCI shares not consistent with the normal market conditions. | 123/2016 | Criminal Fine | imposing a fine of 1,183,425.00 Baht according to 107/2559 | |
| 1859 | 02/12/2016 | Mrs.Woranan Lertkulthum | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During September 10 - 27, 2013, Mrs.Woranan Lertkulthum colluded or agreed with other principals by using her trading account and/or trading accounts of abettors to trade shares of Yong Thai Pubic Company Limited (YCI) in concealment to mislead the general public to believe that YCI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded YCI shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of YCI shares not consistent with the normal market conditions. | 123/2016 | Criminal Fine | imposing a fine of 1,183,425.00 Baht according to 106/2559 | |
| 1860 | 02/12/2016 | Mr.Yanyong Intarasongkrog | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | During September 10 - 27, 2013, Mr.Yanyong Intarasongkrog colluded or agreed with other principals by using his trading account and/or trading accounts of abettors to trade shares of Yong Thai Pubic Company Limited (YCI) in concealment to mislead the general public to believe that YCI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded YCI shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of YCI shares not consistent with the normal market conditions. | 123/2016 | Criminal Fine | imposing a fine of 1,183,425.00 Baht according to 105/2559 | |
| 1861 | 02/12/2016 | Miss Ornsiree Chinkamtornwong | 241 in conjunction with Section 86 of the Penal Code / SEC Act | Between May 19, 2014 and July 23, 2014, Miss Ornsiree Chinkamtornwong supported Mr.Assavin Chingumtornvong in selling 8,651,400 ordinary shares of Thai Industrial and Engineering Service Public Company Limited (“TIES”), through securities trading account of Miss Ornsiree. The sales were made in such a way that took advantage of others by using non-public information material to TIES share price concerning the operating results for the second quarter of 2014 contained a loss due to the cancellation of a TIES construction project. Mr.Assavin used such non-public information material to gain unfair benefits over other persons by virtue of his position as a Chairman of TIES. | 117/2016 | Criminal Fine | imposing a fine of 333,333.33 Baht according to 104/2559 | |
| 1862 | 02/12/2016 | Mr.Assavin Chingumtornvong | 241 / SEC Act | Between May 19, 2014 and July 23, 2014, Mr.Assavin Chingumtornvong has illegally sold 8,651,400 ordinary shares of Thai Industrial and Engineering Service Public Company Limited (“TIES”), through securities trading account of Miss Ornsiree Chinkamtornwong. The sales were made in such a way that took advantage of others by using non-public information material to TIES share price concerning the operating results for the second quarter of 2014 contained a loss due to the cancellation of a TIES construction project. Mr.Assavin used such non-public information material to gain unfair benefits over other persons by virtue of his position as a Chairman of TIES. | 117/2016 | Criminal Fine | imposing a fine of 4,333,480.50 Baht according to 103/2559 | |
| 1863 | 02/12/2016 | Mr. Soraj Asavaprapha | 89/7 and Section 89/10 and Section 89/11 / SEC Act | While being a director of Jasmine International Public Company Limited (JAS), Mr. Soraj Asavaprapha failed to perform his duties with loyalty as a result of obtaining unusual financial benefits from trading derivatives on non-public information concerning JAS, i.e., dividend payment for the year 2015 and a repurchase scheme at the beginning of the following year, which he had learned from the Board of Directors Meeting Agendas. In addition, he did not report his conflict of interest to the Board of Directors that on January 25, 2016 he bought 10,000 contracts of JASH16 Futures, whose underlying asset was JAS stock, in the amount of 30.08 million Baht, and 8,000 more contracts on March 2, 2016 in the amount of 24.80 million Baht. After the information became public, the price of JAS stock noticeably increased and Mr. Soraj gained undue benefits from selling the JASH16 Futures he had bought. | 116/2016 | Criminal Fine | imposing a fine of 5,560,000.00 Baht according to 101/2559 | |
| 1864 | 29/11/2016 | SCAN GLOBAL Public Company Limited | 56 and 199 / SEC Act | SCAN GLOBAL Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit (1) the financial statements for the year 2015 (2) the annual registration statement for the year 2015 (Form 56-1,2015) (3) the annual report for the year 2015 (Form 56-2, 2015) and (4) the financial statements for the six-month period ended June 30, 2016 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1865 | 29/11/2016 | Mr. Prasert Siripun | 300 / SEC Act | Mr. Prasert Siripun, Director responsible for the operation of SCAN Power Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit (1) the financial statements for the year 2015 (2) the annual registration statement for the year 2015 (Form 56-1,2015) (3) the annual report for the year 2015 (Form 56-2, 2015) and (4) the financial statements for the six-month period ended June 30, 2016
to the SEC and the SET within the specified period.
| | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1866 | 29/11/2016 | Ms. Jurairut Bonaitern | 300 / SEC Act | Ms. Jurairut Bonaitern, Director responsible for the operation of SCAN Power Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit (1) the annual report for the year 2015
(Form 56-2, 2015) and (2) the financial statements for the six-month period ended June 30, 2016
to the SEC and the SET within the specified period.
| | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1867 | 17/11/2016 | Mr.Chupong Thanasethakorn | 311 and Section 89/7 / SEC Act | Mr. Chupong Tanasettakorn, former deputy managing director of Country Group Holdings Public Company Limited (CGH), who was then responsible for the underwriting of Takuni Group Public Company Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) securities, used nominee accounts to subscribe and receive allocated shares for patrons of such companies.
Such conduct was in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities allocation to seek personal gains for oneself or other persons. By committing such act which gained him more than 42 million baht in benefits, Chupong was deemed to have performed duties dishonestly. In this regard, Chupong, were deemed to have committed offences in violation Section 311 of the Securities and Exchange Act of 1992 (SEA), and because CGH is a listed company, Chupong has also contravened Section 89/7 by failing to perform duties responsibly and honestly, which is liable to the penalties under the second paragraph of Section 281/2 of the SEA.
| 109/2016 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1868 | 17/11/2016 | Mr.Charnchai Pewluangsawat | 311, Section 315 and Section 89/7 in conjunction with Section 86 of the Penal Code / SEC Act | Mr.Charnchai Pewluangsawat aided and abetted Mr.Chupong Tanasettakorn, former deputy managing director of Country Group Holdings Public Company Limited (CGH) who was then responsible for the underwriting of Takuni Group Public Company Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) securities, by allowing Mr.Chupong to use Mr.Charnchai’s trading account to subscribe and receive allocated shares for patrons of such companies. | 109/2016 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1869 | 17/11/2016 | Mrs.Ornpimol Pewluangsawat | 311, Section 315 and Section 89/7 in conjunction with Section 86 of the Penal Code / SEC Act | Mrs.Ornpimol Pewluangsawat aided and abetted Mr.Chupong Tanasettakorn, former deputy managing director of Country Group Holdings Public Company Limited (CGH) who was then responsible for the underwriting of Takuni Group Public Company Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) securities, by allowing Mr.Chupong to use her trading account to subscribe and receive allocated shares for patrons of such companies. | 109/2016 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1870 | 17/11/2016 | Miss DOK-OR CHOTANA | | committing frauds against the assets of mutual fund clients | 110/2016 | Administrative Orders | Revocation | Effective Date 17/11/2016 to 16/11/2026 |
| 1871 | 17/11/2016 | Miss THANAPORN SUWANNAPONG | | committing frauds against the assets of mutual fund clients | 110/2016 | Administrative Orders | Revocation | Effective Date 17/11/2016 to 16/11/2026 |
| 1872 | 17/11/2016 | Mrs. PRANEE RODYINDEE | | committing frauds against the assets of mutual fund clients | 110/2016 | Administrative Orders | Revocation | Effective Date 17/11/2016 to 16/11/2026 |
| 1873 | 15/11/2016 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited failed to prepare and submit the financial report for the first half of the year 2016 together with an interim management discussion and analysis (MD&A) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1874 | 15/11/2016 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, the managing director responsible for the operation of Yarnapund Public Company Limited (“YNP”), failed to supervise YNP to prepare and submit the financial report for the first half of the year 2016 together with an interim management discussion and analysis (MD&A) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1875 | 14/11/2016 | Mr. Punya Kritiyawong | 300 / SEC Act | Mr. Punya Kritiyawong, the managing director responsible for the operation of L.V. Technology Public Company Limited (LVT), failed to supervise LVT to prepare and submit (1) the audited financial statements for the year 2015, (2) the annual report for the year 2015 (Form 56-2, 2015), (3) the annual registration statement for the year 2015 (Form 56-1, 2015), (4) the reviewed financial statements for Q1/2016 and (5) the reviewed financial statements for Q2/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, attempt to arrest the offender failed and the status of limitations ran out. | |
| 1876 | 03/11/2016 | Professional Waste Technology (1999) Public company Limited | 56 and 199 / SEC Act | Professional Waste Technology (1999) Public company Limited (PRO), a listed company which is posted SP and NC signs by the Stock Exchange of Thailand (the SET), failed to prepare and submit the audited financial statements for the year 2015 ended December 31, 2015 to the SEC Office and the SET within March 31, 2016. However, the audited financial statements were later submitted to the SET and the SEC Office on April 28, 2016 and May 11, 2016 respectively. | | Criminal Fine | imposing a fine of 57,600.00 Baht according to 82/2559 | |
| 1877 | 14/10/2016 | Asian Insulators Public Company Limited | 56 and 199 / SEC Act | Asian Insulators Public Company Limited (“AI”) has failed to submit the audited financial statements for the year 2015, the annual registration statement for the year 2015 (Form 56-1, 2015), the annual report for the year 2015 (Form 56-2, 2015) in accordance with the specified rules; and has failed to submit the reviewed financial statement for Q1/2016, the reviewed financial statement for Q2/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 1,680,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 840,000 and a further fine of Baht 500 each day starting from the next day of prosecution date (February 27, 2017) until the company so complies. | |
| 1878 | 14/10/2016 | Mr. Thanit Thareratanavibool | 300 / SEC Act | Mr. Thanit Thareratanavibool, the chief executive officer responsible for the operation of Asian Insulators Public Company Limited (“AI”), has failed to supervise AI to submit the audited financial statements for the year 2015, the annual registration statement for the year 2015 (Form 56-1, 2015), the annual report for the year 2015 (Form 56-2, 2015) in accordance with the specified rules; and has failed to supervise AIE to submit the reviewed financial statement for Q1/2016, the reviewed financial statement for Q2/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 1,680,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 840,000 and a further fine of Baht 500 each day starting from the next day of prosecution date (February 27, 2017) until the company so complies. | |
| 1879 | 13/10/2016 | AI Energy Public Company Limited | 56 and 199 / SEC Act | AI Energy Public Company Limited (“AIE”) has failed to submit the audited financial statements for the year 2015, the annual registration statement for the year 2015 (Form 56-1, 2015), the annual report for the year 2015 (Form 56-2, 2015) in accordance with the specified rules; and has failed to submit the reviewed financial statement for Q1/2016, the reviewed financial statement for Q2/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 1,697,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 848,500 and a further fine of Baht 500 each day starting from the next day of prosecution date (February 27, 2017) until the company so complies. | |
| 1880 | 13/10/2016 | Mr. Anurag Thareratanavibool | 300 / SEC Act | Mr. Anurag Thareratanavibool, the chief executive officer responsible for the operation of AI Energy Public Company Limited (“AIE”), has failed to supervise AIE to submit the audited financial statements for the year 2015, the annual registration statement for the year 2015 (Form 56-1, 2015), the annual report for the year 2015 (Form 56-2, 2015) in accordance with the specified rules; and has failed to supervise AIE to submit the reviewed financial statement for Q1/2016, the reviewed financial statement for Q2/2016 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 1,697,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 848,500 and a further fine of Baht 500 each day starting from the next day of prosecution date (February 27, 2017) until the company so complies. | |
| 1881 | 11/10/2016 | Mr. Yongyuth Ngamkaiwan | 300 / SEC Act | Mr. Yongyuth Ngamkaiwan, the representative of the planner (TUCC), responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare the reviewed financial statements for Q1/2016 and the reviewed financial statements for Q2/2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | The statute of limitations ran out. | |
| 1882 | 28/09/2016 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, the managing director responsible for the operation of Yarnapund Public Company Limited (YNP), failed to supervise YNP to prepare and submit the audited financial statements for the year 2015, the annual registration statement for the year 2015 (Form 56-1, 2015), and the annual report for the year 2015 (Form 56-2, 2015) to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1883 | 28/09/2016 | Yarnapund Public Company Limited | 56(2)(3)(4) and 199 / SEC Act | Yarnapund Public Company Limited failed to prepare and submit the audited financial statements for the year 2015, the annual registration statement for the year 2015 (Form 56-1, 2015), and the annual report for the year 2015 (Form 56-2, 2015) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1884 | 21/09/2016 | Mr. Rapi Pinijchob | 238 / SEC Act | On November 23, 2014, Mr. Rapi Pinijchob, the former managing director, responsible for the operation of Rasa Property Development Public Company Limited (“RASA”), disclosed false statement or any other statement related to the joint venture of RASA with the intention to mislead the public concerning the facts relating to the financial condition, the business operation or the trading price of RASA shares. | 090/2016 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 70/2559 | |
| 1885 | 21/09/2016 | Mrs. Panadda Suntornsaratul | 241 in conjunction with Section 86 of the Penal Code / SEC Act | On April 11, 2014, Mrs. Panadda Suntornsaratul supported Miss Chanthani Thanompongchat purchasing 120,000 ordinary shares of Rasa Property Development Public Company Limited (“RASA”), through the accounts of Mrs. Panadda. The purchases were made in such a way that taking advantage of others by using non-public information material to RASA share price concerning the joint venture of RASA. Miss Chanthani used such non-public information material to gain unfair benefits over other persons by virtue of her position as a directors’ secretary of RASA. | | Criminal Fine | imposing a fine of 333,333.33 Baht according to 69/2559 | |
| 1886 | 21/09/2016 | Miss Chanthani Thanompongchat | 241 / SEC Act | On April 11, 2014, Miss. Chanthani Thanompongchat purchased 120,000 ordinary shares of Rasa Property Development Public Company Limited (“RASA”), through the accounts of Mrs. Panadda Suntornsaratul. The purchases were made in such a way that taking advantage of others by using
non-public information material to RASA share price concerning the joint venture of RASA.
Miss Chanthani used such non-public information material to gain unfair benefits over other persons
by virtue of her position as a directors’ secretary of RASA. Furthermore, Miss Chanthani invited
Mr. Supoj Lertluthaporn and Mrs. Boonsom Lertluthaporn to purchase ordinary shares of RASA on April 11, 2014
| | Criminal Fine | imposing a fine of 1,000,000.00 Baht according to 68/2559 | |
| 1887 | 21/09/2016 | Nawarat Patakarn Public Company Limited | 56 and 199 / SEC Act | Nawarat Patakarn Public Company Limited (“NWR”), a securities issuer, failed to prepare and submit the audited financial statements for the year 2015 to the Stock Exchange of Thailand and the SEC Office within February 29, 2016. However, the financial statements were later submitted to the SET and the SEC Office on March 2 and 3, 2016, respectively. | | Criminal Fine | imposing a fine of 46,200.00 Baht according to 58/2559 | |
| 1888 | 21/09/2016 | Mr. Khumsup Lochaya | 241 / SEC Act | During July 23 and November 12, 2012, Mr. Khumsup Lochaya sold 15,000,000 shares of Superblock Public Company Limited (“SUPER”) through his account and 27,500,000 shares through other persons’ accounts in such a way as to take advantage of other persons by using non- public material information concerning the fact that SUPER would sell off its assets of all kinds in its core autoclaved aerated concrete business – including raw materials, licenses, trademarks and inventories – to Siam City Cement Public Company Limited (SCCC). Mr. Khumsup Lochaya, who at the time was a former executive of SUPER, had an access to the material information by virtue of being assigned by SUPER to contact and coordinate with SCCC.
| 89/2016 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 1889 | 21/09/2016 | Miss ATCHAREEYA SUNGWALRAM | | committing frauds against the assets of mutual fund clients | 110/2016 | Administrative Orders | Revocation | Effective Date 21/09/2016 to 20/09/2026 |
| 1890 | 21/09/2016 | Miss SASIKAN AROONCHAIROT | | committing frauds against the assets of mutual fund clients. | 110/2016 | Administrative Orders | Revocation | Effective Date 21/09/2016 to 20/09/2026 |
| 1891 | 21/09/2016 | Miss KANOKKARN SUANKWAN | | committing frauds against the assets of mutual fund clients. | 110/2016 | Administrative Orders | Revocation | Effective Date 21/09/2016 to 20/09/2026 |
| 1892 | 14/09/2016 | Mr. Siwasit Sainumphung | 243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Siwasit Sainumphung agreed or conspired with five other persons to manipulate the price and trading volume of Yong Thai Public Company Limited (YCI) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 10 - 27 September 2013. | 84/2016 | Criminal Complaints | The Appeal Court dismissed the case. | This case is under consideration of the supreme court. |
| 1893 | 14/09/2016 | Miss Noppawan Suwan | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code / SEC Act | During 10 - 27 September 2013, Miss Noppawan Suwan aided and abetted otherpersons to manipulate the price and trading volume of Yong Thai Public Company Limited (YCI) shares by allowing the trading account to be used for the YCI transaction in exchange for compensation.
| 84/2016 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was final. | |
| 1894 | 14/09/2016 | Mr. Viroj Arnokkaeo | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code / SEC Act | During 10 - 27 September 2013, Mr. Viroj Arnokkaeo aided and abetted other persons to manipulate the price and trading volume of Yong Thai Public Company Limited (YCI) shares by allowing the trading account to be used for the YCI transaction in exchange for compensation.
| 84/2016 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was final. | |
| 1895 | 06/09/2016 | Marnfah Group Company Limited | 33 / SEC Act | Marnfah Group Company Limited ,by the authorized director Ornpaphat Chantarasaka , had solicited the public to make an investment with the company based on a scheme of minimum 100,000 baht investment for 12 months to earn a high return of 15 percent per annum and promised to repay the principal and generate the guaranteed returns gradually every 30 days until the investment contract expires. Such aforesaid conduct of Marnfah Group was liable to public offering of securities without approval in the category of debenture in violation of Section 33 of the Securities and Exchange Act B.E. 2535 (1992). | 081/2016 | Criminal Complaints | The inquiry official forwarded the requested for the settlement. The Settlement Committee determined the fine, order no. 93/2017 dated on 15 November2017 and Marnfah Group Company Limited has paid the fine. The case is regarded as settle. | |
| 1896 | 06/09/2016 | Miss Ornprapat Junsakha | 33 / SEC Act | Miss Ornpaphat Chantarasaka , the authorized director of Marnfah Group Company Limited , had solicited
the public to make an investment with the company based on a scheme of minimum 100,000 baht investment for 12 months to earn a high return of 15 percent per annum and promised to repay the principal and generate the guaranteed returns gradually every 30 days until the investment contract expires. Such aforesaid conduct of the authorized director of Marnfah Group was liable to public offering of securities without approval in the category of debenture in violation of Section 33 of the Securities and Exchange Act B.E. 2535 (1992).
| 081/2016 | Criminal Complaints | The inquiry official forwarded the requested for the settlement. The Settlement Committee determined the fine, order no. 94/2017 dated on 15 November2017 and Miss Ornprapat Junsakha has paid the fine. The case is regarded as settle. | |
| 1897 | 06/09/2016 | Lederer (Thailand) Company Limited | 33 / SEC Act | Lederer (Thailand) Company Limited by authorized director Kanyakorn Supakarnkachareon, had solicited the public to make an investment at the minimum amount of 100,000 baht to earn 5 percent return in six months and promised to repay the principal and generate the guaranteed returns gradually every 30 days until the investment contract expires. Such aforesaid conduct of Lederer (Thailand) Company Limited was liable to public offering of securities without approval in the category of debenture in violation of Section 33 of the Securities and Exchange Act B.E. 2535 (1992). | 081/2016 | Criminal Complaints | The inquiry official forwarded the requested for the settlement. The Settlement Committee determined the fine, order no. 91/2017 dated on 15 November2017 but Lederer (Thailand) Company Limited has not paid the fine. The case is in the process of inquiry by the inquiry official. | |
| 1898 | 06/09/2016 | Miss Kanyakorn Supakarnkacharoen | 33 / SEC Act | Miss Kanyakorn Supakarnkachareon, the authorized director of Lederer (Thailand) Company Limited, had solicited the public to make an investment at the minimum amount of 100,000 baht to earn 5 percent return in six months and promised to repay the principal and generate the guaranteed returns gradually every 30 days until the investment contract expires. Such aforesaid conducts of the authorized directors of Lederer (Thailand) Company Limited was liable to public offering of securities without approval in the category of debenture in violation of Section 33 of the Securities and Exchange Act B.E. 2535 (1992). | 081/2016 | Criminal Complaints | The inquiry official forwarded the requested for the settlement. The Settlement Committee determined the fine, order no. 92/2017 dated on 15 November 2017 and Miss Kanyakorn Supakarnkachareon has paid the fine. The case is regarded as settle. | |
| 1899 | 31/08/2016 | Superblock Public Company Limited | 56 and 199 / SEC Act | Superblock Public Company Limited (“SUPER”), a securities issuer, failed to prepare and submit the audited financial statements for the year 2015 to the Stock Exchange of Thailand and the SEC Office within February 29, 2016. However, the financial statements were later submitted to the SET and the SEC Office on March 2, 2016. | | Criminal Fine | imposing a fine of 46,200.00 Baht according to 51/2559 | |
| 1900 | 31/08/2016 | Mr. Panya Pitchdumrong | 247 in conjunction with Section 86 of the Penal Code / SEC Act | Mr. Panya Pitchdumrong, a supervisor appointed by AIRA Securities Public Company Limited to act as the preparer of the offer document of Agripure Holdings Public Company Limited (“APURE”), played a part in causing Mr. Suredpon Jungrungruangkit, Mr. Komol Jungrungreangkit and Summit Pinehurst Golf Club Co., Ltd. (collectively referred to as the offerors) to fail to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as the offerors did not deliver the offer document (“Form 247-4”) to the shareholders of APURE upon submission of Form 247-4 to the SEC Office. | | Criminal Fine | imposing a fine of 70,666.00 Baht according to 50/2559 | |
| 1901 | 31/08/2016 | AIRA Securities Public Company Limited | 247 in conjunction with Section 86 of the Penal Code / SEC Act | AIRA Securities Public Company Limited, a financial advisor appointed as the preparer of the offer document of Agripure Holdings Public Company Limited (“APURE”), played a part in causing Mr. Suredpon Jungrungruangkit, Mr. Komol Jungrungreangkit and Summit Pinehurst Golf Club Co., Ltd. (collectively referred to as the offerors) to fail to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as the offerors did not deliver the offer document (“Form 247-4”) to the shareholders of APURE upon submission of Form 247-4 to the SEC Office. | | Criminal Fine | imposing a fine of 70,666.00 Baht according to 49/2559 | |
| 1902 | 31/08/2016 | Summit Pinehurst Golf Club Co., Ltd. | 247 / SEC Act | On November 13, 2015, Summit Pinehurst Golf Club Co., Ltd., Mr. Komol Jungrungreangkit and Mr. Suredpon Jungrungruangkit (declared to act collectively) acquired shares of Agripure Holdings Public Company Limited (“APURE”) which caused their aggregated holding of APURE shares to exceed trigger point at 50 percent of the total voting rights of APURE. However, the offerors failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as they did not deliver the offer document (“Form 247-4”) to the shareholders of APURE upon submission of Form 247-4 to the SEC Office. Later on November 30, 2015, Form 247-4 were delivered to APURE shareholders. | | Criminal Fine | imposing a fine of 106,000.00 Baht according to 48/2559 | |
| 1903 | 31/08/2016 | Mr. Komol Jungrungreangkit | 247 / SEC Act | On November 13, 2015, Mr. Komol Jungrungreangkit, Mr. Suredpon Jungrungruangkit and Summit Pinehurst Golf Club Co., Ltd. (declared to act collectively) acquired shares of Agripure Holdings Public Company Limited (“APURE”) which caused their aggregated holding of APURE shares to exceed trigger point at 50 percent of the total voting rights of APURE. However, the offerors failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as they did not deliver the offer document (“Form 247-4”) to the shareholders of APURE upon submission of Form 247-4 to the SEC Office. Later on November 30, 2015, Form 247-4 were delivered to APURE shareholders. | | Criminal Fine | imposing a fine of 106,000.00 Baht according to 47/2559 | |
| 1904 | 31/08/2016 | Mr. Suredpon Jungrungruangkit | 247 / SEC Act | On November 13, 2015, Mr. Suredpon Jungrungruangkit, Mr. Komol Jungrungreangkit and Summit Pinehurst Golf Club Co., Ltd. (declared to act collectively) acquired shares of Agripure Holdings Public Company Limited (“APURE”) which caused their aggregated holding of APURE shares to exceed trigger point at 50 percent of the total voting rights of APURE. However, the offerors failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as they did not deliver the offer document (“Form 247-4”) to the shareholders of APURE upon submission of Form 247-4 to the SEC Office. Later on November 30, 2015, Form 247-4 were delivered to APURE shareholders. | | Criminal Fine | imposing a fine of 106,000.00 Baht according to 46/2559 | |
| 1905 | 26/07/2016 | C.I.Group Public Company Limited | 56 and 199 / SEC Act | C.I.Group Public Company Limited (“CIG”) prepared and submitted the inaccurate financial statement for the year 2015 to the SET and the SEC on February 29, 2016 and March 1, 2016 respectively. Later, the audited financial statement for the year 2015 was filed with the SEC and the SET on March 31, 2016. | | Criminal Fine | imposing a fine of 140,250.00 Baht according to 40/2559 | |
| 1906 | 26/07/2016 | Mr.Kerati Panichewa | 241 / SEC Act | During 3-26 October 2012, Mr.Kerati Panichewa, senior executive of a company that was another TIP major shareholder, sold 576,000 shares of TIP through his account in such a way as to take advantage of other persons by using negative material non-public information concerning that TIP had to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. He obtained the material non-public information by virtue of his positions before such information became public on 30 October 2012. | 68/2016 | Criminal Fine | imposing a fine of 6,802,843.75 Baht according to 38/2559 | |
| 1907 | 26/07/2016 | Mr.Natee Panichewa | 241 / SEC Act | During 13-28 September 2012 and 17-25 October 2012, Mr.Natee Panichewa, director and chief executive officer of Thaisri Insurance Public Company Limited (Thaisri Insurance), ordered 1,561,600 of Dhipaya Insurance Public Company Limited (TIP) shares to be sold from the account of Thaisri Insurance in such a way as to take advantage of other persons by using negative material non-public information concerning that TIP had to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. He obtained the material non- public information by virtue of his positions before such information became public on 30 October 2012. | 68/2016 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 37/2559 | |
| 1908 | 26/07/2016 | Thaisri Insurance Public Company Limited | 241 / SEC Act | During 13-28 September 2012 and 17-25 October 2012, Thaisri Insurance Public Company Limited (Thaisri Insurance), a major shareholder of Dhipaya Insurance Public Company Limited (TIP), sold 1,561,600 of TIP shares through its own account in such a way as to take advantage of other persons by using negative material non- public information concerning the fact that TIP had to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. Thaisri Insurance obtained the material non- public information by Mr.Natee Panichchewa, director and chief executive officer. | 68/2016 | Criminal Fine | imposing a fine of 703,487.50 Baht according to 36/2559 | |
| 1909 | 26/07/2016 | Mr.Somporn Suebthawilkul | 241 / SEC Act | On 28 August 2012 and 2 October 2012, Mr.Somporn Suebthawilkul, the managing director of Dhipaya Insurance Public Company Limited (TIP) sold 70,000 shares of TIP through his account in such a way as to take advantage of other persons by using negative material non- public information concerning the fact that TIP had to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. He obtained the material non- public information by virtue of his positions before such information became public on 30 October 2012. | 68/2016 | Criminal Fine | imposing a fine of 612,500.00 Baht according to 35/2559 | |
| 1910 | 26/07/2016 | Mr. Sakorn Suksriwong | 241 / SEC Act | Mr. Sakorn Suksriwong, at the time he was holding the position of director of BFIT Securities Public Company Limited (BSEC) (Now being voluntary delisted from the SET), the Vice President and Chief Executive Officer of Bangkok First Investment & Trust Public Company Limited (BFIT), solicited the other person to purchase BSEC shares between December 23, 2010 and January 6, 2011 before the information became publicly known on 18 January 2011. Such action was deemed taking an unfair advantage of other people by using positive material non- public information concerning the interest of OSK Investment Bank Berhad, Malaysia (OSKIB) in purchasing shares of BSEC from BFIT with the offer price significantly higher than the market price, thus requiring OSKIB make a tender offer for acquisition of all BSEC shares at the same price. | 67/2016 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 33/2559 | |
| 1911 | 14/07/2016 | Mr. Chalaem Semsarid | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Chalaem Semsarid, then marketing director of Country Group Securities Public Company Limited and approved securities investment consultant, agreed or conspired with twelve other persons to manipulate the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013. | | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | Fails to pay the fine within deadline set by the Criminal Fining Committee. |
| 1912 | 14/07/2016 | Mr. Promakran Srinarong | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Promakran Srinarong agreed or conspired with twelve other persons to manipulate the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013. | | Criminal Complaints | | Fails to pay the fine within deadline set by the Criminal Fining Committee. |
| 1913 | 14/07/2016 | Mrs. Kodchaphon Singtong | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Mrs. Kodchaphon Singtong agreed or conspired with twelve other persons to manipulate
the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013.
| | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | Fails to pay the fine within deadline set by the Criminal Fining Committee. |
| 1914 | 14/07/2016 | Mr. Chukiat Singthong | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Chukiat Singthong agreed or conspired with twelve other persons to manipulate the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013. | | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | Fails to pay the fine within deadline set by the Criminal Fining Committee. |
| 1915 | 14/07/2016 | Mr. Prabpol Singtong | 243 in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Prabpol Singtong agreed or conspired with twelve other persons to manipulate the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013. | | Criminal Complaints | | Fails to pay the fine within deadline set by the Criminal Fining Committee. |
| 1916 | 14/07/2016 | Mr. Prasian Kongboon | Section 243 and Section 86 of Criminal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mr. Prasian Kongboon aided and abetted other persons to manipulate the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by allowing the accounts for securities trading and bank deposit to be opened in his name and facilitating relevant financial transactions. | | Criminal Complaints | | Fails to pay the fine within deadline set by the Criminal Fining Committee. |
| 1917 | 14/07/2016 | Miss Phatharika Kongboon (current name : Miss Sirikorn Thongsarai) | Section 243 and Section 86 of Criminal Code / SEC Act | During January 9, 2013 - February 28, 2013, Miss Phatharika Kongboon aided and abetted other persons to manipulate the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by allowing the accounts for securities trading and bank deposit to be opened in his name and facilitating relevant financial transactions. | | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | Fails to pay the fine within deadline set by the Criminal Fining Committee. |
| 1918 | 14/07/2016 | Mr. Somchai Kongboon | Section 243 and Section 86 of Criminal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mr. Somchai Kongboon aided and abetted other persons to manipulate the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by allowing the accounts for securities trading and bank deposit to be opened in his name and facilitating relevant financial transactions. | | Criminal Complaints | | Fails to pay the fine within deadline set by the Criminal Fining Committee. |
| 1919 | 14/07/2016 | Mr. Somchit Sabaibang | Section 243 and Section 86 of Criminal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mr. Somchit Sabaibang aided and abetted other persons to manipulate the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by allowing the accounts for securities trading and bank deposit to be opened in his name and facilitating relevant financial transactions. | | Criminal Complaints | | Fails to pay the fine within deadline set by the Criminal Fining Committee. |
| 1920 | 01/07/2016 | Miss PANITA AUTTHASEREEVONG | | Committed wrongful acts against clients' assets by using the client's trading account to trade securities for her own personal gains or others' and making investment decisions for investors. | 62/2016 | Administrative Orders | Revocation | Effective Date 01/07/2016 to 30/06/2026 |
| 1921 | 01/07/2016 | Miss NITCHAWAN SINGKHAM | | Dishonest act against a client's assets involved using the client's trading account to trade securities for her own personal gains and interfering with the client's assets by withdrawing and tranfering securities from the client's account. | 62/2016 | Administrative Orders | Revocation | Effective Date 01/07/2016 to 30/06/2026 |
| 1922 | 29/06/2016 | Mr. CHALAM SAMSARID | | Chaleam is banned from being capital market personnel and considered lacking trustworthy characteristics of directors and executives of issuing companies. | 60/2016 | Administrative Orders | Revocation | Effective Date 29/06/2016 to 28/06/2026 |
| 1923 | 28/06/2016 | Mr. Somchit Sabaibang | Section 243 and Section 86 of Criminal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mr. Somchit Sabaibang aided and abetted other persons to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) and to clear such transactions through his securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. | 60/2016 | Criminal Fine | imposing a fine of 37,507,703.30 Baht according to 30/2559 | Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. |
| 1924 | 28/06/2016 | Mr. Somchai Kongboon | Section 243 and Section 86 of Criminal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mr. Somchai Kongboon aided and abetted other persons to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) and to clear such transactions through his securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. | 60/2016 | Criminal Fine | imposing a fine of 37,507,703.30 Baht according to 29/2559 | Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. |
| 1925 | 28/06/2016 | Miss Phatharika Kongboon (current name : Miss Sirikorn Thongsarai) | Section 243 and Section 86 of Criminal Code / SEC Act | During January 9, 2013 - February 28, 2013, Miss Phatharika Kongboon (current name : Miss Sirikorn Thongsarai) aided and abetted other persons to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) and to clear such transactions through her securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. | 60/2016 | Criminal Fine | imposing a fine of 37,507,703.30 Baht according to 28/2559 | Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. |
| 1926 | 28/06/2016 | Mr. Prasian Kongboon | Section 243 and Section 86 of Criminal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mr. Prasian Kongboon aided and abetted other persons to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) and to clear such transactions through his securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. | 60/2016 | Criminal Fine | imposing a fine of 37,507,703.30 Baht according to 27/2559 | Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. |
| 1927 | 28/06/2016 | Mr. Prabpol Singtong | 243 in conjunction with Section 83 of the Penal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mr. Prabpol Singtong colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. | 60/2016 | Criminal Fine | imposing a fine of 56,261,554.95 Baht according to 26/2559 | Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. |
| 1928 | 28/06/2016 | Mr. Chukiat Singthong | 243 in conjunction with Section 83 of the Penal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mr. Chukiat Singthong colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. | 60/2016 | Criminal Fine | imposing a fine of 56,261,554.95 Baht according to 25/2559 | Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. |
| 1929 | 28/06/2016 | Mrs. Kodchaphon Singtong | 243 in conjunction with Section 83 of the Penal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mrs. Kodchaphon Singtong colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. | 60/2016 | Criminal Fine | imposing a fine of 56,261,554.95 Baht according to 24/2559 | Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. |
| 1930 | 28/06/2016 | Mr. Promakran Srinarong | 243 in conjunction with Section 83 of the Penal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mr. Promakran Srinarong colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. | 60/2016 | Criminal Fine | imposing a fine of 56,261,554.95 Baht according to 23/2559 | Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. |
| 1931 | 28/06/2016 | Mr. Chalaem Semsarid | 243 in conjunction with Section 83 of the Penal Code / SEC Act | During January 9, 2013 - February 28, 2013, Mr. Chalam Samsarid colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. | 60/2016 | Criminal Fine | imposing a fine of 72,186,747.45 Baht according to 22/2559 | Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. |
| 1932 | 10/06/2016 | Mr. Yongyuth Ngamkaiwan | 300 / SEC Act | Mr. Yongyuth Ngamkaiwan, the representative of the planner (TUCC), responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare the audited financial statements for the year 2015, the annual registration statement for the year 2015 (Form 56-1) and the annual report for the year 2015 (Form 56-2) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | The statute of limitations ran out. | |
| 1933 | 08/06/2016 | Miss PORNTHIP DEESUK | | Performing duties dishonestly with the intention to conceal the fact and fabricating false evidence. | 53/2016 | Administrative Orders | Revocation | Effective Date 08/06/2016 to 07/06/2026 |
| 1934 | 03/06/2016 | Mr. VEERACHAI PASUTANON | | Committing dishonest acts against clients' assets, using clients' trading accounts to seek their own personal gains and acting beyond their scope of duties. | 51/2016 | Administrative Orders | Revocation | Effective Date 03/06/2016 to 02/06/2026 |
| 1935 | 03/06/2016 | Mr. JAKKRIT HONGNAKORN | | Committing dishonest acts against clients' assets, using clients' traing accounts to seek their own personal gains and acting beyond their scope of duties. | 51/2016 | Administrative Orders | Revocation | Effective Date 03/06/2016 to 02/06/2026 |
| 1936 | 18/05/2016 | Ms. Paweena Laowiwatwong | 243(1)(2) in conjunction with 244 and Section 83 of the Penal Code / SEC Act | Ms. Paweena Laowiwatwong, president and chairman of the executive board of The Union Mosaic Industry Public Company Limited (UMI), agreed or conspired with twelve other persons to manipulate
the price and trading volume of UMI shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013.
| 45/2016 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1937 | 18/05/2016 | Mrs. Punnaporn Laowiwatwong | 243(1)(2) in conjunction with 244 and Section 83 of the Penal Code / SEC Act | Mrs. Punnaporn Laowiwatwong agreed or conspired with twelve other persons to manipulate
the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013.
| 45/2016 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1938 | 18/05/2016 | Ms. Warunya Laowiwatwong | 243(1)(2) in conjunction with 244 and Section 83 of the Penal Code / SEC Act | Ms. Warunya Laowiwatwong agreed or conspired with twelve other persons to manipulate
the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013.
| 45/2016 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 1939 | 18/05/2016 | Mr.Trairath Treeratpant | 243(1)(2) in conjunction with 244 and Section 83 of the Penal Code / SEC Act | Mr.Trairath Treeratpant agreed or conspired with twelve other persons to manipulate the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013. | 45/2016 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 1940 | 27/04/2016 | Mrs. ATCMIMA PATTANAPINYOKUL | | involved in submitting false evidence to SEC which is prohibited characteristics of capital market personnel. | 40/2016 | Administrative Orders | Revocation | Effective Date 27/04/2016 to 26/04/2026 |
| 1941 | 20/04/2016 | Mr. Charin Hansuebsai | 241 / SEC Act | On November 11, 2014, Mr. Charin Hansuebsai (“Mr.Charin”) has illegally sold 147,000 shares of Pacific Pipe Public Company Limited (PAP) through securities trading account of the other. The selling was based on material non-public information concerning PAP’s operating net loss of 29.57 million baht significantly fell from Q3/2013 with the net loss of 114.57 million baht, a decrease of 74.19 percent and fell from Q2/2014 with the net loss of 80.54 million baht, a decrease of 63.29 percent. Mr. Charin used such material non-public information to gain unfair benefits over other persons by virtue of his position as an independent director of PAP. | 38/2016 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 21/2559 | |
| 1942 | 20/04/2016 | Mr. Chayanont Weerayuthkosol | 243(2) / SEC Act | Between April 28, 2014 and May 30, 2014, Mr. Chayanont Weerayuthkosol continuously traded 19,469,100 shares of Senko (Thailand) Public Company Limited resulting in trading such share which was not consistent with normal market conditions in order to lure general public to trade such share.
| 37/2016 | Criminal Fine | imposing a fine of 14,640,844.50 Baht according to 20/2559 | |
| 1943 | 28/03/2016 | Polaris Caital PCL. | 246 and 247 / SEC Act | Bangkok, March 28, 2016 – The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against (1) News Network Corporation PCL. (NEWS), previously named Solution Corner PCL. (SLC), (2) Polaris Capital PCL. (POLAR), previously named Wattana Capital PCL. (WAT), and (3) Siwasit Sainumphung, for collaborating their separate acquisitions of Nation Multimedia Group Public Company Limited (NMG) shares to achieve the mutual goal of business takeover.
The SEC’s further investigation after a tip-off has revealed that NEWS, POLAR and Siwasit jointly acquired NMG shares at approximately the same period of time in an attempt to take over NMG business. The three parties’ combined acquisitions exceeded any 5 percent trigger point and eventually the 25 percent trigger for a mandatory tender offer of the total NMG shares sold. In so doing, they failed to report their acquisitions, and did not make the tender offer for NMG takeover.
As a result, their actions were in violation of Section 246 and Section 247 of the Securities and Exchange Act of 1992, in conjunction with Section 83 of the Penal Code. The three offenders refused to enter the criminal fining process. The SEC, therefore, filed the criminal complaint with the ECD Police for further legal proceedings. | 28/2016 | Criminal Complaints | This case is under consideration of the public prosecutor.
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| 1944 | 28/03/2016 | News Network Corporation PCL. | 246 and 247 / SEC Act | Bangkok, March 28, 2016 – The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against (1) News Network Corporation PCL. (NEWS), previously named Solution Corner PCL. (SLC), (2) Polaris Capital PCL. (POLAR), previously named Wattana Capital PCL. (WAT), and (3) Siwasit Sainumphung, for collaborating their separate acquisitions of Nation Multimedia Group Public Company Limited (NMG) shares to achieve the mutual goal of business takeover.
The SEC’s further investigation after a tip-off has revealed that NEWS, POLAR and Siwasit jointly acquired NMG shares at approximately the same period of time in an attempt to take over NMG business. The three parties’ combined acquisitions exceeded any 5 percent trigger point and eventually the 25 percent trigger for a mandatory tender offer of the total NMG shares sold. In so doing, they failed to report their acquisitions, and did not make the tender offer for NMG takeover.
As a result, their actions were in violation of Section 246 and Section 247 of the Securities and Exchange Act of 1992, in conjunction with Section 83 of the Penal Code. The three offenders refused to enter the criminal fining process. The SEC, therefore, filed the criminal complaint with the ECD Police for further legal proceedings. | 28/2016 | Criminal Complaints | This case is under consideration of the public prosecutor.
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| 1945 | 28/03/2016 | Mr. Siwasit Sainumphung | 246 and 247 / SEC Act | Bangkok, March 28, 2016 – The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against (1) News Network Corporation PCL. (NEWS), previously named Solution Corner PCL. (SLC), (2) Polaris Capital PCL. (POLAR), previously named Wattana Capital PCL. (WAT), and (3) Siwasit Sainumphung, for collaborating their separate acquisitions of Nation Multimedia Group Public Company Limited (NMG) shares to achieve the mutual goal of business takeover.
The SEC’s further investigation after a tip-off has revealed that NEWS, POLAR and Siwasit jointly acquired NMG shares at approximately the same period of time in an attempt to take over NMG business. The three parties’ combined acquisitions exceeded any 5 percent trigger point and eventually the 25 percent trigger for a mandatory tender offer of the total NMG shares sold. In so doing, they failed to report their acquisitions, and did not make the tender offer for NMG takeover.
As a result, their actions were in violation of Section 246 and Section 247 of the Securities and Exchange Act of 1992, in conjunction with Section 83 of the Penal Code. The three offenders refused to enter the criminal fining process. The SEC, therefore, filed the criminal complaint with the ECD Police for further legal proceedings. | 28/2016 | Criminal Complaints | This case is under consideration of the public prosecutor.
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| 1946 | 21/03/2016 | EMM Consulting Company Limited | 90 / SEC Act | EMM Consulting Company Limited ("EMM"), represented by company directors Mr. Alan Sydney Roy Lane and Miss Ratanaporn Aoonta, had not been licensed to operate securities business. EMM solicited a foreign resident by its financial and investment consultants to use its services and advice to transform his pension fund abroad into investment to gain tax benefits and long-term returns. Thus, EMM operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 25/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1947 | 21/03/2016 | Mr. Alan Sydney Roy Lane | 301 / SEC Act | Mr. Alan Sydney Roy Lane, the authorized director responsible for the operation of EMM Consulting Company Limited ("EMM"), shall be liable to the penalty as provided for EMM which committed an offence under the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289 by operating securities business without obtaining license from the SEC. EMM solicited a foreign resident by its financial and investment consultants to use its services and advice to transform his pension fund abroad into investment to gain tax benefits and long-term returns. | 25/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1948 | 21/03/2016 | Miss Ratanaporn Aoonta | 301 / SEC Act | Miss Ratanaporn Aoonta, the authorized director responsible for the operation of EMM Consulting Company Limited ("EMM"), shall be liable to the penalty as provided for EMM which committed an offence under the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289 by operating securities business without obtaining license from the SEC. EMM solicited a foreign resident by its financial and investment consultants to use its services and advice to transform his pension fund abroad into investment to gain tax benefits and long-term returns. | 25/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1949 | 16/03/2016 | Mr. Kriangkai Suriyawanakul | 241 in conjunction with Section 86 of the Penal Code / SEC Act | During August 7 - 8, 2012, Mr. Kriangkai Suriyawanakul aided and abetted Mr. Witoon Suriyawanakul in purchasing 125,000 ordinary shares of Siam Global House Public Company Limited (“GLOBAL”) through his securities trading account and clearing such transactions for Mr. Witoon’s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price. Mr. Witoon used non-public information concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. | 22/2016 | Criminal Fine | imposing a fine of 333,333.33 Baht according to 14/2559 | |
| 1950 | 16/03/2016 | Mr. Apilas Suriyavanakul | 241 in conjunction with Section 86 of the Penal Code / SEC Act | During August 6 - 15, 2012, Mr. Apilas Suriyavanakul aided and abetted Mr. Witoon Suriyawanakul in purchasing 1,677,881 ordinary shares of Siam Global House Public Company Limited (“GLOBAL”) through the securities trading accounts of two persons and clearing such transactions for Mr. Witoon’s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price. Mr. Witoon used non-public information concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. | 22/2016 | Criminal Fine | imposing a fine of 333,333.33 Baht according to 13/2559 | |
| 1951 | 16/03/2016 | Miss Kunnatee Suriyawanakul | 241 in conjunction with Section 86 of the Penal Code / SEC Act | During June 29, 2012 - August 23, 2012, Miss Kunnatee Suriyawanakul aided and abetted Mr. Witoon Suriyawanakul in purchasing 6,220,000 ordinary shares and 3,500,700 warrants of Siam Global House Public Company Limited (“GLOBAL”) through the securities trading accounts of four persons and clearing such transactions for Mr. Witoon’s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price. Mr. Witoon used non-public information concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. | 22/2016 | Criminal Fine | imposing a fine of 333,333.33 Baht according to 12/2559 | |
| 1952 | 16/03/2016 | Mr. Witoon Suriyawanakul | 241 / SEC Act | During June 29, 2012 - August 23, 2012, Mr. Witoon Suriyawanakul purchased 8,022,881 ordinary shares and 3,500,700 warrants of Siam Global House Public Company Limited (“GLOBAL”) through the securities trading accounts of six persons and gained benefits from such transactions. The purchases were made in such a way that taking advantage of others by using non-public information material to GLOBAL share price concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited. Mr. Witoon used such non-public information material to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. | 22/2016 | Criminal Fine | imposing a fine of 24,322,064.40 Baht according to 11/2559 | |
| 1953 | 16/03/2016 | Mr.Chai Sophonpanich | 241 / SEC Act | Mr.Chai Sophonpanich (“Mr.Chai”) , then chairman and chief executive officer of Bangkok Insurance Public Company Limited ("BKI"), proposed a dividend payment plan for BKI shareholders at the ratio of five existing shares to two dividend shares, on top of the normal dividend payment plan for the operating performance of 2013. This was material information that would have supported an upward trend of the BKI share price. He disclosed such inside information to other persons who purchased BKI shares during February 24, 2014 - February 25, 2014 before the information became publicly known on February 28, 2014. Such action was deemed taking an unfair advantage of other people, and Chai gained benefits indirectly from such other persons’ purchases of BKI shares. | 21/2016 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 10/2559 | |
| 1954 | 16/03/2016 | Mr. Surasak Chuntori | 241 / SEC Act | On August 22, 2012, Mr. Surasak Chuntori purchased 75,000 ordinary shares of Siam Global House Public Company Limited (“GLOBAL”) through the securities trading account of Mr. Ekkamon Chuntori and gained benefits from such transactions. The purchases were made in such a way that taking advantage of others by using non-public information material to GLOBAL share price concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited. Mr. Surasak used such non-public information material to gain unfair benefits over other persons by virtue of his position as an audit committee member and independent director of GLOBAL. | 22/2016 | Criminal Complaints | Department of Special Investigation returned the case to the SEC Office. This case is in the process of civil sanctions. | |
| 1955 | 16/03/2016 | Mr. Ekkamon Chuntori | 241 in conjunction with Section 86 of the Penal Code / SEC Act | On August 22, 2012, Mr. Ekkamon Chuntori aided and abetted Mr. Surasak Chuntori in purchasing 75,000 ordinary shares of Siam Global House Public Company Limited (“GLOBAL”) through his securities trading account and clearing such transactions for Mr. Surasak’s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price. Mr. Surasak used non-public information concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as an audit committee member and independent director of GLOBAL. | 22/2016 | Criminal Complaints | Department of Special Investigation returned the case to the SEC Office. This case is in the process of civil sanctions. | |
| 1956 | 16/03/2016 | Mr. Pichet Boonyapakdee | 238 / SEC Act | On November 23, 2014, Mr. Pichet Boonyapakdee, the former director, executive director and managing director of accounting and finance responsible for the operation of M-Link Asia Corporation Public Company Limited (“MLINK”), disclosed false statement by denying the news about MLINK’s capital increase to the Stock Exchange of Thailand with the intention to mislead the public concerning the facts relating to the financial condition or the trading price of MLINK shares. | 19/2016 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 9/2559 | |
| 1957 | 16/03/2016 | Mr. Somchai Chaisrichawla | 243(1) in conjunction with 244 and 243(2) / SEC Act | From September 13 to November 16, 2006, Mr. Somchai Chaisrichawla colluded with
Miss Chaninan Luangwaykin in using Somchai’s and other persons’ securities trading accounts to continuously trade shares of Asia Metal PLC (AMC) in concealment to mislead the public to believe that such shares were traded in great volume or that such share price was changed, causing the trading of such shares to be inconsistent with the normal market condition to lure the public into the trading.
