| No. | Enforcement Date | Name | Relevant Section/Law | Summarized Facts | SEC News | Type of Enforcement | Details | Remark |
|---|
| 1 | 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. | |
| 2 | 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. | |
| 3 | 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. | |
| 4 | 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.
| |
| 5 | 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. | |
| 6 | 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. | |
| 7 | 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. | |
| 8 | 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. | |
| 9 | 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. | |
| 10 | 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. | |
| 11 | 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. | |
| 12 | 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. | |
| 13 | 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. | |
| 14 | 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 | |
| 15 | 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. | |
| 16 | 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. | |
| 17 | 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. | |
| 18 | 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. | |
| 19 | 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. | |
| 20 | 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. | |
| 21 | 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. | |
| 22 | 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 | |
| 23 | 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. | |
| 24 | 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. | |
| 25 | 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. | |
| 26 | 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. | |
| 27 | 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. | |
| 28 | 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. | |
| 29 | 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. | |
| 30 | 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. | |
| 31 | 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. | |
| 32 | 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. | |
| 33 | 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. | |
| 34 | 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. | |
| 35 | 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 | | |
| 36 | 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 | | |
| 37 | 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. | |
| 38 | 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. | |
| 39 | 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. | |
| 40 | 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. | |
| 41 | 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 | | |
| 42 | 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 | | |
| 43 | 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 | | |
| 44 | 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 | | |
| 45 | 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. | |
| 46 | 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. | |
| 47 | 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. | |
| 48 | 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. | |
| 49 | 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. | |
| 50 | 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. | |
| 51 | 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. | |
| 52 | 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. | |
| 53 | 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. | |
| 54 | 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.
| |
| 55 | 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. | |
| 56 | 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. | |
| 57 | 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. | |
| 58 | 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. | |
| 59 | 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. | |
| 60 | 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. | |
| 61 | 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. | |
| 62 | 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. | |
| 63 | 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. | |
| 64 | 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. | |
| 65 | 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. | |
| 66 | 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. | |
| 67 | 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. | |
| 68 | 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. | |
| 69 | 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. | |
| 70 | 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. | |
| 71 | 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. | |
| 72 | 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. | |
| 73 | 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. | |
| 74 | 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. | |
| 75 | 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. | |
| 76 | 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. | |
| 77 | 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. | |
| 78 | 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. | |
| 79 | 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. | |
| 80 | 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. | |
| 81 | 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 | |
| 82 | 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. | |
| 83 | 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. | |
| 84 | 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. | |
| 85 | 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. | |
| 86 | 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. | |
| 87 | 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. | |
| 88 | 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. | |
| 89 | 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. | |
| 90 | 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. | |
| 91 | 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. | |
| 92 | 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 | | |
| 93 | 16/01/2025 | Mr. chatree chuensuksinsup | 300 in conjunction with 56(4) / SEC Act | | | Criminal Complaints | | |
| 94 | 16/01/2025 | Mr.Pipat Chanasongkram | 300 in conjunction with 56(4) / SEC Act | | | Criminal Complaints | | |
| 95 | 16/01/2025 | Mr. Kusol Sangkananta | 300 in conjunction with 56(4) / SEC Act | | | Criminal Complaints | | |
| 96 | 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 | |
| 97 | 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 | |
| 98 | 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 | |
| 99 | 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 | |
| 100 | 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 | |
| 101 | 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 | |
| 102 | 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. | |
| 103 | 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. | |
| 104 | 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. | |
| 105 | 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. | |
| 106 | 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. | |
| 107 | 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. | |
| 108 | 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. | |
| 109 | 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. | |
| 110 | 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. | |
| 111 | 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. | |
| 112 | 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. | |
| 113 | 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. | |
| 114 | 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. | |
| 115 | 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. | |
| 116 | 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. | |
| 117 | 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 | | |
| 118 | 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. | |
| 119 | 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. | |
| 120 | 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. | |