| 23/2016 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 8/2559 | |
| 1958 | 16/03/2016 | Mr. Somyos Anantaprayoon | 239 / SEC Act | On October 27, 2014, Mr. Somyos Anantaprayoon, Chairman and Chief Executive Officer of WHA Corporation Public Company Limited (“WHA”) responsible for the operation of WHA and major shareholder of WHA, disseminate news about the negotiation of purchase deal with other listed company by giving interview to The Press which may cause any other person to understand that the prices of any securities will increase or decrease and WHA did not notify such negotiation to the Stock Exchange of Thailand. | 20/2016 | Criminal Fine | imposing a fine of 500,000.00 Baht according to 7/2559 | |
| 1959 | 02/03/2016 | Gilt Edge International (Group) LTd. | 90 / SEC Act | 1. Gilt Edge International (Group) LTd. – Thailand representative office, represented by Mrs. Karen Elizabeth Entwistle, the representative office solicited the foreign investors to make investments according to Gilt Edge’s advice and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced experts to render financial knowledge and advice as well as manage portfolios suitable for different clients’s profiles via three websites: www.giltedgeintl.com www.on-t3-line.com and www.online-t3.com In case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the Securities and Exchange Act of 1992. | 17/2016 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 1960 | 02/03/2016 | Mrs. Karen Elizabeth Entwistle | 90 / SEC Act | 2. Mrs. Karen Elizabeth Entwistle. - – Thailand representative office, represented by Mrs. Karen Elizabeth Entwistle, the representative office solicited the foreign investors to make investments according to Gilt Edge’s advice and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced experts to render financial knowledge and advice as well as manage portfolios suitable for different clients’s profiles via three websites: www.giltedgeintl.com www.on-t3-line.com and www.online-t3.com In case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the Securities and Exchange Act of 1992. | 17/2016 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 1961 | 02/03/2016 | 3. Mr. Steven or Steve Entwistle.- | 90 / SEC Act | Mr. Steven or Steve Entwistle.- as Managing Director, the representative office solicited the foreign investors to make investments according to Gilt Edge’s advice and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced experts to render financial knowledge and advice as well as manage portfolios suitable for different clients’s profiles via three websites: www.giltedgeintl.com www.on-t3-line.com and www.online-t3.com In case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the Securities and Exchange Act of 1992. | 17/2016 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 1962 | 02/03/2016 | Mr. Neil Callard. | 90 / SEC Act | Mr. Neil Callard. - as Account Manager, the representative office solicited the foreign investors to make investments according to Gilt Edge’s advice and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced experts to render financial knowledge and advice as well as manage portfolios suitable for different clients’s profiles via three websites: www.giltedgeintl.com www.on-t3-line.com and www.online-t3.com In case, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the Securities and Exchange Act of 1992. | 17/2016 | Criminal Complaints | On November 21, 2022, the Samutprakan Provincial Court ruled against the accused for violating Sections 90, 289 of the SEC Act and Section 83 of the Criminal Code. Since the accused pleaded guilty, the court sentenced the accused to imprisonment for a term of 18 months and a fine of 150,000 Baht. | |
| 1963 | 02/03/2016 | PFS International Consultants Co., Ltd. | 90 / SEC Act | PFS International Consultants Co., Ltd. (“PFS”), represented by company director Mr. Mark Edward Kirkham, colluded with other alleged offenders in soliciting several foreign residents to use services and advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business. Thus, PFS jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 17/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1964 | 02/03/2016 | Mr. Mark Edward Kirkham | 90 / SEC Act | Mr. Mark Edward Kirkham colluded with PFS International Consultants Co., Ltd. (“PFS”) and other alleged offenders in soliciting several foreign residents to use services and advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business. Thus, he jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 17/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1965 | 02/03/2016 | Mr. Andrew Wood | 90 / SEC Act | Mr. Andrew Wood colluded with PFS International Consultants Co., Ltd. (“PFS”) and other alleged offenders in soliciting several foreign residents to use services and advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business. Thus, he jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 17/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1966 | 02/03/2016 | Mr. Harpreet Sajjan | 90 / SEC Act | Mr. Harpreet Sajjan colluded with PFS International Consultants Co., Ltd. (“PFS”) and other alleged offenders in soliciting several foreign residents to use services and advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business. Thus, he jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 17/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1967 | 02/03/2016 | Mr. Roger Sefton | 90 / SEC Act | Mr. Roger Sefton colluded with PFS International Consultants Co., Ltd. (“PFS”) and other alleged offenders in soliciting several foreign residents to use services and advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business. Thus, he jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 17/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1968 | 02/03/2016 | Mr. Timothy Lock | 90 / SEC Act | Mr. Timothy Lock colluded with PFS International Consultants Co., Ltd. (“PFS”) and other alleged offenders in soliciting several foreign residents to use services and advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business. Thus, he jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 17/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1969 | 02/03/2016 | Ms. Sakun Chaiyakun | 90 / SEC Act | Ms. Sakun Chaiyakun colluded with PFS International Consultants Co., Ltd. (“PFS”) and other alleged offenders in soliciting several foreign residents to use services and advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business. Thus, she jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 17/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1970 | 17/02/2016 | Nippon Pack (Thailand) Public Company Limited | 56 and 199 / SEC Act | Nippon Pack (Thailand) Public Company Limited (NPP) prepared and submitted the inaccurate annual registration statement for the year 2014 (Form 56-1) to the SEC Office and the SET on March 27, 2015 and March 30, 2015 respectively. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis: MD&A and other information. The rectified annual registration statement for the year 2014 was later filed with the SEC Office and the SET on July 28, 2015. | | Criminal Fine | imposing a fine of 84,000.00 Baht according to 3/2559 | |
| 1971 | 10/02/2016 | Global Consultant Company Limited | 90 / SEC Act | Global Consultant Company Limited (“Global”) colluded with the other alleged offender in operating securities businesses of brokerage. Furthermore, Global used website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 011/2016 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1972 | 10/02/2016 | Mr. Niel Arthur Robbirt | 90 / SEC Act | Mr. Niel Arthur Robbirt colluded with other alleged offender in operating securities businesses of brokerage and persuade the investors to invest by Global Consultant Limited (“Global”)’s advice. Furthermore, Global used website: : www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 011/2016 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 1973 | 08/02/2016 | Mr. Richard Dunston Malpass | 90 / SEC Act | Mr. Richard Dunston Malpass (“Mr. Malpass”), resided in Thailand, solicited foreign investors to make investment in mutual fund based on his advice for the sake of tax benefits and long-term return. Mr. Malpass received profits from providing investment advisory service in the ordinary course of business. Thus, Mr. Malpass operated securities business as investment advisor without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 9/2016 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1974 | 04/02/2016 | SCAN GLOBAL Public Company Limited | 56 and 199 / SEC Act | SCAN GLOBAL Public Company Limited (“SCAN”) Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit the financial statements for the six-month period ended June 30, 2015 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1975 | 04/02/2016 | Mr. Prasert Siripun | 300 / SEC Act | Mr. Prasert Siripun, Director responsible for the operation of SCAN GLOBAL Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit the financial statements for the six-month period ended June 30, 2015 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1976 | 04/02/2016 | Mr. Natthapoom Na Lumpoon | 300 / SEC Act | Mr. Natthapoom Na Lumpoon, Director responsible for the operation of SCAN GLOBAL Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit the financial statements for the six-month period ended June 30, 2015 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1977 | 01/02/2016 | SMC Power Public Company Limited | 199 in conjunction with 56(4) / SEC Act | SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit the financial statements for the six-month period ended June 30, 2015 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1978 | 01/02/2016 | Mr. Prasert Siripun | 300 / SEC Act | Mr. Prasert Siripun, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit the financial statements for the six-month period ended June 30, 2015 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1979 | 01/02/2016 | Mr. Natthapoom Na Lumpoon | 300 / SEC Act | Mr. Natthapoom Na Lumpoon, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit the financial statements for the six-month period ended June 30, 2015 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1980 | 27/01/2016 | Mr.Bee Taechaubol | 300 / SEC Act | Electronics Industry Public Company Limited, failed to prepare and submit the financial statements for the year 2014, the annual registration statement for the year 2014(Form 56-1, 2014) and the financial statements for Q1/2015 to the SEC and the SET within the specified period. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 1981 | 26/01/2016 | AI Energy Public Company Limited | 56 and 199 / SEC Act | AI Energy Public Company Limited (“AIE”) has failed to prepare and submit to the SEC and the SET the financial statements for the year 2014, the reviewed financial statements for Q1/2015, the reviewed financial statements for Q2/2015 and the reviewed financial statements for Q3/2015 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 1,126,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 563,000 and a further fine of Baht 500 each day starting from the next day of prosecution date (March 2, 2016) until the company so complies. | |
| 1982 | 26/01/2016 | Mr. Anurag Thareratanavibool | 300 / SEC Act | Mr. Anurag Thareratanavibool, the chief executive officer responsible for the operation of AI Energy Public Company Limited (“AIE”), has failed to supervise AIE to submit to the SEC and the SET the financial statements for the year 2014, the reviewed financial statements for Q1/2015, the reviewed financial statements for Q2/2015 and the reviewed financial statements for Q3/2015 within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 1,126,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 563,000 and a further fine of Baht 500 each day starting from the next day of prosecution date (March 2, 2016) until the company so complies. | |
| 1983 | 07/01/2016 | Mr. Yongyuth Ngamkaiwan | 300 / SEC Act | Mr. Yongyuth Ngamkaiwan, the representative of the planner (TUCC), responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare the reviewed financial statements for Q3/2015 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. | | Criminal Complaints | The statute of limitations ran out. | |
| 1984 | 30/12/2015 | Mr. Prasert Siripun | 300 / SEC Act | Mr. Prasert Siripun, Director responsible for the operation of SCAN GLOBAL Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit the financial statements for the year 2014, the annual registration statement for the year 2014 (Form 56-1, 2014) and the annual report for the year 2014 (“Form 56-2, 2014”) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1985 | 30/12/2015 | Mr. Natthapoom Na Lumpoon | 300 / SEC Act | Mr. Natthapoom Na Lumpoon, Director responsible for the operation of SCAN GLOBAL Public Company Limited (“SCAN”) failed to supervise SCAN to prepare and submit the financial statements for the year 2014, the annual registration statement for the year 2014 (Form 56-1, 2014) and the annual report for the year 2014 (“Form 56-2, 2014”) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1986 | 30/12/2015 | Mr. Prasert Siripun | 300 / SEC Act | Mr. Prasert Siripun, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the financial statements for the year 2014 (2) the annual registration statement for the year 2014 (Form 56-1,2014)
and (3) the annual report for the year 2014 (Form 56-2, 2014) to the SEC and the SET within the specified period
| | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1987 | 30/12/2015 | Mrs. Warinras Inkaew | 300 / SEC Act | Mr. Warinras Inkaew, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the financial statements for the year 2014 (2) the annual registration statement for the year 2014 (Form 56-1,2014)
and (3) the annual report for the year 2014 (Form 56-2, 2014) to the SEC and the SET within the specified period
| | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1988 | 24/12/2015 | Mr. Nittimon Hastindra Na Ayudhya | 89/7 / SEC Act | Mr. Nittimon Hastindra Na Ayudhya, Chairman of Nation Multimedia Group Public Company Limited (NMG), with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) for not allowing some NMG shareholders to attend and exercise their voting rights at the annual general shareholders’ meeting (AGM). Nittimon chaired the AGM on April 29, 2015, did not allow some NMG shareholders to attend and exercise their voting rights and some attending shareholders to cast their votes on certain agenda items at AGM. According to the consideration of the Department of Business Development, the Ministry of Commerce, Nittimon’s action was in violation of Section 33, Section 102 and Section 105 of the Public Companies Act of 1992, which do not give chairman of shareholders’ meeting the power to ban entitled shareholders from attending the meeting and excercising their voting rights. In addition, such action was deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and was consequently liable to the penalties as prescribed in the first paragraph of Section 281/2 of the SEA. | 136/2015 | Criminal Complaints | The Supreme Court sentenced the accused to 1-year imprisonment and pay a total fine of Baht 1,000,000 for violating Sections 281/2 paragraph 2 of the SEA , the jail term was suspended for 2 years. | On August 16, 2016, the public prosecutor concluded the consideration of the case and prosecuted the aforesaid persons on the ground that, as NMG directors and executives, they had denied the right of certain shareholders to attend the shareholders’ meeting and deprived other shareholders of their voting right at the meeting. The NMG directors and executives are: (1) Mr. Pakorn Borimasporn, (2) Mr. Chaveng Chariyapisuthi, (3) Mr. Adisak Limprungpatanakit, (4) Ms. Kaemakorn Vachiravarakarn, (5) Mr. Pana Janviroj, (6) Ms. Duangkamol Chotana, (7) Mr. Sermsin Samalapa, and (8) Mr. Suthichai Yoon. |
| 1989 | 24/12/2015 | ASCON Construction Public Company Limited | 56 and 199 / SEC Act | ASCON Construction Public Company Limited failed to prepare and submit the annual rrport for the year 2014. ("Form 56-2") and the financial statements for the six-month period ended June 30, 2015 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1990 | 24/12/2015 | Mr. Pattanapong Dhanumataya, | 300 / SEC Act | Mr. Pattanapong Dhanumataya, as managing director responsible for the operation of ASCON Construction PLC,(ASCON ), failed to supervise ASCON to prepare and submit the the annual report for the year 2014. ("Form 56-2") and the financial statements for the six-month period ended June 30, 2015 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1991 | 22/12/2015 | Miss AURACHA VACHIRAKULTHON | | (1) Failure to perform duties or provide services honestly, (2) Misconduct upon the client's asset, (3) Use of the client's trading account to trade securities for herself or others, (4) Interferance with the client's asset by withdrawing and transfering the client's securities, and (5) Breach of ethical and professional code of conduct prescribed by the Association of Thai Securities Companies (ASCO). | 135/2015 | Administrative Orders | Revocation | Effective Date 22/12/2015 to 21/12/2025 |
| 1992 | 17/12/2015 | Dr.Aurchat Kanjanapitak | Section 89/7 in conjunction with section 281/2 paragraph 2 307 311 312 313 / SEC Act | In late 2012, Dr.Aurchat Kanjanapitak, (“Dr.Aurchat”) former managing director responsible for operation and management of Ramkhamhaeng Hospital Public Company Limited (“RAM”)’s assets, failed to perform duties responsibly, carefully and honestly, seeked unlawful gain for himself or other persons causing damage to the company, and committed or permitting wrongful acts against RAM documents arranged for RAM by arranging for RAM to sell its acquired shares of Kiatnakin Bank Public Company Limited (“KKP”) to his related persons at a price significantly lower than the market price, which consequently caused damage to RAM primarily worth more than 300 million baht. He also received benefits from other relevant acts. Although he compensated for damages incurred to RAM in December 2014, it was after the SEC’s probe had revealed such wrongdoing. In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012, the first and third quarters of 2013, and the year 2013 in order to avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. | 133/2015 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was final. | |
| 1993 | 16/12/2015 | Mr. Pattarapob Ittisanyakorn | 247 / SEC Act | On March 11, 2015, Mr. Pattarapob Ittisanyakorn acquired shares of K.C. Property Public Company Limited (KC) equal to 47.57 % of the total voting rights of KC As a result, he aggregate shareholding exceeded trigger point at 25 percent of the total voting rights of KC. But he failed to make a tender offer for all KC securities within the period specified by the Capital Market Supervisory Board.
| | Criminal Complaints | On August 10, 2018, the Criminal Court ruled against him for violating Sections 247 and 298 of the SEC Act conjunction. Since the defendant pleaded guilty, the court suspended the determination of punishment for 2 years and sentenced the defendant a fine of Baht 300 for each day starting from July 25, 2015 until the defendant reduces the holding of KC shares to the number of shares less than trigger point (25 percent of the total voting rights of KC). | |
| 1994 | 19/11/2015 | Mr. Saiphet Thongngao | Section 16 / DV Act | Mr. Saiphet Thongngao colluded with other alleged offenders in managing funds for others for profits from derivatives investment in the ordinary course of business. The aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to sanctions under Section 125. | 129/2015 | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, the accused escaped and an arrest warrant was issued to bring the accused to trial. | |
| 1995 | 19/11/2015 | Miss Sureerat Ardpaksa | Section 16 / DV Act | Miss Sureerat Ardpaksa colluded with other alleged offenders in managing funds for others for profits from derivatives investment in the ordinary course of business. The aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to sanctions under Section 125. | 129/2015 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 1996 | 19/11/2015 | Mr. Woraphol Muenbowon | Section 16 / DV Act | Mr. Woraphol Muenbowon colluded with other alleged offenders in managing funds for others for profits from derivatives investment in the ordinary course of business. The aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to sanctions under Section 125. | 129/2015 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 1997 | 12/11/2015 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited failed to prepare and submit the financial report for the first half of the year 2015 together with an interim management discussion and analysis (MD&A) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1998 | 12/11/2015 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, the managing director responsible for the operation of Yarnapund Public Company Limited (“YNP”), failed to supervise YNP to prepare and submit the financial report for the first half of the year 2015 together with an interim management discussion and analysis (MD&A) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 1999 | 22/10/2015 | SCAN GLOBAL Public Company Limited | 56 and 199 / SEC Act | SCAN GLOBAL Public Company Limited failed to prepare and submit the financial statements for the year 2014, the annual registration statement for the year 2014. (Form 56-1, 2014) and the annual report for the year 2014. (Form 56-2, 2014) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2000 | 22/10/2015 | SMC POWER Public Company Limited | 56 and 199 / SEC Act | SMC POWER Public Company Limited failed to prepare and submit the financial statements for the year 2014, the annual registration statement for the year 2014. (Form 56-1, 2014X and the annual report for the year 2014 (Form 56-2, 2014) to the SEC and the SET with in the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2001 | 15/09/2015 | ASCON Construction Public Company Limited | 56 and 199 / SEC Act | ASCON Public Company Limited failed to prepare and submit the financial statements for the year 2014 and the annual registration statement for the year 2014 (Form 56-1, 2014) period ended December 31, 2014 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2002 | 15/09/2015 | Mr. Pattanapong Dhanumataya | 300 / SEC Act | Mr. Pattanapong Dhanumataya, as managing director responsible for the operation of ASCON Construction PLC (ASCON), failed to supervise ASCON to prepare and submit the financial statements for the year 2014 and the annual registration statement for the year 2014 (Form 56-1, 2014) period ended December 31, 2014 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2003 | 15/09/2015 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited failed to prepare and submit the audited financial statements for the year 2014, the annual registration statement for the year 2014 (Form 56-1, 2014), and the annual report for the year 2014 (Form 56-2, 2014) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 646,500 and a further fine of Baht 1,500 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 323,250 and a further fine of Baht 750 each day starting from the next day of prosecution date (March 2, 2016) until the company so complies. | |
| 2004 | 17/08/2015 | Mr. PARIN PRUKSAWAN | | During December 17, 2013 - January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients' futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. | 96/2015 | Administrative Orders | Revocation | Effective Date 17/08/2015 to 16/08/2025 |
| 2005 | 03/07/2015 | Professional Portfolio International Ltd. | 90 / SEC Act | Professional Portfolio International Ltd. (PPI) colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 86/2015 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2006 | 03/07/2015 | Mr. Eric Jordan or Mr. Eric Jack Jordan | 90 / SEC Act | Mr. Eric Jordan or Mr. Eric Jack Jordan as director of Professional Portfolio International Ltd. (PPI) and personal capacity colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 86/2015 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2007 | 03/07/2015 | Mr. Gary Bradford | 90 / SEC Act | Mr. Gary Bradford colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 86/2015 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2008 | 24/06/2015 | Mr. Somsak Leeswadtrakul | 312 / SEC Act | Between 2009 and 2010, Mr. Somsak Leeswadtrakul, while being vice chairman of G J Steel Public Company Limited (GJS), together with Mr. Chanathip Trivuth, while being director and acting president of GJS, committed or permitted another to act so as to falsify the accounts of GJS by making false entries concerning the purchase of raw materials from overseas suppliers materially lower than the actual value to deceive any persons about financial condition and performance of the company. The said entries were found in the financial statements: Q1/2009, Q2/2009, Q3/2009 and year 2009. | 81/2015 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2009 | 24/06/2015 | Mr. Chanathip Trivuth | 312 / SEC Act | Between 2009 and 2010, Mr. Chanathip Trivuth, while being director and acting president of G J Steel Public Company Limited (GJS), together with Mr. Somsak Leeswadtrakul, while being vice chairman of GJS, committed or permitted another to act so as to falsify the accounts of GJS by making false entries concerning the purchase of raw materials from overseas suppliers materially lower than the actual value to deceive any persons about financial condition and performance of the company. The said entries were found in the financial statements: Q1/2009, Q2/2009, Q3/2009 and year 2009. | 81/2015 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2010 | 24/06/2015 | Mr. Somsak Leeswadtrakul | 312 / SEC Act | Between 2008 and 2010, Mr. Somsak Leeswadtrakul, while being chief executive officer of G Steel Public Company Limited (GSTEL), together with Miss Kannikar Soykeeree, while being commercial executive vice president of GSTEL, committed or permitted another to act so as to falsify the accounts of GSTEL by making false entries concerning the purchase of raw materials from overseas suppliers materially lower than the actual value to deceive any persons about financial condition and performance of the company with aiding and abetting by Mr. Nakun Sakunchotikarote. The said entries were found in the financial statements: year 2008, Q1/2009, Q2/2009, Q3/2009 and year 2009. | 81/2015 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2011 | 24/06/2015 | Miss Kannikar Soykeeree | 312 / SEC Act | Between 2008 and 2010, Miss Kannikar Soykeeree, while being commercial executive vice president of G Steel Public Company Limited (GSTEL), together with Mr. Somsak Leeswadtrakul, while being chief executive officer of GSTEL, committed or permitted another to act so as to falsify the accounts of GSTEL by making false entries concerning the purchase of raw materials from overseas suppliers materially lower than the actual value to deceive any persons about financial condition and performance of the company with aiding and abetting by Mr. Nakun Sakunchotikarote. The said entries were found in the financial statements: year 2008, Q1/2009, Q2/2009, Q3/2009 and year 2009. | 81/2015 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2012 | 24/06/2015 | Mr. Nakun Sakunchotikarote | 312 315 / SEC Act | Between 2008 and 2010, Mr. Nakun Sakunchotikarote, while being corporate finance executive vice president of G Steel Public Company Limited (GSTEL), aided and abetted Mr. Somsak Leeswadtrakul and Miss Kannikar Soykeeree, while being chief executive officer and commercial executive vice president of GSTEL respectively, committing or permitting another to act so as to falsify the accounts of GSTEL by making false entries concerning the purchase of raw materials from overseas suppliers materially lower than the actual value to deceive any persons about financial condition and performance of the company. The said entries were found in the financial statements: year 2008, Q1/2009, Q2/2009, Q3/2009 and year 2009. | 81/2015 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2013 | 31/03/2015 | Mr. PUNYA KRITIYAWONG | 300 / SEC Act | Mr. PUNYA KRITIYAWONG, as managing director responsible for the operation of L.V. Technology Public Company Liimited (LVT) failed to prepare and submit the financial statements for Q3/2014 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 60,000 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 30,000 and a further fine of Baht 250 each day starting from the next day of prosecution date until the company so complies. In addition to the financial statements for Q3/2014 the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2014 | 31/03/2015 | L.V. TECHNOLOGY PUBLIC COMPANY LIMITED | 56 and 199 / SEC Act | L.V. Technology Public Company Liimited (LVT) failed to prepare and submit the financial statements for Q3/2014 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 60,000 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 30,000 and a further fine of Baht 250 each day starting from the next day of prosecution date until the company so complies. In addition to the financial statements for Q3/2014 the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2015 | 09/03/2015 | Globalview Consulting Co.,Ltd. | 90 / SEC Act | Globalview Consulting Co.,Ltd. colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management by advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 26/2015 | Criminal Complaints | The public prosecutor issued a prosecution order against the accused. | |
| 2016 | 09/03/2015 | Mr. Arya Payungvivattanakul | 90 / SEC Act | Mr. Arya Payungvivattanakul, director of Globalview Consulting Co.,Ltd, colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management by advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. | 26/2015 | Criminal Complaints | The public prosecutor issued a prosecution order against the accused. | |
| 2017 | 16/02/2015 | Mrs. Vacharee Ngamkaiwan | 307 308 311 312 313 in conjunction with Section 83 of the Penal Code / SEC Act | Between 2010 and 2011, Mrs. Vacharee Ngamkaiwan, Director and Deputy CEO of Thai Unique Coil Center Plc. (TUCC) , who was responsible for the operation of TUCC and entrusted to manage the property of TUCC, together with (1) Mr. Yongyuth Ngamkaiwan, Director and CEO,
(2) Mrs. Suchit Rungcharoenchai, Ex-TUCC Director, Deputy CEO, and CFO, (3) Miss Nitaya Yongphithakwatana, TUCC Director and General Administration Department Director, and (4) Miss Suttirat Sewee, TUCC Director and Finance and Account Department Director, dishonestly violated their duties, obtained unlawful gains for themselves and/or other persons and made false records on purchase of black steel from eight companies totaling 529,529,326.15 baht and sale of black steel to BF Intertrade Co., Ltd. (BF), K.S.C Stainless Product Co., Ltd. and Thai Niche Co., Ltd. (Thai Niche), (KSC), with support
from (5) BF, (6) KSC, (7) Miss Jalernrat Chuenwiratsakul, BF & KSC Director, and (8) Thai Niche, Their action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307, 308, 311, and 313 of the said Act.
| 15/2015 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 2018 | 16/02/2015 | Mrs. Suchit Rungcharoenchai | 307 308 311 312 313 in conjunction with Section 83 of the Penal Code / SEC Act | Between 2010 and 2011, Mrs. Suchit Rungcharoenchai, Ex-TUCC Director, Deputy CEO, and CFO of Thai Unique Coil Center Plc. (TUCC) , who was responsible for the operation of TUCC and entrusted to manage the property of TUCC, together with (1) Mr. Yongyuth Ngamkaiwan, Director and CEO, (2) Mrs. Vacharee Ngamkaiwan, TUCC Director and Deputy CEO, (3) Miss Nitaya Yongphithakwatana, TUCC Director and General Administration Department Director, and (4) Miss Suttirat Sewee, TUCC Director and Finance and Account Department Director, dishonestly violated their duties, obtained unlawful gains for themselves and/or other persons and made false records on purchase of
black steel from eight companies totaling 529,529,326.15 baht and sale of black steel to BF Intertrade Co., Ltd. (BF), K.S.C Stainless Product Co., Ltd. and Thai Niche Co., Ltd. (Thai Niche), (KSC), with support from (5) BF, (6) KSC, (7) Miss Jalernrat Chuenwiratsakul, BF & KSC Director, and (8) Thai Niche, Their action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307, 308, 311, and 313 of the said Act.
| 15/2015 | Criminal Complaints | This case is under consideration of the appeal court.
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| 2019 | 16/02/2015 | Miss Suttirat Sewee | 307 308 311 312 313 in conjunction with Section 83 of the Penal Code / SEC Act | Between 2010 and 2011, Miss Suttirat Sewee, Director and Finance and Account Department Director, of Thai Unique Coil Center Plc. (TUCC) , who was responsible for the operation of TUCC and entrusted to manage the property of TUCC, together with (1) Mr. Yongyuth Ngamkaiwan, Director and CEO, (2) Mrs. Vacharee Ngamkaiwan, TUCC Director and Deputy CEO, (3) Mrs. Suchit Rungcharoenchai, Ex-TUCC Director, Deputy CEO, and CFO, and (4) Miss Nitaya Yongphithakwatana, TUCC Director and General Administration Department Director, dishonestly violated their duties, obtained unlawful gains for themselves and/or other persons and made false records on purchase of black steel from eight companies totaling 529,529,326.15 baht and sale of black steel to BF Intertrade Co., Ltd. (BF), K.S.C Stainless Product Co., Ltd. and Thai Niche Co., Ltd. (Thai Niche), (KSC), with support from (5) BF, (6) KSC, (7) Miss Jalernrat Chuenwiratsakul, BF & KSC Director, and (8) Thai Niche, Their action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307, 308, 311, and 313 of the said Act. | 15/2015 | Criminal Complaints | This case is under consideration of the appeal court.
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| 2020 | 16/02/2015 | BF Intertrade Company Limited | 312 315 / SEC Act | BF Intertrade Company Limited aided and abetted the executive of Thai Unique Coil Center Public Company Limited (TUCC) : (1) Mr. Yongyuth Ngamkaiwan, Director and CEO, (2) Mrs. Vacharee Ngamkaiwan, TUCC Director and Deputy CEO, (3) Mrs. Suchit Rungcharoenchai, EX-TUCC Director, Deputy CEO, and CFO, (4) Miss Nitaya Yongphithakwatana, TUCC Director and General Administration Department Director, and (5) Miss Suttirat Sewee, TUCC Director and Finance and Account Department Director, is making false record on sale of black steel.
| 15/2015 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 2021 | 16/02/2015 | K.S.C Stainless Products Company Limited | 312 315 / SEC Act | K.S.C Stainless Products Company Limited aided and abetted the executive of Thai Unique Coil Center Public Company Limited (TUCC) : (1) Mr. Yongyuth Ngamkaiwan, Director and CEO, (2) Mrs. Vacharee Ngamkaiwan, TUCC Director and Deputy CEO, (3) Mrs. Suchit Rungcharoenchai, EX-TUCC Director, Deputy CEO, and CFO, (4) Miss Nitaya Yongphithakwatana, TUCC Director and General Administration Department Director, and (5) Miss Suttirat Sewee, TUCC Director and Finance and Account Department Director, is making false record on sale of black steel.
| 15/2015 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 2022 | 16/02/2015 | Miss Jalernrat Chunwiratsakul | 312 315 / SEC Act | Miss Jalernrat Chunwiratsakul ,director of BF Intertrade Company Limited and K.S.C Stainless Products Company Limited, aided and abetted the executive of Thai Unique Coil Center Public Company Limited (TUCC) : (1) Mr. Yongyuth Ngamkaiwan, Director and CEO, (2) Mrs. Vacharee Ngamkaiwan, TUCC Director and Deputy CEO, (3) Mrs. Suchit Rungcharoenchai, EX-TUCC Director, Deputy CEO, and CFO, (4) Miss Nitaya Yongphithakwatana, TUCC Director and General Administration Department Director, and (5) Miss Suttirat Sewee, TUCC Director and Finance and Account Department Director, is making false record on sale of black steel. | 15/2015 | Criminal Complaints | This case is under consideration of the appeal court.
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| 2023 | 16/02/2015 | Thai Niche Company Limited | 312 315 / SEC Act | Thai Niche Company Limited aided and abetted the executive of Thai Unique Coil Center Public Company Limited (TUCC) : (1) Mr. Yongyuth Ngamkaiwan, Director and CEO, (2) Mrs. Vacharee Ngamkaiwan, TUCC Director and Deputy CEO, (3) Mrs. Suchit Rungcharoenchai, EX-TUCC Director, Deputy CEO, and CFO, (4) Miss Nitaya Yongphithakwatana, TUCC Director and General Administration Department Director, and (5) Miss Suttirat Sewee, TUCC Director and Finance and Account Department Director, is making false record on sale of black steel. | 15/2015 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2024 | 05/02/2015 | ASCON Construction Public Company Limited | 56 and 199 / SEC Act | ASCON Public Company Limited (ASCON) failed to prepare and submit the financial statements for the six-month period ended June 30, 2014 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2025 | 05/02/2015 | Mr. Pattanapong Dhanumataya | 300 / SEC Act | Mr. Pattanapong Dhanumataya, as managing director responsible for the operation of ASCON Construction PLC (ASCON), failed to supervise ASCON to prepare and submit the financial statements for the six-month period ended June 30, 2014 to the SEC and the SET with in the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2026 | 15/01/2015 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited failed to prepare and submit the reviewed financial statements for Q2/2014 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2027 | 15/01/2015 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, the managing director responsible for the operation of Yarnapund Public Company Limited (YNP), failed to supervise YNP to prepare and submit the reviewed financial statements for Q2/2014 to the SEC within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2028 | 19/12/2014 | Mr. Yuttana Lipirodkul | 90 / SEC Act | Mr. Yuttana Lipirodkul operated securities and derivatives businesses without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively. | 181/2014 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | Mr. Yuttana’s act violated the Derivatives Act B.E. 2546 (2003), Section 16 also. |
| 2029 | 19/12/2014 | Mr. Yongyuth Ngamkaiwan | 56 and 199 / SEC Act | Mr. Yongyuth Ngamkaiwan, the Chairman Executive Officer of the planner (TUCC), responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare and submit the reviewed financial statements for Q2/2014 and the reviewed financial statements for Q3/2014 to the SEC and the SET within specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2030 | 19/12/2014 | Thai Unique Coil Center Public Company Limited | 56 and 199 / SEC Act | Thai Unique Coil Center Public Company Limited, failed to prepare and submit the reviewed financial statements for Q2/2014 and the reviewed financial statements for Q3/2014 to the SEC and the SET within specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. | |
| 2031 | 29/10/2014 | Professional Waste Technology (1999) Public Company Limited | 56(1) in conjunction with 199 / SEC Act | Professional Waste Technology (1999) Public Company Limited failed to prepare and submit (1) the reviewed financial statements for Q1/2014, (2) the reviewed financial statements for Q2/2014 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 597,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 298,500 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. In addition to (1) the reviewed financial statements for Q1/2014, (2) the reviewed financial statements for Q2/2014, ) the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2032 | 29/10/2014 | Mr. Kriengkrai lertsirisamphan | 300 / SEC Act | Mr. Kriengkrai lertsirisamphan, the chairman of the executive committee (acting) and the managing director (acting) responsible for the operation of Professional Waste Technology (1999) Public Company Limited (PRO), failed to supervise PRO to prepare and submit (1) the reviewed financial statements for Q1/2014, (2) the reviewed financial statements for Q2/2014 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 597,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 298,500 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. In addition to (1) the reviewed financial statements for Q1/2014, (2) the reviewed financial statements for Q2/2014, ) the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2033 | 03/10/2014 | L.V. Technology Public Company Limited | Section 56(1)(3) / SEC Act | L.V. Technology Public Company Limited, failed to prepare and submit (1) the annual report for
the year 2013 (Form 56-2, 2013) (2) the reviewed financial statements for Q1/ 2014, and (3) the reviewed financial statements for Q2/2014 to the SEC and the SET within the specified period.
| | Criminal Complaints | The Criminal Court ordered the defendant to pay a fine of Baht 260,500 and a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the reviewed financial statements for Q1/2014 and the reviewed financial statements for Q2/2014. Since the defendant pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 130,250 and a further fine of Baht 250 for each day starting from the next day of prosecution date until the company so complies. | |
| 2034 | 03/10/2014 | Mr. Punya Kritiyawong | 300 / SEC Act | Mr. Punya Kritiyawong, the managing director responsible for the operation of L.V. Technology Public Company Limited (LVT),failed to supervise LVT to prepare and submit the reviewed financial statements for Q2/2014 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court ordered the defendant to pay a fine of Baht 60,000 and a further fine of Baht 500 for each and everyday starting from the next day of prosecution date until the company so complies. Since the defendant pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 30,000 and a further fine of Baht 250 for each and everyday starting from the next day of prosecution date until the company so complies. | |
| 2035 | 15/09/2014 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited failed to prepare and submit the reviewed financial statements for Q1/2014 to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a fine of Baht 234,500. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 117,250 and a further fine of Baht 250 each day starting from the next day of the prosecution date until the company so complies. | |
| 2036 | 15/09/2014 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, the managing director responsible for the operation of Yarnapund Public Company Limited (YNP), failed to supervise YNP to prepare and submit the reviewed financial statements for Q1/2014 to the SEC within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a fine of Baht 234,500. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 117,250 and a further fine of Baht 250 each day starting from the next day of the prosecution date until the company so complies. | |
| 2037 | 09/09/2014 | Miss Arada Lertpinyopap | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | From July 21 and August 20, 2007, Miss Arada Lertpinyopap colluded or agreed with Mr. Porntep Thawornwisuthikul, Mr. Naruephol Chatchalermvit, another unknown person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts and five other persons who agreed to enter the settlement, to trade shares of Union Petrochemical Public Company Limited (UKEM) through seven securities trading accounts in concealment, on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing inconsistency with normal market condition. The scheme was aided or abetted by Mr. Prayuth Lertpinyopap, Miss Karuna Kaewmanee, and five other persons who agreed to enter the settlement. | 128/2014 | Criminal Complaints | The accused escaped. | |
| 2038 | 09/09/2014 | An unknown person | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | From July 21 and August 20, 2007, Another unknown person person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts colluded or agreed with Mr. Porntep Thawornwisuthikul, Miss Arada Lertpinyopap, Mr. Naruephol Chatchalermvit and five other persons five other persons who agreed to enter the settlement, to trade shares of Union Petrochemical Public Company Limited (UKEM) through seven securities trading accounts in concealment, on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing inconsistency with normal market condition. The scheme was aided or abetted by Mr. Prayuth Lertpinyopap, Miss Karuna Kaewmanee, and five other persons who agreed to enter the settlement. | 128/2014 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2039 | 09/09/2014 | Mr. Prayuth Lertpinyopap | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code / SEC Act | From July 21 to August 20, 2007, Mr. Prayuth Lertpinyopap aided or abetted Mr. Porntep Thawornwisuthikul, Miss Arada Lertpinyopap, Mr. Naruephol Chatchalermvit, another unknown person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts and five other persons who agreed to enter the settlement, to trade shares of Union Petrochemical Public Company Limited (UKEM) through seven securities trading accounts in concealment, on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing inconsistency with normal market condition. The scheme was aided or abetted by Miss Karuna Kaewmanee, and five other persons who agreed to enter the settlement. | 128/2014 | Criminal Complaints | The accused escaped. | |
| 2040 | 09/09/2014 | Miss Karuna Kaewmanee | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code / SEC Act | From July 21 and August 20, 2007, Miss Karuna Kaewmanee aided or abetted Mr. Porntep Thawornwisuthikul, Miss Arada Lertpinyopap, Mr. Naruephol Chatchalermvit, another unknown person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts and five other persons who who agreed to enter the settlement, to trade shares of Union Petrochemical Public Company Limited (UKEM) through seven securities trading accounts in concealment, on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing inconsistency with normal market condition. The scheme was aided or abetted by Mr. Prayuth Lertpinyopap, and five other persons who agreed to enter the settlement.
| 128/2014 | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped. | |
| 2041 | 26/08/2014 | Datamat Public Company Limited | 199 in conjunction with 56(3) / SEC Act | Datamat Public Company Limited failed to prepare and submit the copy of annual report for the year 2013 (Form 56-2, 2013) to the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2042 | 26/08/2014 | Mr. Abinash Majhi | 300 / SEC Act | Mr. Abinash Majhi, as a director responsible for the operation of Datamat Public Company Limited (DTM), failed to supervise DTM to prepare and submit the copy of annual report for the year 2013 (Form 56-2, 2013) to the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2043 | 26/08/2014 | Mr. Bho Boonsiri | 300 / SEC Act | Mr. Bho Boonsiri, as a director responsible for the operation of Datamat Public Company Limited (DTM), failed to supervise DTM to prepare and submit the copy of annual report for the year 2013 (Form 56-2, 2013) to the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2044 | 25/08/2014 | Scan Global Public Company Limited | 56(3) / SEC Act | Scan Global Public Company Limited failed to prepare and submit the annual report for the year 2013 (Form 56-2, 2013) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 362,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 181,000 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. In addition to the annual report for the year 2013 (Form 56-2), 2013 the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2045 | 25/08/2014 | Mr. Vannivat Srikraiwin | 300 / SEC Act | Mr. Vannivat Srikraiwin, the chairman responsible for the operation of Scan Global Public Company Limited (SCAN),failed to supervise SCAN to prepare and submit the annual report for the year 2013 (Form 56-2, 2013) to the SEC and the SET within the specified period | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 362,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 181,000 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. In addition to the annual report for the year 2013 (Form 56-2), 2013 the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2046 | 25/08/2014 | SMC Power Public Company Limited | 199 in conjunction with 56(3) / SEC Act | SMC Power Public Company Limited failed to prepare and submit the annual report for the year 2013 (Form 56-2, 2013) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 362,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 181,000 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. In addition to the annual report for the year 2013 (Form 56-2), 2013 the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2047 | 25/08/2014 | Mr. Vannivat Srikraiwin | 300 / SEC Act | Mr. Vannivat Srikraiwin, the chairman responsible for the operation of SMC Power Public Company Limited (SMC), failed to supervise SMC to prepare and submit the annual report for the year 2013 (Form 56-2, 2013) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 362,000 and a further fine of Baht 1,000 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 181,000 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. In addition to the annual report for the year 2013 (Form 56-2), 2013 the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2048 | 08/08/2014 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited failed to prepare and submit the annual report for the year 2013 (Form 56-2, 2013) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay fines of Baht 242,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in fines of Baht 121,000 and a further fine of Baht 250 each day starting from the next day of the prosecution date until the company so complies. | |
| 2049 | 08/08/2014 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, the managing director responsible for the operation of Yarnapund Public Company Limited (YNP), failed to supervise YNP to prepare and submit the annual report for the year 2013 (Form 56-2, 2013) to the SEC within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay fines of Baht 242,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in fines of Baht 121,000 and a further fine of Baht 250 each day starting from the next day of the prosecution date until the company so complies. | |
| 2050 | 29/07/2014 | Scan Global Public Company Limited | Section 56(1)(2)(4) / SEC Act | Scan Global Public Company Limited failed to prepare and submit (1) the audited financial statements for the year 2013, and (2) the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 201,200 and a further fine of Baht 400 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 100,600 and a further fine of Baht 200 each day starting from the next day of prosecution date until the company so complies. In addition to (1) the audited financial statements for the year 2013, (2) the annual registration statement for the year 2013 (Form 56-1, 2013) the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2051 | 29/07/2014 | Mr. Vannivat Srikraiwin | 300 / SEC Act | Mr. Vannivat Srikraiwin, the chairman responsible for the operation of Scan Global Public Company Limited (SCAN),failed to supervise SCAN to prepare and submit (1) the audited financial statements for the year 2013, and (2) the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 201,200 and a further fine of Baht 400 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 100,600 and a further fine of Baht 200 each day starting from the next day of prosecution date until the company so complies. In addition to (1) the audited financial statements for the year 2013, (2) the annual registration statement for the year 2013 (Form 56-1, 2013) the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2052 | 29/07/2014 | Mr. Vannivat Srikraiwin | 300 / SEC Act | Mr. Vannivat Srikraiwin, the chairman responsible for the operation of SMC Power Public Company Limited (SMC), failed to supervise SMC to prepare and submit (1) the audited financial statements for the year 2013, and (2) the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 237,000 and a further fine of Baht 300 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 118,500 and a further fine of Baht 150 each day starting from the next day of prosecution date until the company so complies. In addition to (1) the audited financial statements for the year 2013, (2) the annual registration statement for the year 2013 (Form 56-1, 2013) the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2053 | 29/07/2014 | SMC Power Public Company Limited | 199 and 56(1)(2)(4) / SEC Act | SMC Power Public Company Limited failed to prepare and submit (1) the audited financial statements for the year 2013, and (2) the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 237,000 and a further fine of Baht 300 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 118,500 and a further fine of Baht 150 each day starting from the next day of prosecution date until the company so complies. In addition to (1) the audited financial statements for the year 2013, (2) the annual registration statement for the year 2013 (Form 56-1, 2013) the public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2054 | 14/07/2014 | Professional Waste Technology (1999) Public Company Limited | 56(4) / SEC Act | Professional Waste Technology (1999) Public Company Limited failed to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 389,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 194,500 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies.
| |
| 2055 | 14/07/2014 | Mr. Kriengkrai lertsirisamphan | 300 in conjunction with 56(4) / SEC Act | Mr. Kriengkrai lertsirisamphan, the chairman of the executive committee (acting) and the managing director (acting) responsible for the operation of Professional Waste Technology (1999) Public Company Limited (PRO), failed to supervise PRO to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC and the SET within the specified period. | | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 389,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 194,500 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. | |
| 2056 | 04/06/2014 | SINGHA PARATECH PUBLIC COMPANY LIMITED | 56 and 199 / SEC Act | Singha Paratech Public Company Limited, failed to prepare and submit the financial statements for the year 2013 and the annual registration statement for the year 2013 (Form 56-1) to the SEC and the SET within the specified period.
| | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 418,500. Since the accused pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 209,250 and a further fine of Baht 1000 for everyday during which the contravention continued. | |
| 2057 | 04/06/2014 | Mr. Kosin Bosereewong | 300 / SEC Act | Mr. Kosin Bosereewong, the planner, responsible for the operation of Singha Paratech Public Company Limited (SINGHA), failed to supervise SINGHA to prepare and submit the financial statements for the year 2013 and the annual registration statement for the year 2013 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board.
| | Criminal Complaints | The Criminal Court sentenced the accused to pay a total fine of Baht 418,500. Since the accused pleaded guilty, the Court reduced the fines by half, resulting in a fine of Baht 209,250 and a further fine of Baht 1000 for everyday during which the contravention continued. | |
| 2058 | 12/05/2014 | Mr. Porntep Thawornwisuthikul | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | From May 10 to July 31, 2007, Mr. Porntep Thawornwisuthikul, a former executive of United Securities Plc., colluded with Ms. Angkakarn Tantiviroon, an executive of Rich Asia Steel Plc. (RICH), Ms. Arada Lertpinyopap, a former executive of United Securities Plc., Mr. Somdaj Leeswadtrakul, and Mr. Suriya Lapvisuthisin to trade RICH shares in concealment through 15 related persons’ securities trading accounts. They traded RICH shares on a continual basis and matched orders within the group to mislead the general public in RICH share trading values and volumes, causing inconsistency with normal market condition. In the scheme, Mr. Sun Dongvanpakdee and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts. | 68/2014 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 2059 | 12/05/2014 | Ms. Arada Lertpinyopap | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | From May 10 to July 31, 2007, Ms. Arada Lertpinyopap, a former executive of United Securities Plc., colluded with Ms. Angkakarn Tantiviroon, an executive of Rich Asia Steel Plc. (RICH), Mr. Porntep Thawornwisuthikul, a former executive of United Securities Plc., Mr. Somdaj Leeswadtrakul, and Mr. Suriya Lapvisuthisin to trade RICH shares in concealment through 15 related persons’ securities trading accounts. They traded RICH shares on a continual basis and matched orders within the group to mislead the general public in RICH share trading values and volumes, causing inconsistency with normal market condition. In the scheme, Mr. Sun Dongvanpakdee and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts. | 68/2014 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 2060 | 12/05/2014 | Mr. Somdaj Leeswadtrakul | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | From May 10 to July 31, 2007, Mr. Somdaj Leeswadtrakul colluded with Ms. Angkakarn Tantiviroon, an executive of Rich Asia Steel Plc. (RICH), Mr. Porntep Thawornwisuthikul and Ms. Arada Lertpinyopap, former executives of United Securities Plc., as well as Mr. Suriya Lapvisuthisin to trade RICH shares in concealment through 15 related persons’ securities trading accounts. They traded RICH shares on a continual basis and matched orders within the group to mislead the general public in RICH share trading values and volumes, causing inconsistency with normal market condition. In the scheme, Mr. Sun Dongvanpakdee and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts. | 68/2014 | Criminal Complaints | the special case inquiry official dismissed the case because the statute of limitations ran out. | |
| 2061 | 12/05/2014 | Mr. Suriya Lapvisuthisin | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | From May 10 to July 31, 2007, Mr. Suriya Lapvisuthisin colluded with Ms. Angkakarn Tantiviroon, an executive of Rich Asia Steel Plc. (RICH), Mr. Porntep Thawornwisuthikul and Ms. Arada Lertpinyopap, former executives of United Securities Plc., as well as Mr. Somdaj Leeswadtrakul to trade RICH shares in concealment through 15 related persons’ securities trading accounts. They traded RICH shares on a continual basis and matched orders within the group to mislead the general public in RICH share trading values and volumes, causing inconsistency with normal market condition. In the scheme, Mr. Sun Dongvanpakdee and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts. | 68/2014 | Criminal Complaints | the special case inquiry official dismissed the case because the statute of limitations ran out. | |
| 2062 | 12/05/2014 | Mr. Sun Dongvanpakdee | 243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code / SEC Act | From May 10 to July 31, 2007, Mr. Sun Dongvanpakdee aided or abetted Ms. Angkakarn Tantiviroon, an executive of Rich Asia Steel Plc. (RICH), Mr. Porntep Thawornwisuthikul and Ms. Arada Lertpinyopap, former executives of United Securities Plc., Mr. Somdaj Leeswadtrakul, as well as Mr. Suriya Lapvisuthisin in manipulating RICH shares in concealment through 15 related persons’ securities trading accounts by allowing others to use his trading account. | 68/2014 | Criminal Complaints | the special case inquiry official dismissed the case because the statute of limitations ran out. | |
| 2063 | 09/04/2014 | S D Global | 90 / SEC Act | S D Global operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 47/2014 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2064 | 09/04/2014 | Seandar Inc. | 90 / SEC Act | Seandar Inc. (or Seandar) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 47/2014 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2065 | 09/04/2014 | Mr. Huang Young Lin | 90 / SEC Act | Mr. Huang Young Lin (or Yong Lin Huang) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 47/2014 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2066 | 09/04/2014 | Mr. Tang Tia Julien | 90 / SEC Act | Mr. Tang Tia Julien (or Tia Julien Tang) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 47/2014 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2067 | 09/04/2014 | Mr. Teh Cheng Huat | 90 / SEC Act | Mr. Teh Cheng Huat (or Cheng Huat Teh) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. | 47/2014 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2068 | 09/04/2014 | Seandar Inc. | 16 / DV Act | Seandar Inc. (or Seandar, Seandar Limited, Seandar Inc. Limited, Seandar (Asia) Ltd., Seandar Europe, Seandarfx) operated derivatives business without obtaining license or registration from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125. | 47/2014 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2069 | 09/04/2014 | Mr. Matthew Christensen | 16 / DV Act | Matthew Christensen operated derivatives business without obtaining license or registration from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125. | 47/2014 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2070 | 16/01/2014 | Mr.Chanchai Lekvijitthada | 315 / SEC Act | Mr.Chanchai Lekvijitthada, as the managing director of Rayong Wire Industries, aided and abetted Mr. Suriya Lapvisuthisin, Mr. Sonthaya Noicharoen and Mr. Pirom Priyawat to misappropriate 80.1 million Baht from Rayong Wire Industries, an Eastern Wire subsidiary, through a contract for advanced procurement of raw materials with Union Gas and Chemicals Co., Ltd. in 2004. | | Criminal Complaints | | |
| 2071 | 16/01/2014 | Ms. Suchanya Lapwisuthisin | 315 / SEC Act | Miss Suchanya Lapvisuthisin as the managing director responsible for the operation of Union Gas, aided and abetted Mr. Suriya Lapvisuthisin, Mr. Sonthaya Noicharoen and Mr. Pirom Priyawat to misappropriate 80.1 million Baht from Rayong Wire Industries, an Eastern Wire subsidiary, through a contract for advanced procurement of raw materials with Union Gas and Chemicals Co., Ltd. in 2004. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped and an arrest warrant was issued to bring the alleged offender to trial. | |
| 2072 | 31/10/2013 | Singha Paratech Public Company Limited | 56 and 199 / SEC Act | Singha Paratech Public Company Limited, failed to prepare and submit the financial statements for the year 2012 and the annual registration statement for the year 2012 (Form 56-1) to the SEC and the SET within the specified period. | | Criminal Complaints | | |
| 2073 | 25/10/2013 | Mr. Vannivat Srikraivin | 300 in conjunction with 56(1) / SEC Act | Mr. Vannivat Srikraivin, the chairman responsible for the operation of Scan Global Public Company Limited (SCAN), failed to supervise SCAN to prepare and submit the reviewed financial statements for Q1/2013 and Q2/2013 to the SEC and the SET within the specified period. | | Criminal Complaints | The Bangkok South Criminal Court sentenced the accused to pay a total fine of Baht 347,500 and a further fine of Baht 500 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 173,750 and a further fine of Baht 1,500 each day starting from the next day of prosecution date until the company so complies. | |
| 2074 | 16/10/2013 | Datamat PLC | 199 in conjunction with 56(4) / SEC Act | Datamat PLC (DTM) failed to prepare and submit the financial statements for the six-month period ended June 30, 2013 to the SEC and the SET within the specified period. | | Criminal Complaints | A statute of limitations ran out during consideration of inquiry offercial. | |
| 2075 | 16/10/2013 | Mr. Bho Boonsiri | 300 / SEC Act | Mr. Bho Boonsiri, as managing director responsible for the operation of Datamat PLC (DTM), failed to supervise DTM to prepare and submit the financial statements for the six-month period ended June 30, 2013 to the SEC and the SET within the specified period. | | Criminal Complaints | A statute of limitations ran out during consideration of inquiry offercial. | |
| 2076 | 16/10/2013 | Mr. Abinash Majhi | 300 / SEC Act | Mr. Abinash Majhi, as managing director responsible for the operation of Datamat PLC (DTM), failed to supervise DTM to prepare and submit the financial statements for the six-month period ended June 30, 2013 to the SEC and the SET within the specified period. | | Criminal Complaints | A statute of limitations ran out during consideration of inquiry offercial. | |
| 2077 | 08/10/2013 | Mr. Sanpapol Rattanarungroj | 300 / SEC Act | Mr. Sanpapol Rattanarungroj , as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the financial statements for Q1/2013 and Q2/2013 to the SEC and the SET within the specified period. | | Criminal Complaints | | |
| 2078 | 08/10/2013 | S.E.C. Auto Sales and Services PLC | 56 and 199 / SEC Act | S.E.C. Auto Sales and Services PLC failed to prepare and submit the financial statements for Q1/2013 and Q2/2013 to the SEC and the SET within the specified period. | | Criminal Complaints | This case is preclude by prescription. | |
| 2079 | 30/09/2013 | Ms. Lalana Sirijanyakul | 246 / SEC Act | During April 10, 2007 to May 15, 2007, Ms. Lalana Sirijanyakul failed to report on her acquistion or disposal of shares of Traffic Corner Holdings Plc. (TRAF)(Presently M Picture Entertainment) in form 246-2 to the SEC Office within the specified period after she acquired or disposed Traf shares by herself and through others. So that her aggregate holding of such shares pased a multiple of five percent of the total number of paid-up securities of TRAF as the case maybe. | | Criminal Complaints | | |
| 2080 | 18/09/2013 | Mr. Taweesak Vayakornvijit | 300 / SEC Act | Mr. Taweesak Vayakornvijit, as managing director responsible for the operation of Sunwood PLC (SUN, failed to supervise SUN to prepare and submit the audited financial statements for the year 2012, the annual registration statement for the year 2012 (Form 56-1, 2012) and the financial statements for the six-month period ended June 30, 2013 to the SEC and the SET within the specified period. | | Criminal Complaints | On February 27, 2014, the Bangkok South Criminal Court sentenced the accused to pay a fine of Baht 232,200 and a further fine of Baht 200 each day. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 116,100 and a further fine of Baht 100 each day starting from the next day of prosecution date until the company so complies. | |
| 2081 | 18/09/2013 | California Wow Xperience Public Company Limited | 56 and 199 / SEC Act | California Wow Xperience Public Company Limited (CAWOW) failed to prepare and submit (1) the reviewed financial statements for Q4/2012, (2) the audited financial statements for the year 2012, (3) the annual registration statement for the year 2012 (Form 56-1, 2012), (4) the annual report for the year 2012 (Form 56-2, 2012), and (5) the reviewed financial statements for Q1/2013 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2082 | 18/09/2013 | Mr. George Saab | 300 / SEC Act | Mr. George Saab, the director responsible for the operation of California Wow Xperience Public Company Limited (CAWOW), failed to supervise CAWOW to prepare and submit (1) the reviewed financial statements for Q4/2012, (2) the audited financial statements for the year 2012, (3) the annual registration statement for the year 2012 (Form 56-1, 2012), (4) the annual report for the year 2012 (Form 56-2, 2012), and (5) the reviewed financial statements for Q1/2013 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2083 | 05/09/2013 | Mr. Todsapon Buachaiyo | 303 / SEC Act | Mr. Todsapon Buachaiyo failed to comply with the competent officer's order. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2084 | 29/08/2013 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited failed to prepare and submit the reviewed financial statements for Q1/2013 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2085 | 29/08/2013 | Mr. Palits Phanpanit | 56 and 199 / SEC Act | Mr. Palits Phanpanit, the managing director responsible for the operation of Yarnapund Public Company Limited (YNP), failed to supervise YNP to prepare and submit the reviewed financial statements for Q1/2013 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2086 | 08/08/2013 | Mr. Suthisak Lohsawat | 307 308 311 312 313 315 89/7 / SEC Act | Mr. Suthisak Lohsawat, former director and chief executive officer of Agro Industrial Machinery Plc. (AMAC) (Presently Max Metal Corporation Plc. (MAX)), together with Mr. Mana Sethaputra, Miss Wacharee Unnoppetchara, Mrs. Penny Tossacharoonkiat, Mr. Nipon Phoophagaphanphong, Mr. Piyawat Makcharoen,
Mrs. Darunee Phu-ngoen and Miss Paphawin Pinwatthana jointly acted colluded, or aided and abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements concerning purchasing raw materials, hiring for spare parts mold production, selling goods, assembling engines, as well as receiving of returned goods and disassembling of engines and spare parts for auction as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be. The said actions also caused damage to the company but brought about benefits to Mr. Suthisak Lohsawat and a juristic person whose major shareholders are Mrs. Darunee Phu-ngoen and Miss Paphawin Pinwatthana. Their actions were therefore deemed in contravention of and shall be liable to the penalty under Sections 307, 308, 311, 313 and 315 of the SEA as well as a violation of Section 89/7 of the same Act, as the case may be.
| 77/2013 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2087 | 08/08/2013 | Mr. Mana Sethaputra | 312 315 / SEC Act | Mr. Mana Sethaputra, former managing director of Agro Industrial Machinery Plc. (AMAC) (Presently Max
Metal Corporation Plc. (MAX)), together with Mr. Suthisak Lohsawat, Miss Wacharee Unnoppetchara,
Mrs. Penny Tossacharoonkiat, Mr. Nipon Phoophagaphanphong, Mr. Piyawat Makcharoen,
Mrs. Darunee Phu-ngoen and Miss Paphawin Pinwatthana jointly acted colluded, or aided and abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements concerning purchasing raw materials, hiring for spare parts mold production, selling goods, assembling engines, as well as receiving of returned goods and disassembling of engines and spare parts for auction as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312
and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be.
| 77/2013 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2088 | 08/08/2013 | Miss Wacharee Unnoppetchara | 312 315 / SEC Act | Miss Wacharee Unnoppetchara, former director and purchasing manager of Agro Industrial Machinery Plc. (AMAC) (Presently Max Metal Corporation Plc. (MAX)), together with Mr. Suthisak Lohsawat, Mr. Mana Sethaputra, Mrs. Penny Tossacharoonkiat, Mr. Nipon Phoophagaphanphong, Mr. Piyawat Makcharoen,
Mrs. Darunee Phu-ngoen and Miss Paphawin Pinwatthana jointly acted colluded, or aided and abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements concerning purchasing raw materials, hiring for spare parts mold production, selling goods, assembling engines, as well as receiving of returned goods and disassembling of engines and spare parts for auction as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be.