| 121 | 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. | |
| 122 | 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. | |
| 123 | 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. | |
| 124 | 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. | |
| 125 | 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. | |
| 126 | 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. | |
| 127 | 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. | |
| 128 | 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. | |
| 129 | 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. | |
| 130 | 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. | |
| 131 | 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. | |
| 132 | 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. | |
| 133 | 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. | |
| 134 | 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. | |
| 135 | 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. | |
| 136 | 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. | |
| 137 | 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. | |
| 138 | 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. | |
| 139 | 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. | |
| 140 | 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. | |
| 141 | 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. | |
| 142 | 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. | |
| 143 | 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. | |
| 144 | 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. | |
| 145 | 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. | |
| 146 | 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. | |
| 147 | 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. | |
| 148 | 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. | |
| 149 | 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. | |
| 150 | 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. | |
| 151 | 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. | |
| 152 | 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. | |
| 153 | 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. | |
| 154 | 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. | |
| 155 | 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. | |
| 156 | 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. | |
| 157 | 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. | |
| 158 | 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 | | |
| 159 | 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. | |
| 160 | 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. | |
| 161 | 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. | |
| 162 | 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. | |
| 163 | 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. | |
| 164 | 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. | |
| 165 | 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. | |
| 166 | 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. | |
| 167 | 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. | |
| 168 | 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. | |
| 169 | 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. | |
| 170 | 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. | |
| 171 | 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. | |
| 172 | 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. | |
| 173 | 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. | |
| 174 | 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. | |
| 175 | 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. | |
| 176 | 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 | | |
| 177 | 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. | |
| 178 | 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. | |
| 179 | 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. | |
| 180 | 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. | |
| 181 | 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. | |
| 182 | 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. | |
| 183 | 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. | |
| 184 | 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. | |
| 185 | 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. | |
| 186 | 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. | |
| 187 | 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. | |
| 188 | 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. | |
| 189 | 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. | |
| 190 | 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. | |
| 191 | 21/06/2024 | Renaissance Fund Management LTD. | 106 / SEC Act | | | Criminal Complaints | | |
| 192 | 11/06/2024 | Group Lease Public Company Limited | 56(1) / SEC Act | | | Criminal Complaints | | |
| 193 | 11/06/2024 | Mr. Riki Ishigami | 300 in conjunction with 56(1) / SEC Act | | | Criminal Complaints | | |
| 194 | 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 | |
| 195 | 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 | |
| 196 | 09/04/2024 | Three Sixty Five Public Company Limite | 56(2)(3)(4) / SEC Act | | | Criminal Complaints | | |
| 197 | 09/04/2024 | Mr. Jesada Supasai | 300 in conjunction with 56(2)(4) / SEC Act | | | Criminal Complaints | | |
| 198 | 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 | |
| 199 | 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 | |
| 200 | 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 | |
| 201 | 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 | |
| 202 | 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 | |
| 203 | 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 | |
| 204 | 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 | | |
| 205 | 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 | | |
| 206 | 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 | | |
| 207 | 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 | | |
| 208 | 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 | | |
| 209 | 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 | | |
| 210 | 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 | | |
| 211 | 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 | | |
| 212 | 21/03/2024 | PACE DEVELOPMENT CORPORATION PUBLIC COMPANY LIMITED | 56(2)(3)(4) / SEC Act | | | Criminal Complaints | | |
| 213 | 21/03/2024 | Mr. Sorapoj Techakraisri | 300 in conjunction with 56(2)(4) / SEC Act | | | Criminal Complaints | | |
| 214 | 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. | |
| 215 | 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. | |
| 216 | 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. | |
| 217 | 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. | |
| 218 | 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. | |
| 219 | 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 | |
| 220 | 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 | |
| 221 | 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. | |
| 222 | 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 | |
| 223 | 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 | |
| 224 | 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
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| 225 | 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 | |
| 226 | 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 | |
| 227 | 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 | |
| 228 | 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 | |
| 229 | 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. | |
| 230 | 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 | |
| 231 | 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 | |
| 232 | 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 | |
| 233 | 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 | |
| 234 | 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 | |
| 235 | 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. | |
| 236 | 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. | |
| 237 | 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.