| 77/2013 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2089 | 08/08/2013 | Mrs. Penny Tossacharoonkiat | 312 315 / SEC Act | Mrs. Penny Tossacharoonkiat, former account & finance manager of Agro Industrial Machinery Plc. (AMAC) (Presently Max Metal Corporation Plc. (MAX)), together with Mr. Suthisak Lohsawat, Mr. Mana Sethaputra, Miss Wacharee Unnoppetchara, Mr. Nipon Phoophagaphanphong, Mr. Piyawat Makcharoen,
Mrs. Darunee Phu-ngoen and Miss Paphawin Pinwatthana jointly acted colluded, or aided and abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements concerning purchasing raw materials, hiring for spare parts mold production, selling goods, assembling engines, as well as receiving of returned goods and disassembling of engines and spare parts for auction as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be.
| 77/2013 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2090 | 08/08/2013 | Mr. Nipon Phoophagaphanphong | 312 315 / SEC Act | Mr. Nipon Phoophagaphanphong, former purchasing manager of Agro Industrial Machinery Plc. (AMAC) (Presently Max Metal Corporation Plc. (MAX)), together with Mr. Suthisak Lohsawat, Mr. Mana Sethaputra, Miss Wacharee Unnoppetchara, Mrs. Penny Tossacharoonkiat, Mr. Piyawat Makcharoen,
Mrs. Darunee Phu-ngoen and Miss Paphawin Pinwatthana jointly acted colluded, or aided and abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements concerning purchasing raw materials, hiring for spare parts mold production, selling goods, assembling engines, as well as receiving of returned goods and disassembling of engines and spare parts for auction as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be.
| 77/2013 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2091 | 08/08/2013 | Mr. Piyawat Makcharoen | 312 315 / SEC Act | Mr. Piyawat Makcharoen, former factory manager of Agro Industrial Machinery Plc. (AMAC) (Presently
Max Metal Corporation Plc. (MAX)), together with Mr. Suthisak Lohsawat, Mr. Mana Sethaputra,
Miss Wacharee Unnoppetchara, Mrs. Penny Tossacharoonkiat, Mr. Nipon Phoophagaphanphong,
Mrs. Darunee Phu-ngoen and Miss Paphawin Pinwatthana jointly acted colluded, or aided and abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements concerning purchasing raw materials, hiring for spare parts mold production, selling goods, assembling engines, as well as receiving of returned goods and disassembling of engines and spare parts for auction as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be.
| 77/2013 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2092 | 08/08/2013 | Mrs. Darunee Phu-ngoen | 307 308 311 312 315 / SEC Act | Mrs. Darunee Phu-ngoen (or Darunee Jaihant), personal assistant to Mr. Suthisak Lohsawat, former director and chief executive officer of Agro Industrial Machinery Plc. (AMAC) (Presently Max Metal Corporation Plc. (MAX)), together with Mr. Suthisak Lohsawat, Mr. Mana Sethaputra, Miss Wacharee Unnoppetchara, Mrs. Penny Tossacharoonkiat, Mr. Nipon Phoophagaphanphong, Mr. Piyawat Makcharoen and Miss Paphawin Pinwatthana jointly acted colluded, or aided and abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements concerning purchasing raw materials, hiring for spare parts mold production, selling goods, assembling engines, as well as receiving of returned goods and disassembling of engines and spare parts for auction as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be. The said actions also caused damage to the company but brought about benefits to Mr. Suthisak Lohsawat and a juristic person whose major shareholders are Mrs. Darunee Phu-ngoen and Miss Paphawin Pinwatthana. Mrs. Darunee Phu-ngoen shall be liable to the penalty under Sections 307, 308, 311 of the same Act, as the case may be.
| 77/2013 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2093 | 08/08/2013 | Miss Paphawin Pinwatthana | 312 315 / SEC Act | Miss Paphawin Pinwatthana, personal secretary to Mr. Suthisak Lohsawat, former director and chief executive officer of Agro Industrial Machinery Plc. (AMAC) (Presently Max Metal Corporation Plc. (MAX)), together with Mr. Suthisak Lohsawat, Mr. Mana Sethaputra, Miss Wacharee Unnoppetchara, Mrs. Penny Tossacharoonkiat, Mr. Nipon Phoophagaphanphong, Mr. Piyawat Makcharoen and Mrs. Darunee Phu-ngoen jointly acted colluded, or aided and abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements concerning purchasing raw materials, hiring for spare parts mold production, selling goods, assembling engines, as well as receiving of returned goods and disassembling of engines and spare parts for auction as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be. The said actions also caused damage to the company but brought about benefits to Mr. Suthisak Lohsawat and a juristic person whose major shareholders are Mrs. Darunee Phu-ngoen and Miss Paphawin Pinwatthana. Miss Paphawin Pinwatthana shall be liable to the penalty under Sections 307, 308, 311of the same Act, as the case may be. | 77/2013 | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2094 | 31/07/2013 | K-TECH Construction Public Company Limited | 56(2)(4) / SEC Act | K-TECH Construction Public Company Limited, failed to prepare and submit the financial statements for the year 2012 and the annual registration statement for the year 2012 (Form 56-1) to the SEC and the SET within the specified period. | | Criminal Complaints | On March 26, 2014, the Bangkok South Criminal Court ruled against the accused for violating Section 56 and Section 274 paragraph 1 of the SEA. As the accused committed the several distinct and different offences, the Court inflicted the penalty prescribed for each offence as follows:
(1) For a count of failure to submit the audited financial statements for the year 2012, the Court sentenced the accused to pay a fine of 20,000 Baht and a further fine of 200 Baht each day during which the contravention continued (174 days), totaling a fine of 54,800 Baht.
(2) For a count of failure to submit the annual registration statement for the year 2012 (Form 56-1, 2012), the Court sentenced the accused to pay a fine of 20,000 Baht and a further fine of 200 Baht each day during which the contravention continued (177 days), totaling a fine of 55,400 Baht.
In conclusion, The Court sentenced the accused to pay a total fine of 110,200 Baht. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of 55,100 Baht.
| |
| 2095 | 31/07/2013 | Mr. Donald Ian Mcbain | 300 / SEC Act | Mr. Donald Ian Mcbain, as a director responsible for the operation of K-TECH Construction Public Company Limited (KTECH), failed to supervise KTECH to prepare and submit the financial statements for the year 2012 and the annual registration statement for the year 2012 (Form 56-1) to the SEC and the SET within the specified period. | | Criminal Complaints | On March 26, 2014, the Bangkok South Criminal Court ruled against the accused for violating Section 56, Section 274 paragraph 1, and Section 300 of the SEA. As the accused committed the several distinct and different offences, the Court inflicted the penalty prescribed for each offence as follows:
(1) For a count of failure to submit the audited financial statements for the year 2012, the Court sentenced the accused to pay a fine of 20,000 Baht and a further fine of 200 Baht each day during which the contravention continued (174 days), totaling a fine of 54,800 Baht.
(2) For a count of failure to submit the annual registration statement for the year 2012 (Form 56-1, 2012), the Court sentenced the accused to pay a fine of 20,000 Baht and a further fine of 200 Baht each day during which the contravention continued (177 days), totaling a fine of 55,400 Baht.
In conclusion, The Court sentenced the accused to pay a total fine of 110,200 Baht. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of 55,100 Baht.
| |
| 2096 | 31/07/2013 | Professional Waste Technology (1999) Public Company Limited | 56(1)(2)(3)(4) / SEC Act | Professional Waste Technology (1999) Public Company Limited failed to prepare and submit (1) the reviewed financial statements for Q4/2012, (2) the audited financial statements for the year 2012, (3) the annual registration statement for the year 2012 (Form 56-1, 2012), and (4) the annual report for the year 2012 (Form 56-2, 2012) to the SEC and the SET within the specified period. | | Criminal Complaints | The Bangkok South Criminal Court sentenced the accused to pay a total fine of Baht 337,000 and a further fine of Baht 200 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 168,500 and a further fine of Baht 100 each day starting from the next day of prosecution date until the company so complies. In addition to (1) the reviewed financial statements for Q4/2012, (2) the audited financial statements for the year 2012, (3) the annual registration statement for the year 2012 (Form 56-1, 2012), and (4) the annual report for the year 2012 (Form 56-2, 2012) the public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran. | |
| 2097 | 31/07/2013 | Mr. Kriengkrai lertsirisamphan | 300 / SEC Act | Mr. Kriengkrai lertsirisamphan, the chairman of the executive committee (acting) and the managing director (acting) responsible for the operation of Professional Waste Technology (1999) Public Company Limited (PRO), failed to supervise PRO to prepare and submit (1) the reviewed financial statements for Q4/2012, (2) the audited financial statements for the year 2012, (3) the annual registration statement for the year 2012 (Form 56-1, 2012), and (4) the annual report for the year 2012 (Form 56-2, 2012) to the SEC and the SET within the specified period. | | Criminal Complaints | The Bangkok South Criminal Court sentenced the accused to pay a total fine of Baht 337,000 and a further fine of Baht 200 each day starting from the next day of prosecution date until the company so complies. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 168,500 and a further fine of Baht 100 each day starting from the next day of prosecution date until the company so complies. In addition to (1) the reviewed financial statements for Q4/2012, (2) the audited financial statements for the year 2012, (3) the annual registration statement for the year 2012 (Form 56-1, 2012), and (4) the annual report for the year 2012 (Form 56-2, 2012) the public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran | |
| 2098 | 31/07/2013 | Mr.Phanit | 90 / SEC Act | Mr.Phanit (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses granted, violating Section 90 of the Securities and Exchange Act B.E.2535. | | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2099 | 31/07/2013 | Mr.Thanapol | 90 / SEC Act | Mr.Thanapol (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses granted, violating Section 90 of the Securities and Exchange Act B.E.2535. | | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2100 | 31/07/2013 | Mr.Prasert | 90 / SEC Act | Mr.Prasert (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses granted, violating Section 90 of the Securities and Exchange Act B.E.2535. | | Criminal Complaints | This case is in the process of inquiry by the special case inquiry official. | |
| 2101 | 30/07/2013 | Mr.Calvin C. | 16 / DV Act | Mr.Calvin C., as the Director responsible for the operation of Siam Grander Management Co., Ltd., jointly with other alleged persons, operated derivatives broker businesses in Thailand without proper licenses granted, violating Section 16 of the Derivatives Act B.E.2546. | | Criminal Complaints | The public prosecutor issued a prosecution order however the alleged offender has evaded the arrest and has been pursued for case proceedings. | |
| 2102 | 30/07/2013 | Yarnapund Public Company Limited | 56 and 199 / SEC Act | Yarnapund Public Company Limited failed to prepare and submit (1) the reviewed financial statements for Q4/2012, (2) the audited financial statements for the year 2012, (3) the annual registration statement for the year 2012 (Form 56-1, 2012), and (4) the annual report for the year 2012 (Form 56-2, 2012) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2103 | 30/07/2013 | Mr. Palits Phanpanit | 300 / SEC Act | Mr. Palits Phanpanit, the managing director responsible for the operation of Yarnapund Public Company Limited (YNP), failed to supervise YNP to prepare and submit (1) the reviewed financial statements for Q4/2012, (2) the audited financial statements for the year 2012, (3) the annual registration statement for the year 2012 (Form 56-1, 2012), and (4) the annual report for the year 2012 (Form 56-2, 2012) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2104 | 29/07/2013 | Mr. Sanpapol Rattanarungroj | 300 / SEC Act | Mr. Sanpapol Rattanarungroj, as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit (1) the reviewed financial statements for Q4/2012, (2) the audited financial statements for the year 2012, (3) the annual registration statement for the year 2012 (Form 56-1, 2012), and (4) the annual report for the year 2012 (Form 56-2, 2012) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped and an arrest warrant was issued to bring the alleged offender to trial. | |
| 2105 | 29/07/2013 | S.E.C. Auto Sales and Services PLC | 56 and 199 / SEC Act | S.E.C. Auto Sales and Services PLC, failed to prepare and submit (1) the reviewed financial statements for Q4/2012, (2) the audited financial statements for the year 2012, (3) the annual registration statement for the year 2012 (Form 56-1, 2012), and (4) the annual report for the year 2012 (Form 56-2, 2012) to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped and an arrest warrant was issued to bring the alleged offender to trial. | |
| 2106 | 18/07/2013 | Mr. Suthapa Khemaprueth | 315 / SEC Act | Between January 5, 2009 and March 27, 2009, Mr. Suthapa Khemaprueth, managing director of Bania Co., Ltd., aided and abetted Mr. Maris Tarab and Mr. Burim Chombhubol in performing their duties dishonestly by proceeding for T.U. Dome Fund to pay to Bania Co., Ltd. 10.4 million baht for the turnkey contract of construction and improvements of certain areas in T.U. Dome Fund assets, which was, however, incorrect and caused damage to the Fund. Furthermore, Mr. Suthapa Khemaprueth aided and abetted Mr. Maris Tarab and Mr. Burim Chombhubol in falsifying documents and evidence concerning money withdrawal to mislead others. The aforesaid acts were in contravention of Section 315 of the SEA in conjunction with Sections 307, 308, 311, and 312 of the SEA. | 71/2013 | Criminal Complaints | | |
| 2107 | 18/07/2013 | Bania Co., Ltd. | 315 / SEC Act | Between January 5, 2009 and March 27, 2009, Bania Co., Ltd., aided and abetted Mr. Maris Tarab and Mr. Burim Chombhubol in performing their duties dishonestly by proceeding for T.U. Dome Fund to pay to Bania Co., Ltd. 10.4 million baht for the turnkey contract of construction and improvements of certain areas in T.U. Dome Fund assets, which was, however, incorrect and caused damage to the Fund. Furthermore, the company aided and abetted Mr. Maris Tarab and Mr. Burim Chombhubol in falsifying documents and evidence concerning money withdrawal to mislead others. The aforesaid acts were in contravention of Section 315 of the SEA in conjunction with Sections 307, 308, 311, and 312 of the SEA. | 71/2013 | Criminal Complaints | | |
| 2108 | 18/07/2013 | Mr. Burim Chombhubol | 307 308 311 312 313 in conjunction with Section 83 of the Penal Code / SEC Act | Between January 5, 2009 and March 27, 2009, Mr. Burim Chombhubol, T.U. Dome fund manager at that time, and Mr. Maris Tarab, former ING Funds managing director and T.U. Dome fund manager, performed their duties dishonestly by proceeding for T.U. Dome Fund to pay 10.4 million baht to Bania Co., Ltd. It was claimed that the payment was made for the turnkey contract of construction and improvements of certain areas in T.U. Dome Fund assets, which was, however, incorrect and caused damage to the Fund. Furthermore, they falsified documents and evidence concerning money withdrawal to mislead others. The aforesaid acts were in contravention of Sections 307, 308, 311, 312, and 313 of the SEA in conjunction with Section 83 of the Penal Code. | 71/2013 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2109 | 18/07/2013 | Mr. Maris Tarab | 307 308 311 312 313 in conjunction with Section 83 of the Penal Code / SEC Act | Between January 5, 2009 and March 27, 2009, Mr. Maris Tarab, then ING Funds managing director and T.U. Dome fund manager, and Mr. Burim Chombhubol, another former T.U. Dome fund manager, performed their duties dishonestly by proceeding for T.U. Dome Fund to pay 10.4 million baht to Bania Co., Ltd. It was claimed that the payment was made for the turnkey contract of construction and improvements of certain areas in T.U. Dome Fund assets, which was, however, incorrect and caused damage to the Fund. Furthermore, they falsified documents and evidence concerning money withdrawal to mislead others. The aforesaid acts were in contravention of Sections 307, 308, 311, 312, and 313 of the SEA in conjunction with Section 83 of the Penal Code. | 71/2013 | Criminal Complaints | | |
| 2110 | 25/03/2013 | S.E.C. Auto Sales and Services PLC | 56 and 199 / SEC Act | S.E.C. Auto Sales and Services PLC failed to prepare and submit the financial statements for Q3/2012
to the SEC and the SET within the specified period.
| | Criminal Complaints | | |
| 2111 | 25/03/2013 | Mr. Sanpapol Rattanarungroj | 300 / SEC Act | Mr. Sanpapol Rattanarungroj , as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the financial statements for Q3/2012
to the SEC and the SET within the specified period.
| | Criminal Complaints | | |
| 2112 | 15/02/2013 | Ms. Sopana Janebeorvorn | 315 in conjunction with 311 / SEC Act | During November 2009 to March 2011, Mrs. Vachala Pisitsak colluded with Ms. Sopana Janeborvorn and Phra Suthep Arpassaro (Panpai) in committing dishonest acts by using information about the funds’ investment plans to trade securities for her personal or other persons’ gains (front running). | 18/2013 | Criminal Complaints | The Criminal Court dismissed the lawsuit. | |
| 2113 | 15/02/2013 | Mrs. Vachala Pisitsak | 315 in conjunction with 311 / SEC Act | During November 2009 to March 2011, Mrs. Vachala Pisitsak colluded with Ms. Sopana Janeborvorn and Phra Suthep Arpassaro (Panpai) in committing dishonest acts by using information about the funds’ investment plans to trade securities for her personal or other persons’ gains (front running). | 18/2013 | Criminal Complaints | The Criminal Court dismissed the lawsuit. | |
| 2114 | 15/02/2013 | Phra Suthep Arpassaro (Panpai) | 315 in conjunction with 311 / SEC Act | During November 2009 to March 2011, Phra Suthep Arpassaro (Panpai) colluded with and Ms. Sopana Janeborvorn and Mrs. Vachala Pisitsak in committing dishonest acts by using information about the funds’ investment plans to trade securities for his personal or other persons’ gains (front running). | 18/2013 | Criminal Complaints | The criminal case is closed because the alleged offender died. | |
| 2115 | 06/02/2013 | Mr.Bho Boonsiri | 300 / SEC Act | Mr. Bho Boonsiri, as managing director responsible for the operation of Datamat PLC (DTM), failed to supervise DTM to prepare and submit the financial statements for the six-month period ended June 30, 2012 to the SEC and the SET within the specified period. | | Criminal Complaints | A statute of limitations ran out during consideration of inquiry offercial. | |
| 2116 | 06/02/2013 | Mr. Abinash Majhi | 300 / SEC Act | Mr. Abinash Majhi, as managing director responsible for the operation of Datamat PLC (DTM), failed to supervise DTM to prepare and submit the financial statements for the six-month period ended June 30, 2012 to the SEC and the SET within the specified period. | | Criminal Complaints | A statute of limitations ran out during consideration of inquiry offercial. | |
| 2117 | 06/02/2013 | Datamat PLC. | 199 in conjunction with 56(4) / SEC Act | Datamat PLC (DTM) failed to prepare and submit the financial statements for the six-month period ended June 30, 2012 to the SEC and the SET within the specified period. | | Criminal Complaints | A statute of limitations ran out during consideration of inquiry offercial. | |
| 2118 | 28/01/2013 | Miss. Wisaka Tupudom | 303 / SEC Act | Miss. Wisaka Tupudom failed to comply with the competent officer's order. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2119 | 28/01/2013 | Mr. Preecha Wongpa | 303 / SEC Act | Mr. Preecha Wongpa failed to comply with the competent officer's order. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2120 | 17/12/2012 | Mr. Kanok Juntarachot | 16 / DV Act | Mr. Kanok Juntarachot, director of K.N.O. Marketing Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | | According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2121 | 17/12/2012 | Mr. Jaray Chanchaisilp | 16 / DV Act | Mr. Jaray Chanchaisilp, director of Silver Line Trading Intertrade Co., Ltd. and Diamond and Silverline Group Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2122 | 17/12/2012 | Mr. Pat Thamma | 16 / DV Act | Mr. Pat Thamma, director of P.T. Research Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2123 | 17/12/2012 | Mr. Rak Suwanrod | 16 / DV Act | Mr. Rak Suwanrod, director of M.B. Network Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2124 | 17/12/2012 | K.N.O. Marketing Co., Ltd. | 16 / DV Act | K.N.O. Marketing Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2125 | 17/12/2012 | Silver Line Trading Intertrade Co., Ltd. | 16 / DV Act | Silver Line Trading Intertrade Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2126 | 17/12/2012 | Diamond and Silverline Group Co., Ltd. | 16 / DV Act | Diamond and Silverline Group Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2127 | 17/12/2012 | P.T. Research Co., Ltd. | 16 / DV Act | P.T. Research Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2128 | 17/12/2012 | M.B. Network Co., Ltd. | 16 / DV Act | M.B. Network Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2129 | 12/12/2012 | Mr. Somchit Bosereewong | 300 / SEC Act | Mr. Somchit Bosereewong, as managing director responsible for the operation of Singha Paratech Public Company Limited (SINGHA), failed to supervise SINGHA to prepare and submit (1) the reviewed financial statements for Q4/2011, (2) the financial statements for the year 2011, (3) the annual registration statement for the year 2011, and (4) the financial statements to six-month period ended June 30, 2012 to the SEC and the SET within the specified period. | | Criminal Complaints | | |
| 2130 | 12/12/2012 | Singha Paratech Public Company Limited | 56 and 199 / SEC Act | Singha Paratech Public Company Limited failed to prepare and submit (1) the reviewed financial statements for Q4/2011, (2) the financial statements for the year 2011, (3) the annual registration statement for the year 2011, and (4) the financial statements to six-month period ended June 30, 2012 to the SEC and the SET within the specified period. | | Criminal Complaints | | |
| 2131 | 27/11/2012 | Silver Line Trading Intertrade Co., Ltd. | 16 / DV Act | Silver Line Trading Intertrade Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | - | The SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2132 | 27/11/2012 | Diamond and Silverline Group Co., Ltd. | 16 / DV Act | Diamond and Silverline Group Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | - | The SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2133 | 27/11/2012 | Mr. Jaray Chanchaisilp | 16 / DV Act | Mr. Jaray Chanchaisilp, director of Silver Line Trading Intertrade Co., Ltd. and Diamond and Silverline Group Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | - | The SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2134 | 27/11/2012 | K.N.O. Marketing Co., Ltd. | 16 / DV Act | K.N.O. Marketing Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | - | The SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2135 | 27/11/2012 | Mr. Kanok Juntarachot | 16 / DV Act | Mr. Kanok Juntarachot, director of K.N.O. Marketing Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | - | The SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2136 | 27/11/2012 | M.B. Network Co., Ltd. | 16 / DV Act | M.B. Network Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | -
| The SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2137 | 27/11/2012 | Mr. Rak Suwanrod | 16 / DV Act | Mr. Rak Suwanrod, director of M.B. Network Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | - | The SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2138 | 27/11/2012 | P.T. Research Co., Ltd. | 16 / DV Act | P.T. Research Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | - | The SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2139 | 27/11/2012 | Mr. Pat Thamma | 16 / DV Act | Mr. Pat Thamma, director of P.T. Research Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). | 103/2012 | Criminal Complaints | - | The SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the SEC to refile a separate criminal complaint against each alleged offender and its related person. |
| 2140 | 09/11/2012 | S.E.C. Auto Sales and Services PLC | 56(2)(3)(4) and 199 / SEC Act | S.E.C. Auto Sales and Services PLC failed to prepare and submit the financial statements for the year 2011, the annual registration statement for the year 2011, and the financial statements for the six-month period ended June 30, 2012 with the SEC and the SET within the specified period. | | Criminal Complaints | | |
| 2141 | 09/11/2012 | K-TECH Construction Public Company Limited | 56 and 199 / SEC Act | K-TECH Construction Public Company Limited, failed to prepare and submit the financial statements for the year 2011 and the annual registration statement for the year 2011 to the SEC and the SET within the specified period.
| | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. | |
| 2142 | 09/11/2012 | Mr. Donald Ian Mcbain | 300 / SEC Act | Mr. Donald Ian Mcbain, as a director responsible for the operation of K-TECH Construction Public Company Limited (KTECH), failed to supervise KTECH to prepare and submit the financial statements for the year 2011 and the annual registration statement for the year 2011 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, attempt to arrest the alleged offender failed and the statute of limitations ran out. | |
| 2143 | 27/09/2012 | Mr. Pattanapong Dhanumataya | 300 / SEC Act | Mr. Pattanapone Dhanumataya, as managing director resopnsible for the operation of ASCON Construction PLC (ASCON), failed to supervise ASCON to prepare and submit the financial statements for Q4/2011, the financial statements for the year 2011, the annual report for the year 2011 (Form 56-2, 2011), the annual registration statement for the year 2011 (Form 56-1, 2011), the financial statements for Q1/2012 to the SEC and the SET within the specified period. | | Criminal Complaints | | |
| 2144 | 27/09/2012 | ASCON Construction PLC | 199 in conjunction with 56(1)(2)(3)(4) / SEC Act | ASCON Construction PLC (ASCON), failed to supervise ASCON to prepare and submit the financial statements for Q4/2011, the financial statements for the year 2011, the annual report for the year 2011 (Form 56-2, 2011), the annualregistration statement for the year 2011 (Form 56-1, 2011), the financial statements for Q1/2012 to the SEC and the SET within the specified period. | | Criminal Complaints | . | |
| 2145 | 11/09/2012 | GISP Ltd. | 16 / DV Act | GISP Ltd. (GISP) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public as well as disseminated related investment documents and information through various channels including website www.famarkets.com to lure the investing public into their businesses. The aforesaid act was deemed undertaking derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). | 084/2012 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2146 | 11/09/2012 | Mr. Supawit Sootisong | 16 / DV Act | Mr. Supawit Sootisong, the director of GISP Ltd. (GISP) operated derivatives business without license under the name of GISP by representing GISP to the general public as a gold futures trading agent. The company contacted and solicited the public as well as disseminated related investment documents and information through various channels including website www.famarkets.com to lure the investing public into their businesses. The aforesaid act was deemed undertaking derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). | 084/2012 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2147 | 11/09/2012 | Navista Global Markets Ltd. | 16 / DV Act | Navista Global Markets Ltd. (Navista) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public as well as disseminated related investment documents and information through various channels including website www.ngm-trading.com to lure the investing public into their businesses. The aforesaid act was deemed undertaking derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). | 084/2012 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 2148 | 27/08/2012 | Mr. Somsak Turapun | 303 / SEC Act | Mr. Somsak Turapun failed to comply with the competent officer's order. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2149 | 27/08/2012 | Mr. Kiatchai Kitcharoenwanitkun | 303 / SEC Act | Mr. Kiatchai Kitcharoenwanitkun failed to comply with the competent officer's order. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2150 | 27/08/2012 | Mr. Narong Puangpong | 303 / SEC Act | Mr. Narong Puangpong failed to comply with the competent officer's order. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2151 | 21/03/2012 | Mr. Somchit Bosereewong | 56(1) in conjunction with 199 / SEC Act | Mr. Somchit Bosereewong, as managing director responsible for the operation of Singha Paratech Public Company Limited (SINGHA), failed to supervise SINGHA to prepare and submit the reviewed financial statements for Q3/2011 to the SEC and the SET within the specified period. | | Criminal Complaints | | |
| 2152 | 21/03/2012 | Singha Paratech Public Company Limited | 300 / SEC Act | Singha Paratech Public Company Limited failed to prepare and submit the reviewed financial statements for Q3/2011 to the SEC and the SET within the specified period. | | Criminal Complaints | | |
| 2153 | 30/01/2012 | Miss Arada Lertpinyopap | 243(1)(2) in conjunction with 244 and Section 83 of the Penal Code / SEC Act | Miss Arada Lertpinyopap conspired with others in using other persons’ trading accounts to manipulate the share price of Metro Star Property PLC (METRO) during September 19 - November 30, 2006, Thai Unique Coil Center PPC (TUCC) during October 1 - 31, 2007, and S.E.C Auto Sales and Services PLC (SECC) during September 12 - November 24, 2007. | 9/2012 | Criminal Complaints | On November 13, 2018, the Criminal Court ruled against him for violating Sections 243(1) 244(2) and 296 of the SEC Act conjunction with Section 83 of the Penal Code regarding METRO and TUCC shares. The Court inflicted the punishment of 2-year imprisonment and 8,000,000 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment and 4,000,000 baht. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The case was deemed final. | On April 10, 2018, the Criminal Court ruled against her for violating Sections 243(1) 244(2) and 296 of the SEC Act conjunction with Section 83 of the Penal Code. The Court inflicted the punishment of 1-year imprisonment and 4,000,000 Baht fine. The jail term was suspended for two years. The later, on August 22, 2019, The Appeal Court only reversed the judgment of the Criminal Court, not pending for punishment.
- This case is under consideration of The Supreme court
|
| 2154 | 30/01/2012 | Mr. Prayuth Lertpinyopap | 243(1)(2) in conjunction with 244 and Section 86 of the Penal Code / SEC Act | Mr. Prayuth Lertpinyopap aided and abetted the share price manipulation of Metrostar Property PLC (METRO) during September 19 - November 30, 2006, Thai Unique Coil Center PLC (TUCC) during October 1 - 31, 2007, and S.E.C Auto Sales and Services PLC (SECC) during September 12 - November 24, 2008 by allowing the use of his trading account and facilitating price settlement. | 9/2012 | Criminal Complaints | On November 13, 2018, the Criminal Court ruled against him for violating Sections 243(1) 244(2) and 296 of the SEC Act conjunction with Section 86 of the Penal Code regarding METRO and TUCC shares. The Court inflicted the punishment of 16-month imprisonment and 5,333,333.33 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments, resulting in 8-month imprisonment and 2,666,666.67 Baht fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The case was deemed final. | On April 10, 2018, the Criminal Court ruled against him for violating Sections 243(1) 244(2) and 296 of the SEC Act conjunction with Section 83 of the Penal Code regarding SECC shares. The Court inflicted the punishment of 1-year imprisonment and 4,000,000 Baht fine. The jail term was suspended for two years. The later, on August 22, 2019, The Appeal Court only reversed the judgment of the Criminal Court, not pending for punishment.
- This case is under consideration of The Supreme court
|
| 2155 | 30/01/2012 | Mr. Naruephol Chatchalermvit | 243(1)(2) in conjunction with 244 and Section 86 of the Penal Code / SEC Act | Mr. Naruephol Chatchalermvit aided and abetted in the share price manipulation of Metrostar Property PLC (METRO) during September 19 - November 30, 2006, Thai Unique Coil Center PLC (TUCC) during October 1 - 31, 2007, and S.E.C Auto Sales and Services PLC (SECC) during September 12 - November 24, 2008 by allowing the use of his trading account and facilitating price settlement. | 9/2012 | Criminal Complaints | On November 13, 2018, the Criminal Court ruled against him for violating Sections 243(1) 244(2) and 296 of the SEC Act conjunction with Section 86 of the Penal Code regarding METRO and TUCC shares. The Court inflicted the punishment of 16-month imprisonment and 5,333,333.33 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments, resulting in 8-month imprisonment and 2,666,666.67 Baht fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The case was deemed final. | On April 10, 2018, the Criminal Court ruled against him for violating Sections 243(1) 244(2) and 296 of the SEC Act conjunction with Section 86 of the Penal Code. The Court inflicted the punishment of
8-month imprisonment and 2,666,666.67 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments, resulting in 4-month 40-day imprisonment and 1,777,777.78 Baht fine. The jail term was suspended for two years. The later, on August 22, 2019, The Appeal Court only reversed the judgment of the Criminal Court, not pending for punishment.
- On August 11, 2020, The Supreme court allowed the 1st and 3rd defendants to withdraw their petitions, dispose of the case from the Supreme court. In addition The Supreme court has ordered the Court of First Instance to issue a prison sentences for 1st and 3rd defendants. |
| 2156 | 29/12/2011 | Mr. Chusak Ruentip | 303 / SEC Act | Mr. Chusak Ruentip failed to comply with the competent officer's order to testify. | | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, attempt to arrest the offender failed and the statute of limitations ran out. | |
| 2157 | 29/12/2011 | Ms. Amornrat Sittitham | 303 / SEC Act | Ms. Amornrat Sittitham failed to comply with the competent officer's order to testify. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2158 | 29/12/2011 | Mr. Jirapat Tangtongjit | 303 / SEC Act | Mr. Jirapat Tangtongjit failed to comply with the competent officer's order for testify. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 2159 | 16/12/2011 | Mr. Somphong Vitthayaraksan | 243(1)(2) in conjunction with 244 and Section 83 of the Penal Code / SEC Act | Mr. Somphong Vitthayaraksan colluded with others to trade shares of S.E.C Auto Sales and Services PLC (SECC) in concealment and on a continual basis during September 12 - November 24, 2008 through other persons' trading accounts, resulting in the purchase or sale of such share inconsistent with normal market condition, to mislead and lure the public into the trading. | 110/2011 | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, the accused escaped and an arrest warrant was issued to bring the accused to trial. | |
| 2160 | 16/12/2011 | Mr. Suriya Larbvisuthisin | 243(1)(2) in conjunction with 244 and Section 83 of the Penal Code / SEC Act | Mr. Suriya Larbvisuthisin colluded with others to trade shares of Metrostar Property PLC (METRO) during September 19 - November 30, 2006, Thai Unique Coil Center PLC (TUCC) during October 1 - 31, 2007, and S.E.C Auto Sales and Services PLC (SECC) during September 12 - November 24, 2008 in concealment and on a continual basis through other persons' trading accounts, resulting in the purchase or sale of such shares inconsistent with normal market condition, to mislead and lure the public into the trading. | 110/2011 | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, the accused escaped and an arrest warrant was issued to bring the accused to trial. | |
| 2161 | 16/12/2011 | Mr. Somchai Sripayak | 243(1)(2) in conjunction with 244 and Section 83 of the Penal Code / SEC Act | Mr. Somchai Sripayak colluded with others to trade shares of S.E.C Auto Sales and Services PLC (SECC) in concealment and on a continual basis during September 12 - November 24, 2008 through other persons' trading accounts, resulting in the purchase or sale of such share inconsistent with normal market condition, to mislead and lure the public into the trading. | 110/2011 | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, the accused escaped and an arrest warrant was issued to bring the accused to trial. | |
| 2162 | 21/03/2011 | Miss Nattawadee Chindaprasert | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | Miss Nattawadee Chindaprasert colluded with Mr. Nakorn Tanasornkornchatchon (formerly Napadon Tuphitakphol), Mr. Patinya Pittayanupakorn, and Mr. Auttawut Phaichai, to continuously trade shares of TWZ Corporation PLC (TWZ) during the following periods: (1) September 28 - October 26, 2007, (2) April 28 - May 15, 2008, and (3) June 23 - 24, 2008, resulting in the trading of TWZ shares inconsistent with the normal market condition, to lure the public into the trading. | 24/2011 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final.
| |
| 2163 | 21/03/2011 | Mr. Auttawut Phaichai | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Auttawut Phaichai colluded with Miss Nattawadee Chindaprasert, Mr. Nakorn Tanasornkornchatchon (formerly Napadon Tuphitakphol), and Mr. Patinya Pittayanupakorn, to continuously trade shares of TWZ Corporation PLC (TWZ) during the following periods: (1) September 28 - October 26, 2007, (2) April 28 - May 15, 2008, and (3) June 23 - 24, 2008, resulting in the trading of TWZ shares inconsistent with the normal market condition, to lure the public into the trading. He entered the settlement process but failed to pay the fine as ordered by Settlement Committee. | 24/2011 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final.
| |
| 2164 | 21/03/2011 | Mr. Patinya Pittayanupakorn | 243(2) in conjunction with Section 83 of the Penal Code / SEC Act | Mr. Patinya Pittayanupakorn colluded with Miss Nattawadee Chindaprasert, Mr. Nakorn Tanasornkornchatchon (formerly Napadon Tuphitakphol), and Mr. Auttawut Phaichai, to continuously trade shares of TWZ Corporation PLC (TWZ) during the following periods: (1) September 28 - October 26, 2007, (2) April 28 - May 15, 2008, and (3) June 23 - 24, 2008, resulting in the trading of TWZ shares inconsistent with the normal market condition, to lure the public into the trading. He entered the settlement process but failed to pay the fine as ordered by Settlement Committee. | 24/2011 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final.
| |
| 2165 | 07/03/2011 | Mr. Sanpapol Rattanarungroj | 300 / SEC Act | Mr. Sanpapol Rattanarungroj, as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the financial statements for Q2/2010 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor prosecuted the alleged offender in case of failure to supervise SECC to submit the financial statements for the six-month period ended June 30, 2010. On September 19, 2011, the Bangkok South Criminal Court sentenced the accused to pay a fine of Baht 139,700. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 69,850 and a further fine of Baht 300 each day starting from the next day of prosecution date until the company so complies. | |
| 2166 | 07/03/2011 | S.E.C. Auto Sales and Services Public Company Limited | 56 and 199 / SEC Act | S.E.C. Auto Sales and Services PLC failed to prepare and submit the financial statements for Q2/2010 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor prosecuted the alleged offender in case of failure to prepare and submit the financial statements for the six-month period ended June 30, 2010. On September 19, 2011, the Bangkok South Criminal Court sentenced the accused to pay a fine of Baht 139,700. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 69,850 and a further fine of Baht 300 each day starting from the next day of prosecution date until the company so complies. | |
| 2167 | 30/12/2010 | Mr. Ratchasak Susewi | 307 308 311 312 / SEC Act | Between 2004 and 2005, Mr. Ratchasak Susewi, former Chairman and Chief Executive Officer of POWER-P Plc. (POWER), conspired with Mr. Phongsak Khongpanyakul, former Deputy Managing Director-Finance and Accounting of POWER, to dishonestly violate his duties and act to obtain unlawful gains for himself and/or other persons by permitting the company to pay 45 million baht deposit for purchasing shares of a company higher than actual value causing damage to POWER. Additionally, he permitted others to falsify entries in the accounts and documents of POWER. | 92/2010 | Criminal Complaints | On March 30, 2015, the Criminal Court sentenced Mr.Ratchasak Susewi, former executive of POWER-P Plc. (POWER) responsible for the company operation, for corporate fraud. Mr.Ratchasak permitted POWER-P to pay 45 million baht higher than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company’s accounts and documents, and also prepared incorrect accounts with intention to deceive others about those fraudulent actions, violated Sections 307, 308, 311 in conjunction with Section 313, and Section 312(2)(3) of the Securities and Exchange Act B.E. 2535 (1992) (SEA). He was sentenced to serve 8-year imprisonment for corporate fraud in accordance with Section 90 of the Penal Code. In addition, he was also sentenced to serve 8-year imprisonment for violating Section 312 of the SEA for permitting false records or no record of important information in POWER-P’s 2005 financial statements and documents, as well as incomplete, incorrect and inaccurate accounts to deceive the others. Owing to the fact that Mr.Ratchasak made confession beneficial to the case, the Court reduced the punishments according to Section 78 of the Penal Code. Accordingly, each jail term was reduced to five years and four months, making a total of 10 years and 8 months without suspension. On December 22, 2015, the Appeal court affirmed the judgment of the Criminal Court.
| |
| 2168 | 28/12/2010 | Mr. Sagha Sakulekpaisan | 243(1)(2) in conjunction with 244(1)(2)(3) / SEC Act | During April 24 - May 2, 2008, Mr. Sagha Sakulekpaisan (formerly Chakchai (Thana) Sae Jiem, also known as “Here-Tee”) traded shares of three companies - Focus Development and Construction PLC (FOCUS), Inter Far East Engineering PLC (IFEC), and The Royal Ceramic Industry PLC (RCI) - in concealment through trading accounts of eight persons and on a continual basis to mislead and lure the public into the trading. | 91/2010 | Criminal Complaints | The Criminal Court sentenced the accused to two-year imprisonment. | |
| 2169 | 28/12/2010 | Miss Nongluck Sinprasertlert | 243(1)(2) in conjunction with 244 and Section 86 of the Penal Code / SEC Act | Miss Nongluck Sinprasertlert, an investor contact (marketing officer) at Kim Eng Securities (Thailand) PLC, aided and abetted Mr. Sagha Sakulekpaisan in manipulating the share prices of Focus Development and Construction PLC (FOCUS) and Inter Far East Engineering PLC (IFEC) by arranging trading accounts of other persons for Mr. Sagha, sending manipulative trading orders, and helping with related financial transactions. | 91/2010 | Criminal Complaints | The Appeal Court dismissed the case. | |
| 2170 | 28/12/2010 | Mr. Adirek Umbangtalad | 243(1)(2) in conjunction with 244 and Section 86 of the Penal Code / SEC Act | Mr. Adirek Umbangtalad, an investor contact (marketing officer) at Merchant Partner Securities PLC, aided and abetted Mr. Sagha Sakulekpaisan in manipulating the share price of The Royal Ceramic Industry PLC (RCI) by arranging trading accounts of other persons for Mr. Sagha, sending manipulative trading orders, and helping with related financial transactions. | 91/2010 | Criminal Complaints | The Appeal Court dismissed the case. | |
| 2171 | 27/12/2010 | Q-Mee Corporation Company Limited | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Q-Mee Corporation Company Limited operated derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 of the Penal Code. | 90/2010 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 2172 | 27/12/2010 | TMB Leasing Company Limited | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | TMB Leasing Company Limited operated derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 of the Penal Code. | 90/2010 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 2173 | 27/12/2010 | Mr. Sansarut Chanchay (or Diaw Or Sirawit Hemraj or Somneuk Posri) | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Sansarut Chanchay (or Diaw Or Sirawit Hemraj or Somneuk Posri) conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 of the Penal Code. | 90/2010 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 2174 | 27/12/2010 | Mr. Pinit Rattanajaru | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Pinit Rattanajaru conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 of the Penal Code. | 90/2010 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 2175 | 27/12/2010 | Mr. Chairat Chantapakdee | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Chairat Chantapakdee conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 of the Penal Code. | 90/2010 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 2176 | 27/12/2010 | Mr. Adisak Daengkomain | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Adisak Daengkomain conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 of the Penal Code. | 90/2010 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 2177 | 27/12/2010 | Mrs. Praweena Sodawong | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mrs. Praweena Sodawong conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003) . In addition, the operation constituted public frauds contravening Section 343 of the Penal Code. | 90/2010 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 2178 | 27/12/2010 | Mr. Warakom Homtuanlom | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Warakom Homtuanlom conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 of the Penal Code. | 90/2010 | Criminal Complaints | This case is in the process of inquiry by the prosecutor official. | |
| 2179 | 07/12/2010 | Mr. Ratchasak Susewi | 307 308 311 312 / SEC Act | Between 2004 and 2005, Mr. Ratchasak Susewi, former Chairman and Chief Executive Officer of POWER-P Plc. (POWER), conspired with Mr. Phongsak Khongpanyakul, former Deputy Managing Director-Finance and Accounting of POWER, to dishonestly violate his duties and act to obtain unlawful gains for himself and/or other persons causing damage to POWER by embezzling POWER’s money through four transactions of the company’s advance payment for four business partners worth totaling 265 million baht and by falsifying revenue worth totaling 44 million baht. The revenue was not a result of the company’s actual business. | 92/2010 | Criminal Complaints | This case is under consideration of the Criminal Court.. | |
| 2180 | 07/12/2010 | Mr. Suriya Lapvisuthisin | 307 311 312 and 314 / SEC Act | Between 2004 and 2005, Mr. Suriya Lapvisuthisin, authorized to manage and operate Power-P Public Company Limited (POWER), caused Mr. Ratchasak Susewi, former Chairman and Chief Executive Officer of POWER, to dishonestly violate his duties and act to obtain unlawful gains for himself and/or other persons causing damage to POWER by embezzling POWER’s money through four transactions of the company’s advance payment for four business partners worth totaling 265 million baht and by falsifying revenue worth totaling 44 million baht. The revenue was not a result of the company’s actual business. | 92/2010 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2181 | 07/12/2010 | Mr. Phongsak Khongpanyakul | 307 311 312 and 314 / SEC Act | Between 2004 and 2005, Mr. Phongsak Khongpanyakul, former Deputy Managing Director-Finance and Accounting of POWER-P Plc. (POWER), conspired with Mr. Ratchasak Susewi, former Chairman and Chief Executive Officer of POWER, to dishonestly violate his duties and act to obtain unlawful gains for himself and/or other persons causing damage to POWER by embezzling POWER’s money through four transactions of the company’s advance payment for four business partners worth totaling 265 million baht and by falsifying revenue worth totaling 44 million baht. The revenue was not a result of the company’s actual business. | 92/2010 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2182 | 06/09/2010 | Dr. Suthep Wongpat | 307 311 / SEC Act | Dr. Suthep Wongpat, former director responsible for the operation of the company under the Securities Exchange Act B.E. 2535 (1992) and entrusted to manage the property of the company, dishonestly violated his duties. | | Criminal Complaints | The statute of limitations ran out. | |
| 2183 | 23/06/2010 | C.N.B.C. (Thailand) Co., Ltd. | 16 / DV Act | C.N.B.C. (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | พนักงานอัยการมีคำสั่งฟ้องแต่ไม่สามารถนำตัวผู้ต้องหายื่นฟ้องต่อศาลได้ The public prosecutor issued a prosecution order against the alleged offender; however, the public prosecutor cannot bring the alleged offender to trial. | |
| 2184 | 23/06/2010 | T.N.N. (Thailand) Co., Ltd. | 16 / DV Act | T.N.N. (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2185 | 23/06/2010 | G.L.E. (Thailand) Co. Ltd. | 16 / DV Act | G.L.E. (Thailand) Co. Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, the public prosecutor cannot bring the alleged offender to trial. | |
| 2186 | 23/06/2010 | A.L.T.I. Co., Ltd. | 16 / DV Act | A.L.T.I. Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2187 | 23/06/2010 | Mr. Sakda Pannitamai | 16 / DV Act | Mr. Sakda Pannitamai (nicknamed Kwan/Sa/Pat) conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2188 | 23/06/2010 | Mr. Chukiat Pannitamai | 16 / DV Act | Mr. Chukiat Pannitamai (nicknamed Tong/Cat) conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2189 | 23/06/2010 | Miss Vorarat Chanokul | 16 / DV Act | Miss Vorarat Chanokul (nicknamed Rat/Rin/Add) conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2190 | 23/06/2010 | Miss Tassanee Somthong | 16 / DV Act | Miss Tassanee Somthong (nicknamed Gie/Imm) conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2191 | 23/06/2010 | Miss Kanokwan Narkbaat | 16 / DV Act | Miss Kanokwan Narkbaat (or Penpatchamon/Patchamon Pannarai) conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of theDerivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2192 | 23/06/2010 | Miss Janejira Gannsandee | 16 / DV Act | Miss Janejira Gannsandee conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2193 | 23/06/2010 | Miss Nattha Sinthuvanitch | 16 / DV Act | Miss Nattha Sinthuvanitch conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2194 | 23/06/2010 | Miss Ploynatcha Tippayajiraroj | 16 / DV Act | Miss Ploynatcha Tippayajiraroj conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2195 | 23/06/2010 | Mr. Nattapong Akekapan | 16 / DV Act | Mr. Nattapong Akekapan conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2196 | 23/06/2010 | Mr. Pisanu Boonard | 16 / DV Act | Mr. Pisanu Boonard conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2197 | 23/06/2010 | Miss Manassanun Piyapongpan | 16 / DV Act | Miss Manassanun Piyapongpan conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2198 | 23/06/2010 | Miss Indhira Suebsang | 16 / DV Act | Miss Indhira Suebsang conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2199 | 23/06/2010 | Miss Supalak Raksasri | 16 / DV Act | Miss Supalak Raksasri conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). | 43/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2200 | 07/06/2010 | Mr. Waravoot Lapvisutisin | 300 in conjunction with 56(4) / SEC Act | Mr. Waravoot Lapvisutisin, as managing director responsible for the operation of Picnic Corporation PLC (PICNI), failed to supervise PICNI to prepare and submit the financial statements for the six-month period ended June 30, 2009 to the SEC and the SET within specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the offender failed, and the statute of limitations ran out. | |
| 2201 | 31/05/2010 | Mr. Suriya Lapvisuthisin | 314 in conjunction with 307 311 312 313 / SEC Act | Mr. Suriya Lapvisuthisin conspired with Mr. Pirom Priyawat (now Mr. Sutha Priyawat) and Mr. Sonthaya Noicharoen, former directors and executives in charge of business operation and asset management of Eastern Wire Plc. (now Capital Engineering Network Plc. (CEN)), to misappropriate Baht 80.1 million from Rayong Wire Industries, an Eastern Wire subsidiary, through a contract for advanced procurement of raw materials with Union Gas and Chemicals Co., Ltd. in 2004, and made a false representation of accounting information. In addition, Mr. Suriya conspired with Mr. Nop Satayasai, former managing director of Eastern Wire, to misappropriate Baht 500 million from the company through a loan made to Siam General Factoring Plc. (SGF) in 2005. | 34/2010 | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped and an arrest warrant was issued to bring the alleged offender to trial. | |
| 2202 | 31/05/2010 | Mr. Pirom Priyawat | 307 311 312 313 / SEC Act | Mr. Pirom Priyawat (now Mr. Sutha Priyawat) and Mr. Sonthaya Noicharoen, former directors and executives in charge of business operation and asset management of Eastern Wire Plc. (now Capital Engineering Network Plc. (CEN)), conspired with Mr. Suriya Lapvisuthisin to misappropriate Baht 80.1 million from Rayong Wire Industries, an Eastern Wire subsidiary, through a contract for advanced procurement of raw materials with Union Gas and Chemicals Co., Ltd. in 2004, and made a false representation of accounting information. | 34/2010 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final.
| |
| 2203 | 31/05/2010 | Mr. Sonthaya Noicharoen | 307 311 312 313 / SEC Act | Mr. Sonthaya Noicharoen and Mr. Pirom Priyawat (now Mr. Sutha Priyawat), former directors and executives in charge of business operation and asset management of Eastern Wire Plc. (now Capital Engineering Network Plc. (CEN)), conspired with Mr. Suriya Lapvisuthisin to misappropriate Baht 80.1 million from Rayong Wire Industries, an Eastern Wire subsidiary, through a contract for advanced procurement of raw materials with Union Gas and Chemicals Co., Ltd. in 2004, and made a false representation of accounting information. | 34/2010 | Criminal Complaints | | |
| 2204 | 31/05/2010 | Mr. Nop Satayasai | 307 311 312 313 / SEC Act | Mr. Nop Satayasai, former managing director of Eastern Wire Plc. (now Capital Engineering Network Plc. (CEN)), conspired with Mr. Suriya Lapvisuthisin to misappropriate Baht 500 million from the company through a loan which was made to Siam General Factoring Plc. (SGF) in 2005. | 34/2010 | Criminal Complaints | | |
| 2205 | 17/03/2010 | Mr. Chusak Ruentip | 303 / SEC Act | Mr. Chusak Ruentip failed to comply with the competent officer's order. | | Criminal Complaints | The Court sentenced the accused to 15-day imprisonment and a fine of Baht 2,000. The jail term, however, was suspended. | |
| 2206 | 07/01/2010 | S.E.C. Auto Sales And Services Public Company Limited | 56(1)(2)(3)(4) and199 / SEC Act | S.E.C. Auto Sales and Services PLC failed to prepare and submit (1) the reviewed financial statements for Q4/2008, (2) the financial statements for the year 2008, (3) the annual registration statment for the year 2008, (4) the annual report for the year 2008, (5) the reviewed financial statements for Q1/2009, and (6) the reviewed financial statements for Q2/2009 with SEC and the SET within specified period. | | Criminal Complaints | The Court sentenced the accused to pay a fine of Baht 60,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 30,000 and a further fine of Baht 1,000 each day starting from the judgment date until the company so complies. | |
| 2207 | 07/01/2010 | Mr. Kornviwat Wattanathamwong (old name is Mr. Phaibul Suksuthamwong) | 300 in conjunction with 56(1)(2)(3)(4) and 199 / SEC Act | Mr. Kornviwat Wattanathamwong (formerly Paiboon Suksuthamwong), as managing director responsible for the operation of S.E.C Auto Sales and Services PLC (SECC), failed to supervise SECC to submit (1) the reviewed financial statements for Q1/2008, (2) the financial statements for the year 2008, (3) the annual registration statement for the year 2008, (4) the annual report for the year 2008, (5) the reviewed financial statements for Q1/2009, and (6) the reviewed financial statements for Q2/2009 to the SEC and the SET within the specified period. | | Criminal Complaints | On February 15, 2010, the Bangkok South Criminal Court sentenced the accused to pay a fine of Baht 60,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 30,000 and a further fine of Baht 1,000 each day starting from the judgment date until the company so complies. | |
| 2208 | 29/12/2009 | Mr. Dominic Der Kevorkian | 300 in conjunction with 56(2)(4) / SEC Act | Mr. Dominic Der Kevorkian, as managing director responsible for the operation of K-TECH Construction PLC (KTECH), failed to supervise KTECH to submit the financial statements for the year 2008 and the annual registration statement for the year 2008 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the offender failed and the statute of limitations ran out. | |
| 2209 | 18/12/2009 | Wang Lee Global Market Co., Ltd. | 343 of the Penal Code / DV Act | Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2210 | 18/12/2009 | World Trading Prosperity Co., Ltd. | 343 of the Penal Code / DV Act | World Trading Prosperity Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2211 | 18/12/2009 | WSD Financial (NZ) Ltd. | 343 of the Penal Code / DV Act | WSD Financial (NZ) Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2212 | 18/12/2009 | Miss Keswarang Sawatdipan | 343 of the Penal Code / DV Act | Miss Keswarang Sawatdipan dishonestly deceived the investors by asserting false statements to make invetors believe that she was licensed to operate a derivatives business. Later, she took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal Code. | 108/2009 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2213 | 18/12/2009 | Mr. Suwat Eiewaksorn | 343 of the Penal Code / DV Act | Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2214 | 18/12/2009 | Mr. Riaz Patel | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Riaz Patel (New Zealand nationality) conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition,the operation constituted public frauds and a violation of Section 343 of the Penal Code | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2215 | 18/12/2009 | Mr. Abdul Rashid | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Abdul Rashid conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds and a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2216 | 18/12/2009 | Mr. Kris Tawantan | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Kris Tawantan conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds and a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2217 | 18/12/2009 | Mr. Chukiet Sanjiew | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Chukiet Sanjiew conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds and a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2218 | 18/12/2009 | Mr. John Lia | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. John Lia conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds and a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2219 | 18/12/2009 | Mr. Peter Wu | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Peter Wu conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds and a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2220 | 18/12/2009 | Mr. Edoure Turi | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Edoure Turi conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds and a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2221 | 18/12/2009 | Mr. Wuthichai Wisutranukul | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Wuthichai Wisutranukul conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition the operation constituted public frauds and a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2222 | 18/12/2009 | Mr. Siripong Soda | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Siripong Soda conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds and a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2223 | 18/12/2009 | Mr. Wasan Kiewkao | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Wasan Kiewkao conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition,the operation constituted public frauds and a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | | |
| 2224 | 18/12/2009 | Mr. Surapong Chankrajang | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Surapong Chankrajang conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds and a violation of Section 343 of the Penal Code. | 108/2009 | Criminal Complaints | Extinction of criminal action due to the alleged offender's death. | |
| 2225 | 18/12/2009 | Glory Prosperity (Thailand) Co., Ltd. | 343 of the Penal Code / DV Act | Glory Prosperity (Thailand) Co., Ltd. dishonestly deceived the investors by asserting false statements in order to induce the investors to believe that the company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal Code. | 108/2009 | Criminal Complaints | The public prosecutor issued a non-prosecution order. The case was deemed final. | |
| 2226 | 03/09/2009 | Mr.Sompong Wittayarakson | 307 308 309 311 312 313 / SEC Act | Mr. Sompong Witthayaraksan, former Chairman of S.E.C. Auto Sales and Services Plc. (SECC) responsible for the operation of SECC, dishonestly violated his duties and caused substantial damages to SECC by (1) embezzling Baht 42 million from SECC share subscription account, (2) misappropriating 25 customers’ car registration certificates, and (3) conspiring with another person to record fictitious car sale revenues worth Baht 30 million. | 78/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2227 | 03/09/2009 | Mr. Somchai Sriphayak | 307 308 311 in conjunction with 315 / SEC Act | Mr. Somchai Sriphayak aided and abetted Mr. Sompong Witthayaraksan, former Chairman of S.E.C. Auto Sales and Services Plc. (SECC) responsible for the operation of SECC, in embezzling Baht 42 million from SECC share subscription account. | 78/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2228 | 03/09/2009 | Ms. Mutita Nilsawad | 89/7 / SEC Act | Ms. Mutita Nilsawad, an assistant managing director for marketing and public relations of S.E.C. Auto Sales and Services Plc. (SECC) with the power to sign company check or withdrawal slip, failed to make proper verification before she jointly co-signed company payment checks or withdrawal slips in advance with another authorized director, causing the company to suffer losses. Her action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation of Section 89/7 of the SEA. | 78/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2229 | 03/09/2009 | Mr. Kornwiwat Wattanathamwong (formerly Phaibul Suksuthamwong) | 89/7 / SEC Act | Mr. Kornwiwat Wattanathamwong, (formerly Phaibul Suksuthamwong), former director and managing director of S.E.C. Auto Sales and Services Plc. (SECC) with the power to sign company check or withdrawal slip, failed to make proper verification before he jointly co-signed company payment checks or withdrawal slips in advance with another authorized director, causing the company to suffer losses. His action was deemed failure to perform duty with responsibility, due care, and loyalty for the best interest of the company, which was a violation of Section 89/7 of the SEA. | 78/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2230 | 20/08/2009 | Mr. Sompong Wittayaraksan | 307 308 311 313 / SEC Act | Mr. Sompong Witthayaraksan, former Chairman of S.E.C. Auto Sales and Services Plc. (SECC), conspired with Mr. Somchai Sriphayak, former authorized director of SECC Holding Co., Ltd. (SECC Holding), and Mr. Suriya Lapvisuthisin to embezzle SECC’s money by arranging for an extension of fictitious loans worth Baht 245 million to four nominees through its subsidiary, SECC Holding, causing damages to both companies. | 78/2009 | Criminal Complaints | This case is in the process of inquiry by the special prosecutor official. | |
| 2231 | 20/08/2009 | Mr. Suriya Lapvisuttisin | 307 308 311 in conjunction with 315 / SEC Act | Mr. Suriya Lapvisuthisin conspired with Mr. Sompong Witthayaraksan, former Chairman of S.E.C. Auto Sales and Services Plc. (SECC), and Mr. Somchai Sriphayak, former authorized director of SECC Holding Co., Ltd. (SECC Holding), to embezzle SECC’s money by arranging for an extension of fictitious loans worth Baht 245 million to four nominees through its subsidiary, SECC Holding, causing damages to both companies. | 78/2009 | Criminal Complaints | This case is in the process of inquiry by the special prosecutor official. | |
| 2232 | 20/08/2009 | Mr. Somchai Sripayak | 307 308 311 315 89/7 89/24 / SEC Act | Mr. Somchai Sriphayak, the former authorized director of SECC Holding Co., Ltd. (SECC Holding), conspired with Mr. Sompong Witthayaraksan, the former Chairman of S.E.C. Auto Sales and Services Plc. (SECC), and Mr. Suriya Lapvisuthisin to embezzle SECC’s money by arranging for an extension of fictitious loans worth 245 million baht to four nominees through its subsidiary, SECC Holding, causing damage to both companies. Additionally, Mr. Somchai, authorized to sign for money withdrawal on behalf of the company, misappropriated B30 million which had disappeared from SECC Holding’s account. | 78/2009 | Criminal Complaints | This case is in the process of inquiry by the special prosecutor official. | |
| 2233 | 20/08/2009 | M.L. Apisada Chayangkura (formerly M.L. Phatarawadee) | 89/7 89/24 / SEC Act | M.L. Apisada Chayangkura (formerly M.L. Phatarawadee), former director of SECC Holding Co., Ltd. (SECC Holding), failed to perform her duties as an SECC Holding’s director and executive with responsibility and due care by attending the Board of Directors’ meeting in which the fictitious loans worth Baht 245 million agenda was approved and granted as well as signing cheques which were handed to four borrowers. Her abovementioned failure was considered a contravention of Sections 89/7 and 89/24 of the Securities and Exchange Commission Act B.E. 2535 (1992). | 78/2009 | Criminal Complaints | This case is in the process of inquiry by the special prosecutor official. | |
| 2234 | 29/07/2009 | Mr. Suthep Akkawuttikrai | 300 / SEC Act | Mr. Suthep Akkawuttikrai, as an executive responsible for the operation of Picnic Corporation PLC (PICNI), failed to supervise the company to prepare and submit the financial statements for the six-month period ended June 30, 2008 to the SEC and the SET within the specified period. | | Criminal Complaints | The public prosecutor issued a non-prosecution order; the case was therefore deemed final. | |
| 2235 | 25/06/2009 | WSD Financial (NZ) Ltd. | 16 / DV Act | WSD Financial (NZ) Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, WSD Financial (NZ) Ltd. claimed to be legitimate licensee of derivatives business in Thailand , in fact it had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. | 54/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2236 | 25/06/2009 | Mr. Suwat Eiewaksorn | 16 / DV Act | Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). | 54/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2237 | 25/06/2009 | WSD International (Thailand) Co., Ltd. | 16 / DV Act | WSD International (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, WSD International (Thailand) Co., Ltd. claimed to be legitimate licensee of derivatives business in Thailand , in fact WSD Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. | 54/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2238 | 25/06/2009 | Wang Lee Global Market Co., Ltd. | 16 / DV Act | Wang Lee Global Market Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). | 54/2009 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2239 | 25/06/2009 | Glory Prosperity (Thailand) Co., Ltd. | 16 / DV Act | Glory Prosperity (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). | 54/2009 | Criminal Complaints | | |
| 2240 | 25/06/2009 | World Trading Prosperity Co., Ltd. | 16 / DV Act | World Trading Prosperity Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). | 54/2009 | Criminal Complaints | | |
| 2241 | 17/06/2009 | Mr. SomChai Kurujitkosol | 287 / SEC Act | The public prosecutor issued a non-prosecution order. The case was deemed final. | 50/2009 | Criminal Complaints | | |
| 2242 | 13/03/2009 | Suriya Lapvisuthisin | 307 308 311 / SEC Act | Mr. Suriya Lapvisuthisin, as an instigator, colluded with three other authorized directors of Picnic Corporation Plc. (“PICNI”), namely Mr. Suthep Akkawuthikrai, Mr. Phanuwat Lertviset and Miss Sasithorn Wuthiruengsakul, Asset Million Co., Ltd. (“AMC”) and its two directors at the time, namely Mrs. Wandee Tocharoen and Miss Lakhana Sawaengha, Silom Planner Co., Ltd. (“Silom”), Mr. Sonthaya Noicharoen, Mr. Thammanoon Thonglue, M.L.Chaipat Chayangkura and Mr. Thanongsak Srithongkham to defraud and embezzle PICNI assets, thereby causing damages to the company. | 28/2009 | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped and an arrest warrant was issued to bring the alleged offender to trial. | |
| 2243 | 13/03/2009 | Miss Sasithorn Wuthiruengsakul | 307 308 311 / SEC Act | Miss Sasithorn Wuthiruengsakul, former authorized director of Picnic Corporation Plc. (“PICNI”), colluded with Mr. Suriya Lapvisuthisin, as an instigator, two other PICNI authorized directors, namely Mr. Suthep Akkawuthikrai and Mr. Phanuwat Lertviset, Asset Million Co., Ltd. (“AMC”) and its two directors at that time, namely Mrs. Wandee Tocharoen and Miss Lakhana Sawaengha, Silom Planner Co., Ltd. (“Silom”), Mr. Sonthaya Noicharoen, Mr. Thammanoon Thonglue, M.L.Chaipat Chayangkura and Mr. Thanongsak Srithongkham to defraud and embezzle PICNI assets, thereby causing damages to the company. | 28/2009 | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped and an arrest warrant was issued to bring the alleged offender to trial.
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| 2244 | 13/03/2009 | Miss Lakhana Sawaengha | 315 / SEC Act | Miss Lakhana Sawaengha, former director of Asset Million Co., Ltd. (“AMC”), aided and abetted Mr. Suriya Lapvisuthisin, as an instigator, and three other authorized directors of Picnic Corporation Plc. (“PICNI”), namely Mr. Suthep Akkawuthikrai, Mr. Phanuwat Lertviset and Miss Sasithorn Wuthiruengsakul in defrauding and embezzling PICNI assets, thereby causing damages to the company. | 28/2009 | Criminal Complaints | The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped and an arrest warrant was issued to bring the alleged offender to trial.
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| 2245 | 13/03/2009 | Mr. Sonthaya Noicharoen | 315 / SEC Act | Mr. Sonthaya Noicharoen aided and abetted Mr. Suriya Lapvisuthisin, as an instigator, and three other authorized directors of Picnic Corporation Plc. (“PICNI”), namely Mr. Suthep Akkawuthikrai, Mr. Phanuwat Lertviset and Miss Sasithorn Wuthiruengsakul in defrauding and embezzling PICNI assets, thereby causing damages to the company. | 28/2009 | Criminal Complaints | | |
| 2246 | 13/03/2009 | M.L. Chaipat Chayangkura | 315 / SEC Act | M.L.Chaipat Chayangkura aided and abetted Mr. Suriya Lapvisuthisin, as an instigator, and three other authorized directors of Picnic Corporation Plc. (“PICNI”), namely Mr. Suthep Akkawuthikrai, Mr. Phanuwat Lertviset and Miss Sasithorn Wuthiruengsakul in defrauding and embezzling PICNI assets, thereby causing damages to the company. | 28/2009 | Criminal Complaints | | |
| 2247 | 26/12/2008 | Mr. Sompong Witthayaraksan | 307 308 311 312 / SEC Act | Mr. Sompong Witthayaraksan, former chairman responsible for the operation of S.E.C. Auto Sales and Services Plc. (SECC) and entrusted to manage the company assets, defrauded and embezzled the company’s money by falsifying purchasing documents of non-existent cars to deceive the company into paying the money to himself and other persons for those cars, thereby causing damages to the company. | 84/2008 | Criminal Complaints | This case is in the process of inquiry by the special case prosecutor official. | |
| 2248 | 26/12/2008 | Mr. Sompong Witthayaraksan | 312 / SEC Act | Mr. Sompong Witthayaraksan, the former chairman responsible for the operation of S.E.C. Auto Sales and Services Plc. (SECC), conspired with Miss Nipaporn Khomkla, the company’s assistant managing director for accounting and finance, to falsify documents and record fictitious car inventories in the company’s account. | 84/2008 | Criminal Complaints | This case is in the process of inquiry by the special case prosecutor official. | |
| 2249 | 26/12/2008 | Apple Group Company Limited | 315 / SEC Act | Apple Group Ltd. aided and abetted Mr. Sompong Witthayaraksan, former chairman of S.E.C. Auto Sales and Services Plc. (SECC) responsible for the operation of the company and entrusted to manage company assets, in defrauding and embezzling SECC’s money. | 84/2008 | Criminal Complaints | This case is in the process of inquiry by the special case prosecutor official. | |
| 2250 | 26/12/2008 | QR Auto Car Ltd. | 315 / SEC Act | QR Auto Car Ltd. aided and abetted Mr. Sompong Witthayaraksan, former chairman of S.E.C. Auto Sales and Services Plc. (SECC) responsible for the operation of the company and entrusted to manage company assets, in defrauding and embezzling SECC’s money. | 84/2008 | Criminal Complaints | This case is in the process of inquiry by the special case prosecutor official. | |
| 2251 | 26/12/2008 | Mr. Krit Eakmongkolkarn | 315 / SEC Act | Mr. Krit Eakmongkolkarn, authorized directors of Apple Group Ltd. and QR Auto Ltd., aided and abetted Mr. Sompong Witthayaraksan, former chairman of S.E.C. Auto Sales and Services Plc. (SECC) responsible for the operation of the company and entrusted to manage the company assets, in defrauding and embezzling SECC’s money. | 84/2008 | Criminal Complaints | This case is in the process of inquiry by the special case prosecutor official. | |
| 2252 | 30/07/2008 | Base Point Associate Company Limited | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Base Point Associate Company Limited conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Base Point Associate Company Limited and Victor Corporation (Thailand) without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. Furthermore, the operation violated Emergency Decree Governing Fraudulent Borrowing B.E.2547 (2004). | | Criminal Complaints | The statute of limitations ran out under the derivatives ACT B.E. 2546. | |
| 2253 | 30/07/2008 | Victor Corporation (Thailand) Limited | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Victor Corporation (Thailand) Limited conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Base Point Associate Company Limited and Victor Corporation (Thailand) without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. Furthermore, the operation violated Emergency Decree Governing Fraudulent Borrowing B.E.2547 (2004). | | Criminal Complaints | The statute of limitations ran out under the derivatives ACT B.E. 2546. | |
| 2254 | 30/07/2008 | Mr. Supun Kumsoodtee | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Supun Kumsoodtee conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Base Point Associate Company Limited and Victor Corporation (Thailand) without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. Furthermore, the operation violated Emergency Decree Governing Fraudulent Borrowing B.E.2547 (2004). | | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, attempt to arrest the offender failed and the statute of limitations ran out under the derivatives ACT B.E. 2546. | |
| 2255 | 30/07/2008 | Mr. Siripong Soda | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Siripong Soda conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Base Point Associate Company Limited and Victor Corporation (Thailand) without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act of B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. Furthermore, the operation violated Emergency Decree Governing Fraudulent Borrowing B.E.2547 (2004). | | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, attempt to arrest the offender failed and the statute of limitations ran out under the derivatives ACT B.E. 2546.
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| 2256 | 30/07/2008 | Mr.Adisak Dandgomane | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr.Adisak Dandgomane conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Base Point Associate Company Limited and Victor Corporation (Thailand) without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. Furthermore, the operation violated Emergency Decree Governing Fraudulent Borrowing B.E.2547 (2004). | | Criminal Complaints | The public prosecutor issued a prosecution order against the accused; however, attempt to arrest the offender failed and the statute of limitations ran out under the derivatives ACT B.E. 2546. | |
| 2257 | 30/07/2008 | Mr. Issara Maliwan | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Issara Maliwan conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Base Point Associate Company Limited and Victor Corporation (Thailand) without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. Furthermore, the operation violated Emergency Decree Governing Fraudulent Borrowing B.E.2547 (2004). | | Criminal Complaints | The Criminal Court dismissed the case. | |
| 2258 | 30/07/2008 | Mr. Teerawat Kumsen | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Teerawat Kumsen conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Base Point Associate Company Limited and Victor Corporation (Thailand) without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act of B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. Furthermore, the operation violated Emergency Decree Governing Fraudulent Borrowing B.E.2547 (2004). | | Criminal Complaints | The Criminal Court dismissed the case. | |
| 2259 | 30/07/2008 | Ms. Sa-ngiam Pimkotr | 303 / SEC Act | Ms. Sa-ngiam Pimkotr failed to comply with the competent officer's order to testify. | | Criminal Complaints | The Pathumwan District Court sentenced the accused to three-month imprisonment and a fine of Baht 7000. The jail term, however, was suspended. | |
| 2260 | 30/07/2008 | Ms. Somboon Pangphet | 303 / SEC Act | Ms. Somboon Pangphet failed to comply with the competent officer's order to testify. | | Criminal Complaints | The Pathumwan District Court sentenced the accused to three-month imprisonment and a fine of Baht 7000. The jail term, however, was suspended. | |
| 2261 | 25/06/2008 | T.H.K Trading Company Limited | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | T.H.K Trading Company Limited conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2262 | 25/06/2008 | Mr. Puttitorn Wongprakod | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Puttitorn Wongprakod conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2263 | 25/06/2008 | Ms. Tanyarat Kritchaiwat | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Ms. Tanyarat Kritchaiwat conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2264 | 25/06/2008 | Mr. Anusak Thongubol (or Visanu Rattanahiran) | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Anusak Thongubol (or Visanu Rattanahiran) conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2265 | 25/06/2008 | Mr. Kittipong Suttiphon | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Kittipong Suttiphon conspired with other alleged persons to operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 2266 | 25/06/2008 | Mr. Chanit Nuangkanya | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Chanit Nuangkanya conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2267 | 25/06/2008 | Mr. Lertsak Choosap | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Lertsak Choosap conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2268 | 25/06/2008 | Mr. Surin Phongphan | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Surin Phongphan conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2269 | 25/06/2008 | Mr. Pratchaya Noirit | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Pratchaya Noirit conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 2270 | 25/06/2008 | Mr. Tharnan Kitsirisanchai | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Tharnan Kitsirisanchai conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the Court of First Instance. | |
| 2271 | 25/06/2008 | Mrs. Nannaphat Phipatnaraporn | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mrs. Nannaphat Phipatnaraporn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 39/2008 | Criminal Complaints | This case is under consideration of the public prosecutor. | |
| 2272 | 10/01/2008 | Ms.kanokwan Tippayathoadtana | 243(1)(2) and 244 in conjunction with Section 83 of the Penal Code / SEC Act | During July 15, 2004 - February 9, 2005, Miss Kanokwan Tippayathoadtana, an investor contact (marketing officer) at Capital Nomura Securities PLC, aided and abetted in the share price manipulation of Chai Watana Tannery Group PLC (CWT) by handling the trading orders of CWT shares for a group of persons. She also traded CWT shares for herself through Mr. Payut Anantasitthikul's trading account in concealment and on a continual basis to mislead and lure the public into the trading. | 4/2008, 23/2011 | Criminal Complaints | The alleged offender escaped. | |
| 2273 | 10/01/2008 | Mr. Prayut Anantasidtikul | 243(1)(2) in conjunction with 244 and Section 86 of the Penal Code / SEC Act | During July 15, 2004 - February 9, 2005, Mr. Prayut Anantasidtikul aided and abetted Miss Kanokwan Tippayathoadtana in manipulating the share price of Watana Tannery Group PLC (CWT) by allowing the use of his trading account. | 4/2008, 23/2011 | Criminal Complaints | On March 14, 2011, the Criminal Court sentenced the accused to pay a fine of Baht 600,000 for violating Sections 243(1), (2), 244(2), (3) and 296 of the SEA in conjunction with Section 86 of the Penal Code. On June 9, 2011, the accused filed an appeal to the Court of First Instance. | |
| 2274 | 07/08/2007 | Oversea Bullion International Trading Company | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Oversea Bullion International Trading Company conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Oversea bullion international trading Company Limited without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546. In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 63/2007 | Criminal Complaints | The company was dissolved. Therefore, the public prosecutor could not further the case.
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| 2275 | 07/08/2007 | Mr. Tawee Uengaksorn | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Tawee Uengaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Oversea bullion international trading Company Limited without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546. In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 63/2007 | Criminal Complaints | On January 26, 2015, the Bangkok South Criminal Court found an defendant was death, the right to prosecute shall be extinguished pursuant to section 39(1) of Code of Criminal procedure. The Court disposed of the case. | |
| 2276 | 07/08/2007 | Mr. Chaiporn Pongmongkulsam | 16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code / DV Act | Mr. Chaiporn Pongmongkulsam conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Oversea bullion international trading Company Limited without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546. In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. | 63/2007 | Criminal Complaints | On July 31, 2014, the Bangkok South Criminal Court dismissed the case. | |
| 2277 | 13/10/2006 | Mr. Anan Keatkamjohnpattana | 315 / SEC Act | Mr. Anan Keatkamjohnpattana aided and abetted Mr. Theeratchanon Lapvisutisin and Ms. Supaporn Lapvisutisin in committing offences. The action was considered as a violation of Section 315 of the Securities and Exchange Act B.E. 2535. | 069/2006 | Criminal Complaints | On October 7, 2020, the Criminal Court sentenced the defendant to 10 years in prison. The defendant exercised the right to appeal. The case is under consideration of the Appeal Court.
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| 2278 | 18/07/2006 | Mr. Siva Nganthavee | 307 308 311 / SEC Act | Mr. Siva Nganthavee, the former chairman and chief executive officer of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to misappropriate company assets or obtain unlawful gains for himself or other persons, causing damage to CIRKIT. | 49/2006 | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out. | |
| 2279 | 18/07/2006 | Mr. Siva Nganthavee | 312 / SEC Act | Mr. Siva Nganthavee, the former chairman and chief executive officer of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to commit or permit another to produce fraud documents and prepare incorrect financial statements to deceive other persons. | 49/2006 | Criminal Complaints | the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out.
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| 2280 | 18/07/2006 | Mr. Sukit Nganthavee | 307 308 311 / SEC Act | Mr. Sukit Nganthavee, the former director of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to misappropriate company assets or obtain unlawful gains for himself or other persons, causing damage to CIRKIT. | 49/2006 | Criminal Complaints | the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out. | |
| 2281 | 18/07/2006 | Mr. Sukit Nganthavee | 312 / SEC Act | Mr. Sukit Nganthavee, the former director of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to commit or permit another to produce fraud documents and prepare incorrect financial statements to deceive other persons. | 49/2006 | Criminal Complaints | the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out.
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| 2282 | 18/07/2006 | Mr. Lee Wolff | 307 308 311 / SEC Act | Mr. Lee Wolff, the former managing director of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to misappropriate company assets or obtain unlawful gains for himself or other persons, causing damage to CIRKIT. | 49/2006 | Criminal Complaints | the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out. | |
| 2283 | 18/07/2006 | Mr. Lee Wolff | 312 / SEC Act | Mr. Lee Wolff, the former managing director of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to commit or permit another to produce fraud documents and prepare incorrect financial statements to deceive other persons. | 49/2006 | Criminal Complaints | the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out. | |
| 2284 | 18/07/2006 | Mr. Somboon Kritchanchai | 307 308 311 / SEC Act | Mr. Somboon Kritchanchai, the former deputy managing director for accounting and finance of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to misappropriate company assets or obtain unlawful gains for himself or other persons, causing damage to CIRKIT. | 49/2006 | Criminal Complaints | the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out. | |
| 2285 | 18/07/2006 | Mr. Somboon Kritchanchai | 312 / SEC Act | Mr. Somboon Kritchanchai, the former deputy managing director for accounting and finance of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to commit or permit another to produce fraud documents and prepare incorrect financial statements to deceive other persons. | 49/2006 | Criminal Complaints | the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out. | |
| 2286 | 18/07/2006 | Mrs. Watjana Bhukaswan | 307 308 311 / SEC Act | Mrs. Watjana Bhukaswan, the former deputy chairperson of Circuit Electronics Industries Plc. (“CIRKIT”), conspired with other executives of CIRKIT to misappropriate company assets or obtain unlawful gains for herself or other persons, causing damage to CIRKIT. | 49/2006 | Criminal Complaints | the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out.
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| 2287 | 18/07/2006 | Mr. Vacharapong Chuenprateep | 315 / SEC Act | Mr. Vacharapong Chuenprateep aided and abetted Mr. Siva Nganthavee, Mrs. Watjana Bhukaswan, Mr. Sukit Nganthavee, Mr. Lee Wolff, and Mr. Somboon Kritchanchai, former executives of Circuit Electronics Industries Plc. (“CIRKIT”), in misappropriating company assets or obtaining unlawful gains for themselves or other persons, thereby causing damage to CIRKIT. | 49/2006 | Criminal Complaints | the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out. | |
| 2288 | 04/10/2005 | Mr. Chishiro Fukuda | 312 / SEC Act | During January - August 2003, Mr. Chishiro Fukuda, the former DAIDO chairman, conspired with Mr.Pisarn Charaslertrangsi, the former DAIDO deputy chairman for finance and accounting, to falsify documents about financial aid from Coke in order to record as revenue, resulting in increase of profits in the financial statements for the year 2002 of DAIDO. In addition, he colluded with Miss Nachaporn Likhitsirisup, the former deputy chairperson of Daidomon Group PLC (“DAIDO”), to make false documents and fictitious records in the company accounts concerning the purchase of decoration equipment from Budget Ltd. and New Tique Ltd. to conceal expenses. It led to decrease of loss in the financial statements for Q1-Q2/2003 of DAIDO. Such actions misled DAIDO’s shareholders or any persons about the company’s financial position. | 100/2005, 182/2014 | Criminal Complaints | | - This case is under consideration of the supreme court.
- The Attorney-General issued a supplementary prosecution order according to the Director-General of DSI’s conflicting opinion on additional charges under Section 307, 308, 309, 311, 313 and 315 of the Securities and Exchange Act and under Section 264 and 268 of the Penal Code, and on the additional three alleged offenders.
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| 2289 | 04/10/2005 | Mr.Pisarn Charaslertrangsi | 312 / SEC Act | During January - August 2003, Mr. Pisarn Charaslertrangsi, the former DAIDO deputy chairman for finance and accounting, conspired with Mr. Chishiro Fukuda, the former DAIDO chairman, to falsify documents about financial aid from Coke in order to record as revenue, resulting in increase of profits in the financial statements for the year 2002 of DAIDO. In addition, he colluded with Miss Nachaporn Likhitsirisup, the former deputy chairperson of Daidomon Group PLC (“DAIDO”), to make false documents and fictitious records in the company accounts concerning the purchase of decoration equipment from Budget Ltd. and New Tique Ltd. to conceal expenses. It led to decrease of loss in the financial statements for Q1-Q2/2003 of DAIDO. Such actions misled DAIDO’s shareholders or any persons about the company’s financial position. | 100/2005, 182/2014 | Criminal Complaints | | - This case is under consideration of the supreme court.
- The Attorney-General issued a supplementary prosecution order according to the Director-General of DSI’s conflicting opinion on additional charges under Section 307, 308, 309, 311, 313 and 315 of the Securities and Exchange Act and under Section 264 and 268 of the Penal Code, and on the additional three alleged offenders.
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| 2290 | 04/10/2005 | Miss Nachaporn Likhitsirisup | 312 / SEC Act | During January - August 2003, Miss Nachaporn Likhitsirisup, the former deputy chairperson of Daidomon Group PLC (“DAIDO”), conspired with Mr. Chishiro Fukuda, the former DAIDO chairman, and Mr.Pisarn Charaslertrangsi, the former DAIDO deputy chairman for finance and accounting, to falsify documents and make false records in the company accounts concerning the purchase of decoration equipment from Budget Ltd. and New Tique Ltd. in order to conceal expenses. It led to decrease of loss in the financial statements for Q1-Q2/2003 of DAIDO, thereby misleading DAIDO’s shareholders or any persons about the company’s financial position. | 100/2005, 182/2014 | Criminal Complaints | | - This case is under consideration of the supreme court.
- The Attorney-General issued a supplementary prosecution order according to the Director-General of DSI’s conflicting opinion on additional charges under Section 307, 308, 309, 311, 313 and 315 of the Securities and Exchange Act and under Section 264 and 268 of the Penal Code, and on the additional three alleged offenders.
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| 2291 | 30/06/2005 | Ms. Nuchanat Pariksuwan | 315 / SEC Act | Ms. Nuchanat Pariksuwan aided and abetted Mr.Theeratchanon Lapvisutisin and Ms.Supaporn Lapvisutisin to commit the offences, thereby violating section 315 of the SEA. | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case. The Court sentenced the accused to five year imprisonment for entering into gas tank renting contract with PICNI as one of the counterparties. | This case is under consideration of the Supreme Court. |
| 2292 | 30/06/2005 | Ms.Supaporn Lapvisutisin | 312 / SEC Act | Ms.Supaporn Lapvisutisin, as senior executive vice president of Picnic Corporation Plc. (PICNI), together with other director of PICNI, prepared the financial statement of PICNI containing materially false or incorrect statement in order to deceive others. The action was violation of Section 312 of Securities and Exchange Act B.E. 2535. | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case and sentenced the accused to12 year imprisonment for breaching of Section 56 and Section 312 of Securities and Exchange Act of 1992 with the following offences: (1) For her responsibility over PICNI operations in 2004 when she jointly made changes to the contracts to let bottling plants owned by her families or under her control rent gas tanks from PICNI and made false entries in the accounting document with an intention to deceive others. She also recorded false revenues in the ledger and used such numbers in the company’s financial statements for Q2, Q3 and 2004. Consequently, PICNI’s financial statements in 2004 showed irregular profits of 178,440,072 baht, which was mainly contributed by the gas tank rental fees.
(2) For making false entries in the accounting documents, financial statements and minutes of the board’s meeting to deceive others that the company approved the loan of 85,000,000 baht to Orn-Uma Construction Limited Partnership and P. Price Supplies and Construction Co., Ltd. | This case is under consideration of the Supreme Court. |
| 2293 | 30/06/2005 | Mr. Krit Proicharoen | 315 / SEC Act | Mr. Krit Proicharoen aided and abetted Mr.Theeratchanon Lapvisutisin and Ms.Supaporn Lapvisutisin to commit the offences, thereby violating Section 315 of the SEA | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case. The Court sentenced the accused to five year imprisonment for entering into gas tank renting contract with PICNI as one of the counterparties. | This case is under consideration of the Supreme Court. |
| 2294 | 30/06/2005 | Mr. Charoemchai Chuppa | 315 / SEC Act | Mr. Charoemchai Chuppa aided and abetted Mr.Theeratchanon Lapvisutisin and Ms.Supaporn Lapvisutisin to commit the offences, thereby violating Section 315 of the SEA. | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case. The Court sentenced the accused to five year imprisonment for entering into gas tank renting contract with PICNI as one of the counterparties. | This case is under consideration of the Supreme Court. |
| 2295 | 30/06/2005 | Mr. Taweesab Kieukkeitsak | 315 / SEC Act | Mr. Taweesab Kieukkeitsak aided and abetted Mr.Theeratchanon Lapvisutisin and Ms.Supaporn Lapvisutisin to commit the offences, thereby violating Section 315 of the SEA. | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case. The Court sentenced the accused to five year imprisonment for entering into gas tank renting contract with PICNI as one of the counterparties. | This case is under consideration of the Supreme Court. |
| 2296 | 30/06/2005 | Mr. Theeratchanon Lapvisutisin | 312 / SEC Act | Mr.Theeratchanon Lapvisutisin, as president of Picnic Corporation Plc. (PICNI), together with other director of PICNI, prepared the financial statement of PICNI containing materially false or incorrect statement in order to deceive others. The action was violation of Section 312 of Securities and Exchange Act B.E. 2535 | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case and sentenced the accused to12 year imprisonment for breaching of Section 56 and Section 312 of Securities and Exchange Act of 1992 with the following offences: (1) For his responsibility over PICNI operations in 2004 when he jointly made changes to the contracts to let bottling plants owned by his families or under his control rent gas tanks from PICNI and made false entries in the accounting document with an intention to deceive others. He also recorded false revenues in the ledger and used such numbers in the company’s financial statements for Q2, Q3 and 2004. Consequently, PICNI’s financial statements in 2004 showed irregular profits of 178,440,072 baht, which was mainly contributed by the gas tank rental fees.
(2) For making false entries in the accounting documents, financial statements and minutes of the board’s meeting to deceive others that the company approved the loan of 85,000,000 baht to Orn-Uma Construction Limited Partnership and P. Price Supplies and Construction Co., Ltd. | This case is under consideration of the Supreme Court. |
| 2297 | 30/06/2005 | Mr.Theeratchanon Lapvisutisin | 307 308 311 / SEC Act | Mr.Theeratchanon Lapvisutisin, as president of of Picnic Corporation Plc. (PICNI), fraudulently caused damage to PICNI by misappropriating the company's money for thier own benefits, which fraudulently caused damage to PICNI's property, violating Section 307, 308, 311. | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court sustained the judgment of the Court of First Instance on November 24, 2006 that dismissed the case. | This case is under consideration of the Supreme Court. |
| 2298 | 30/06/2005 | Mr. Porames Laongsuwan | 315 / SEC Act | Mr. Porames Laongsuwan aided and abetted Mr.Theeratchanon Lapvisutisin and Ms.Supaporn Lapvisutisin to commit the offences, thereby violating Section 315 of the SEA. | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case. The Court sentenced the accused to five year imprisonment for entering into gas tank renting contract with PICNI as one of the counterparties. | This case is under consideration of the Supreme Court. |
| 2299 | 30/06/2005 | Mr. Pinij Putrasart | 315 / SEC Act | Mr. Pinij Putrasart aided and abetted Mr.Theeratchanon Lapvisutisin and Ms.Supaporn Lapvisutisin to commit the offences, thereby violating Section 315 of the SEA. | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case. The Court sentenced the accused to five year imprisonment for entering into gas tank renting contract with PICNI as one of the counterparties. | This case is under consideration of the Supreme Court. |
| 2300 | 30/06/2005 | Mr. Piriya Thawon | 315 / SEC Act | Mr. Piriya Thawon aided and abetted Mr.Theeratchanon Lapvisutisin and Ms.Supaporn Lapvisutisin to commit the offences, thereby violating Section 315 of the SEA. | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case. The Court sentenced the accused to five year imprisonment for entering into gas tank renting contract with PICNI as one of the counterparties. | This case is under consideration of the Supreme Court. |
| 2301 | 30/06/2005 | Mr. Anukul Tanroengkiet | 315 / SEC Act | Mr. Anukul Tanroengkiet aided and abetted Mr.Theeratchanon Lapvisutisin and Ms.Supaporn Lapvisutisin to commit the offences, thereby violating Section 315 of the SEA. | 067/2005, 018/2012 | Criminal Complaints | The Appeal Court overturned the judgment of the Court of First Instance on November 24, 2006 that dismissed the case. The Court sentenced the accused to five year imprisonment for entering into gas tank renting contract with PICNI as one of the counterparties. | This case is under consideration of the Supreme Court. |
| 2302 | 05/04/2005 | Data Resources Asia Co., Ltd. | 90 / SEC Act | Between July 2004 and 17 December 2004, Data Resources Asia Co., Ltd. with other alleged persons operated securities brokerage business, soliciting foreign clients to invest in securities, in Thailand under the name of " Gulf Pacific Asset Management Ltd." without proper licenses granted, violating Section 90. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the alleged offender failed. | |
| 2303 | 05/04/2005 | Mr. Robert Edward Jowett | 90 / SEC Act | Between July 2004 and 17 December 2004, Mr. Robert Edward Jowett with other alleged persons operated securities brokerage business, soliciting foreign clients to invest in securities, in Thailand under the name of " Gulf Pacific Asset Management Ltd." without proper licenses granted, violating Section 90. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the alleged offender failed. | |
| 2304 | 05/04/2005 | Mr. Robert Edward Jowett | 301 / SEC Act | Mr. Robert Edward Jowett as the director responsible for the operation of Data Resources Asia Co., Ltd. violated Section 301. | | Criminal Complaints | The public prosecutor issued a prosecution order; however, attempt to arrest the alleged offender failed. | |
| 2305 | 09/03/2004 | Bowen Reece Co., Ltd. | 90 / SEC Act | Between August 2001 and 22 May 2003, Bowen Reece Co., Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in securities in Thailand under the name of "Chartered Asset Management" and "Bowen Reece" without proper licenses granted, violating Section 90. | 022/2004, 012/2006 | Criminal Complaints | The public prosecutor issued a prosecution order; however, its juristic person representative has evaded the arrest and has been pursued for case proceedings. | |
| 2306 | 09/03/2004 | Harvey Dunbar Co., Ltd. | 90 / SEC Act | Between August 2001 and 22 May 2003, Harvey Dunbar Co., Ltd. with other alleged persons operated securities brokerage business solicited foreign clients to invest in securities in Thailand under the name of "Chartered Asset Management" and "Bowen Reece" without proper licenses granted, violating Section 90. | 022/2004, 012/2006 | Criminal Complaints | The public prosecutor issued a prosecution order; however, its juristic person representative has evaded the arrest and has been pursued for case proceedings. | |
| 2307 | 09/03/2004 | Desktop Marketing Co.,Ltd. | 90 / SEC Act | Between August 2001 and 22 May 2003, Desktop Marketing Co.,Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in securities in Thailand under the name of "Chartered Asset Management" and "Bowen Reece" without proper licenses granted, violating Section 90. | 022/2004, 012/2006 | Criminal Complaints | The public prosecutor issued a prosecution order; however, its juristic person representative has evaded the arrest and has been pursued for case proceedings. | |
| 2308 | 09/03/2004 | Logical Solution Co., Ltd. | 90 / SEC Act | Between August 2001 and 22 May 2003, Logical Solution Co., Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in securities in Thailand under the name of "Chartered Asset Management" and "Bowen Reece" without proper licenses granted, violating Section 90. | 022/2004, 012/2006 | Criminal Complaints | The public prosecutor issued a prosecution order; however, its juristic person representative has evaded the arrest and has been pursued for case proceedings. | |
| 2309 | 09/03/2004 | Mr. Graham Leslie Arthur Peveller | 90 / SEC Act | Between August 2001 and 22 May 2003, Mr. Graham Leslie Arthur Peveller with other alleged persons operated securities brokerage business and solicited foreign clients to invest in securities in Thailand under the name of "Chartered Asset Management" and "Bowen Reece" without proper licenses granted, violating Section 90. | 022/2004, 012/2006 | Criminal Complaints | The public prosecutor issued a prosecution order; however, the alleged offender has evaded the arrest and has been pursued for case proceedings. | |
| 2310 | 09/03/2004 | Mr. Matthew Stanley Pearsall | 90 / SEC Act | Between August 2001 and 22 May 2003, Mr. Matthew Stanley Pearsall with other alleged persons operated securities brokerage business and solicited foreign clients to invest in securities in Thailand under the name of "Chartered Asset Management" and "Bowen Reece" without proper licenses granted, violating Section 90. | 022/2004, 012/2006 | Criminal Complaints | The public prosecutor issued a prosecution order; however, the alleged offender has evaded the arrest and has been pursued for case proceedings. | |
| 2311 | 09/03/2004 | Mr. Graham Leslie Arthur Peveller | 301 / SEC Act | Mr. Graham Leslie Arthur Peveller as the Director responsible for the operation of Chartered Asset Management Co.,Ltd., Bowen Reece Co., Ltd., Harvey Dunbar Co., Ltd. CJB Asia Co., Ltd., and Desktop Marketing Co.,Ltd. violated Section 301. | 022/2004, 012/2006 | Criminal Complaints | The public prosecutor issued a prosecution order; however, the alleged offender has evaded the arrest and has been pursued for case proceedings. | |
| 2312 | 09/03/2004 | Mr. Matthew Stanley Pearsall | 301 / SEC Act | Mr. Matthew Stanley Pearsall as the Director responsible for the operation of Logical Solution Co., Ltd. violated section 301. | 022/2004, 012/2006 | Criminal Complaints | The public prosecutor issued a prosecution order; however, the alleged offender has evaded the arrest and has been pursued for case proceedings. | |
| 2313 | 02/12/2003 | Bill Trade Co.,Ltd. | 90 / SEC Act | Between 10 February and 23 April 2003, Bill Trade Co.,Ltd. with other alleged persons operated securities brokerage businesses, soliciting clients to invest in securities listed in the Stock Exchange of Thailand under the name of "Bill Trade" without proper licenses granted, violating Section 90. | 32/2003 | Criminal Complaints | On February 9, 2011, the court sentenced the accused to a fine of 173,000 baht. The accused appealed against the judgment of the Court. | |
| 2314 | 02/12/2003 | Mr. Soonthorn Boonnueng | 301 / SEC Act | Mr. Soonthorn Boonnueng as the Director responsible for the operation of Bill Trade Co.,Ltd operated securities brokerage businesses without proper licenses granted, violating Section 301. | 32/2003 | Criminal Complaints | On February 9, 2011, the court sentenced the accused to one-year imprisonment. The accused appealed against the judgment of the Court. | |
| 2315 | 26/07/2001 | Mr. Ravi Pattiyawongse | 90 and Section 343 of the Penal Code / SEC Act | Between 2000 and 2001, Mr. Ravi Pattiyawongse with other alleged persons operated securities brokerage businesses, soliciting foreign clients to invest in securities, in Thailand under the name of "Benson Dupont" and "Morgan Pacific" without proper licenses granted, violating Section 90 of the SEA. In addition, the operation constituted public frauds, contravening Section 343 of the Penal Code. | 18/2001 | Criminal Complaints | On September 27, 2017, The Supreme Court ruled that the accused operated unlicensed securities business in the name of BENSON DUPONT in violating section 90 of SEA and sentenced the accused to three year imprisonment. As the accused’s plea was useful to proceeding, the Court reduced the punishment by one-third, resulting in two year imprisonment. | |
| 2316 | 05/06/2001 | An unspecified person | 304 / SEC Act | Destruction of the seals the competent officers made on the seized assets in connection with "Antella Investment". | 12/2001 | Criminal Complaints | | |
| 2317 | 05/06/2001 | Mr. James Gray | 305 / SEC Act | Removal of the assets seized by the competent officers through execution of their duties in connection with "Antella Investment Inc.". | 12/2001 | Criminal Complaints | | |
| 2318 | 05/06/2001 | Mr. James Gray | 301 / SEC Act | Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. | 12/2001 | Criminal Complaints | | |
| 2319 | 05/06/2001 | Antella Investment Inc. | 90 / SEC Act | Between 1997 and 2000, Antella Investment Inc. operated securities brokerage businesses, soliciting foreign clients to invest in securities, in Thailand under the name of "Antella Investment" without proper licenses granted. | 12/2001 | Criminal Complaints | | |
| 2320 | 30/04/2001 | Mr. George Rogers Davison (Later changed to Mr.Jatudej Dejwicharn) | 307 308 311 / SEC Act | Between September 1996 and March 1999, Mr. George Rogers Davison, the President of Phoenex Pulp & Paper PLC (PPPC), misappropriated PPPC's money to invest in and pay off debts of the companies over which he had full control for his own benefit, causing damage to PPPC's property, violating Section 307, 308 & 311. | 7/2001 | Criminal Complaints | The public prosecutor issued a prosecution order; however, the alleged offender has evaded the arrest and has been pursued for case proceedings. | |
| 2321 | 00/00/0000 | Miss Thunyarat Suksawad | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Miss Thunyarat Suksawad colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2322 | 00/00/0000 | Mr. Kittiphat Suksawad | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Mr. Kittiphat Suksawad colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2323 | 00/00/0000 | Mr. Wallop Suksawat | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Mr. Wallop Suksawat colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | | Civil Sanction | | |
| 2324 | 00/00/0000 | Mrs. Wassana Viriyatornphan | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Mrs. Wassana Viriyatornphan colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2325 | 00/00/0000 | Miss Tasanee Wongjirat | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Miss Tasanee Wongjirat colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2326 | 00/00/0000 | Mr. Saravut Udomtham | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Mr. Saravut Udomtham colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2327 | 00/00/0000 | Mrs. Sujit Udomtham | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Mrs. Sujit Udomtham colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2328 | 00/00/0000 | Mr. Kraiwut Dittajorn | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Mr. Kraiwut Dittajorn colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2329 | 00/00/0000 | Mrs. Amon Siriphanitchayakit | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Mrs. Amon Siriphanitchayakit colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2330 | 00/00/0000 | Mr. Prasopsuk Sawatdee | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Mr. Prasopsuk Sawatdee colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2331 | 00/00/0000 | Mr. Thanaris Pornpattanajamsai | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Mr. Thanaris Pornpattanajamsai colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2332 | 00/00/0000 | Miss Audcharapron Radchanajun | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Miss Audcharapron Radchanajun colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2333 | 00/00/0000 | Mr. Phuthitorn Tamthum | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 April 2018 – 5 October 2018, Mr. Phuthitorn Tamthum colluded with 12 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2334 | 00/00/0000 | Mr. Suppharoek Kwaennoi | 244/3 (1)(2) in conjunction with Section 315 / SEC Act (the fifth amendment) | Mr. Suppharoek Kwaennoi aided or abetted Mr. Thanaris Pornpattanajamsai and Miss Audcharapron Radchanajun that colluded with other person to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition during 24 April 2018 – 5 October 2018. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2335 | 00/00/0000 | Miss Thunyarat Suksawad | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Miss Thunyarat Suksawad colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2336 | 00/00/0000 | Mr. Kittiphat Suksawad | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Mr. Kittiphat Suksawad colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2337 | 00/00/0000 | Mr. Khaneungnit Chinda | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Mr. Khaneungnit Chinda colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2338 | 00/00/0000 | Mrs. Wassana Viriyatornphan | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Mrs. Wassana Viriyatornphan colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2339 | 00/00/0000 | Miss Tasanee Wongjirat | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Miss Tasanee Wongjirat colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | | Civil Sanction | | |
| 2340 | 00/00/0000 | Miss Sunee Saelo | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Miss Sunee Saelo colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2341 | 00/00/0000 | Mr. Saravut Udomtham | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Mr. Saravut Udomtham colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2342 | 00/00/0000 | Mrs. Sujit Udomtham | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Mrs. Sujit Udomtham colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2343 | 00/00/0000 | Mr. Kraiwut Dittajorn | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Mr. Kraiwut Dittajorn colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2344 | 00/00/0000 | Mrs. Amon Siriphanitchayakit | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Mrs. Amon Siriphanitchayakit colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited (“ECF”)’s shares by placing trading orders or trading ECF’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2345 | 00/00/0000 | Mr. Prasopsuk Sawatdee | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Mr. Prasopsuk Sawatdee colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2346 | 00/00/0000 | Mr. Thanaris Pornpattanajamsai | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Mr. Thanaris Pornpattanajamsai colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2347 | 00/00/0000 | Miss Audcharapron Radchanajun | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Miss Audcharapron Radchanajun colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | | |
| 2348 | 00/00/0000 | Mr. Phuthitorn Tamthum | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 22 December 2017 – 23 April 2018, Mr. Phuthitorn Tamthum colluded with 13 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. In this regard, Suppharoek assisted or facilitated Thanaris and Audcharapron with such actions. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2349 | 00/00/0000 | Mr. Suppharoek Kwaennoi | 244/3 (1)(2) in conjunction with Section 315 / SEC Act (the fifth amendment) | Mr. Suppharoek Kwaennoi aided or abetted Mr. Thanaris Pornpattanajamsai and Miss Audcharapron Radchanajun that colluded with other person to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition during 22 December 2017 – 23 April 2018. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2350 | 00/00/0000 | Miss Thunyarat Suksawad | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Miss Thunyarat Suksawad colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2351 | 00/00/0000 | Mr. Kittiphat Suksawad | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mr. Kittiphat Suksawad colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2352 | 00/00/0000 | Mr. Wallop Suksawat | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mr. Wallop colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2353 | 00/00/0000 | Mr. Khaneungnit Chinda | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mr. Khaneungnit Chinda colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2354 | 00/00/0000 | Mrs. Wassana Viriyatornphan | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mrs. Wassana Viriyatornphan colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2355 | 00/00/0000 | Miss Tasanee Wongjirat | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Miss Tasanee Wongjirat colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2356 | 00/00/0000 | Miss Sunee Saelo | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Miss Sunee Saelo colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2357 | 00/00/0000 | Mr. Thitikorn Fookasem | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mr. Thitikorn Fookasem colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2358 | 00/00/0000 | Mr. Saravut Udomtham | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mr. Saravut Udomtham colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2359 | 00/00/0000 | Mrs. Sujit Udomtham | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mrs. Sujit Udomtham colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2360 | 00/00/0000 | Mr. Kraiwut Dittajorn | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mr. Kraiwut Dittajorn colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2361 | 00/00/0000 | Mrs. Amon Siriphanitchayakit | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mrs. Amon Siriphanitchayakit colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2362 | 00/00/0000 | Mr. Prasopsuk Sawatdee | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mr. Prasopsuk Sawatdee colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | | |
| 2363 | 00/00/0000 | Mr. Thanaris Pornpattanajamsai | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mr. Thanaris Pornpattanajamsai colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2364 | 00/00/0000 | Miss Audcharapron Radchanajun | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Miss Audcharapron Radchanajun colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | | |
| 2365 | 00/00/0000 | Mr. Phuthitorn Tamthum | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 August 2017 – 21 December 2017, Mr. Phuthitorn Tamthum colluded with 15 persons to manipulate the securities price of East Coast Furnitech Public Company Limited ("ECF")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 238/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2366 | 00/00/0000 | Miss Neeranud Petchpradab | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | - | 250/2025 | Civil Sanction | | |
| 2367 | 00/00/0000 | Mr. Teerapong Porapha | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | - | 250/2025 | Civil Sanction | | |
| 2368 | 00/00/0000 | Miss Saovanee Nimisilp | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | - | 250/2025 | Civil Sanction | | |
| 2369 | 00/00/0000 | Mr. Yuttichai Pranee | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | - | 250/2025 | Civil Sanction | | |
| 2370 | 00/00/0000 | Mr. Preecha Kraikruan | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 31 March 2020 – 8 May 2020, Mr. Preecha Kraikruan colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities (UREKA) by placing trading orders or trading UREKA’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 195/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2371 | 00/00/0000 | Mr. Sarayuth Kong-um | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 31 March 2020 – 8 May 2020, Mr. Sarayuth Kong-um colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities (UREKA) by placing trading orders or trading UREKA’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 195/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2372 | 00/00/0000 | MR. PASU WACHIRAPONG | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | - | 146/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2373 | 00/00/0000 | MR. VICHAN WACHIRAPONG | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | - | 146/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2374 | 00/00/0000 | MR. AKARAT VANARAT | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | - | 146/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2375 | 00/00/0000 | MR. NATTHAWAT PIBOONTHANAAMORN | 244/3 (1)(2) in conjunction with Section 315 / SEC Act (the fifth amendment) | - | 146/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2376 | 00/00/0000 | Miss Yupin Chivikrai | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 September 2018 – 6 November 2018, Miss Yupin Chivikrai colluded with 9 persons to manipulate the securities price of Thai Capital Corporation Public Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading TCC’s shares, TCC-W3 TCC-W4 and TCC-W5 in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 097/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2377 | 00/00/0000 | Mr. Naruechit Rojjanayangkoon | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 September 2018 – 6 November 2018, Mr. Naruechit Rojjanayangkoon colluded with 9 persons to manipulate the securities price of Thai Capital Corporation Public Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading TCC’s shares, TCC-W3 TCC-W4 and TCC-W5 in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 097/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2378 | 00/00/0000 | Mr. Pramot Phongwarakorn | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 24 September 2018 – 6 November 2018, Mr. Pramot Phongwarakorn colluded with 9 persons to manipulate the securities price of Thai Capital Corporation Public Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading TCC’s shares, TCC-W3 TCC-W4 and TCC-W5 in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 097/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2379 | 00/00/0000 | Mr.Suthee Siripornpitak | 244/3 (1) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) / SEC Act (the fifth amendment) | During the period of 18 August 2021 (afternoon trading session) to
31 August 2021, Mr.Suthee Siripornpitak colluded with Mr. Peeranut Siripornpitak, to manipulate the stock price of RPCG Public Company (RPC) by placing trading securities in such a way that misleads other persons regarding the price or volume of RPC stocks trading.
| 15/2025 | Civil Sanction | for more details please see SEC news No. | |
| 2380 | 00/00/0000 | Mr. Thanaris Pornpattanajamsai | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During the period of 27 March 2018 to 28 May 2018, Mr. Thanaris Pornpattanajamsai colluded with others to manipulate the stock price of Bangkok Sheet Metal Public Company Limited by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition.
| 075/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2381 | 00/00/0000 | Miss Audcharapron Radchanajun | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During the period of 27 March 2018 to 28 May 2018, Miss Audcharapron Radchanajun colluded with others to manipulate the stock price of Bangkok Sheet Metal Public Company Limited by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | for more details please see SEC news No. | |
| 2382 | 00/00/0000 | Mr. Saksumit Samornpitakul | 244/3 (1) (2) in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During the period of 27 March 2018 to 28 May 2018, Mr. Saksumit Samornpitakul colluded with others to manipulate the stock price of Bangkok Sheet Metal Public Company Limited by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 075/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2383 | 00/00/0000 | Mrs.Ananya Ruangsakvichit | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018 and during 3 July 2018 to 9 August 2018, Mrs.Ananya Ruangsakvichit colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2384 | 00/00/0000 | Mrs.Kingkarn Smitananda | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018, Mrs.Kingkarn Smitananda colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2385 | 00/00/0000 | Miss Narumon Mangtab | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018 and during 3 July 2018 to 9 August 2018, Miss Narumon Mangtab colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2386 | 00/00/0000 | Mr.Dome Promayorn | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018 and during 3 July 2018 to 9 August 2018, Mr.Dome Promayorn colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2387 | 00/00/0000 | Miss Nutjanan Siriruchiyothai | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018 and during 3 July 2018 to 9 August 2018, Miss Nutjanan Siriruchiyothai colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2388 | 00/00/0000 | Mr. Susitak Achariyasombat | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018, Mr. Susitak Achariyasombat colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2389 | 00/00/0000 | Mr.Thanakit Achariyasombat | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018, Mr.Thanakit Achariyasombat
colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition.
| 055/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2390 | 00/00/0000 | Miss Pattharee Wongthonglin | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018 and during 3 July 2018 to 9 August 2018, Miss Pattharee Wongthonglin colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2391 | 00/00/0000 | Mr.Praphol Milindachinla | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018 and during 3 July 2018 to 9 August 2018, Mr.Praphol Milindachinla colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | for more details please see SEC news No. | |
| 2392 | 00/00/0000 | Mr. Karn Promayorn | 244/3 (1) and 244/3 (2) / SEC Act (the fifth amendment) | During the period of 12 January 2018 to 12 February 2018 and during 3 July 2018 to 9 August 2018, Mr. Karn Promayorn colluded with others to manipulate the stock price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 055/2024 | Civil Sanction | for more details please see SEC news No. | |