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| 238 | 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. | |
| 239 | 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. | |
| 240 | 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. | |
| 241 | 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. | |
| 242 | 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. | |
| 243 | 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. | |
| 244 | 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. | |
| 245 | 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. | |
| 246 | 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. | |
| 247 | 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. | |
| 248 | 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. | |
| 249 | 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. | |
| 250 | 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 | | |
| 251 | 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 | | |
| 252 | 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 | | |
| 253 | 27/12/2023 | ENERGY MAHANAKHON COMPANY LIMITED | 34 / SEC Act | | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 254 | 27/12/2023 | Mr. Pornlert Techaratanopas | 34 / SEC Act | | | Criminal Complaints | | |
| 255 | 27/12/2023 | Miss Yaowaluck Pukpikul | 34 / SEC Act | | | Criminal Complaints | | |
| 256 | 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. | |
| 257 | 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. | |
| 258 | 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. | |
| 259 | 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. | |
| 260 | 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. | |
| 261 | 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. | |
| 262 | 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. | |
| 263 | 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. | |
| 264 | 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. | |
| 265 | 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. | |
| 266 | 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. | |
| 267 | 01/11/2023 | Renaissance Fund Management LTD. | 97 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 268 | 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. | |
| 269 | 01/11/2023 | Renaissance Fund Management LTD. | 105 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 270 | 01/11/2023 | Renaissance Fund Management LTD | 105 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 271 | 01/11/2023 | Renaissance Fund Management LTD | 106 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 272 | 01/11/2023 | Renaissance Fund Management LTD | 106 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 273 | 01/11/2023 | Renaissance Fund Management LTD | 106 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 274 | 01/11/2023 | Renaissance Fund Management LTD | 104 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 275 | 01/11/2023 | Renaissance Fund Management LTD | 133 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 276 | 01/11/2023 | Renaissance Fund Management LTD. | 133 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 277 | 01/11/2023 | Renaissance Fund Management LTD. | 133 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 278 | 01/11/2023 | Renaissance Fund Management LTD. | 143 / SEC Act | | | Criminal Complaints | This case is in the process of investigation by the inquiry official. | |
| 279 | 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. | |
| 280 | 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. | |
| 281 | 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. | |
| 282 | 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. | |
| 283 | 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. | |
| 284 | 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. | |
| 285 | 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. | |
| 286 | 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. | |
| 287 | 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. | |
| 288 | 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. | |
| 289 | 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. | |
| 290 | 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. | |
| 291 | 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. | |
| 292 | 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. | |
| 293 | 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.
| |
| 294 | 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 | | |
| 295 | 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 | | |
| 296 | 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 | | |
| 297 | 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 | | |
| 298 | 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 | | |
| 299 | 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 | | |
| 300 | 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 | | |
| 301 | 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 | | |
| 302 | 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 | | |
| 303 | 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 | | |
| 304 | 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 | | |
| 305 | 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 | | |
| 306 | 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 | | |
| 307 | 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 | | |
| 308 | 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 | | |
| 309 | 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 | | |
| 310 | 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 | | |
| 311 | 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 | | |
| 312 | 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 | | |
| 313 | 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 | | |
| 314 | 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 | | |
| 315 | 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 | | |
| 316 | 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 | | |
| 317 | 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 | | |
| 318 | 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 | | |
| 319 | 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 | | |
| 320 | 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 | | |
| 321 | 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 | | |
| 322 | 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 | | |
| 323 | 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 | | |
| 324 | 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 | | |
| 325 | 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 | | |
| 326 | 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. | |
| 327 | 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. | |
| 328 | 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. | |
| 329 | 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 | | |
| 330 | 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. | |
| 331 | 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. | |
| 332 | 18/04/2023 | PACE DEVELOPMENT CORPORATION PUBLIC COMPANY LIMITED | 56(2)(4) / SEC Act | | | Criminal Complaints | | |
| 333 | 18/04/2023 | Mr. Sorapoj Techakraisri | 300 in conjunction with 56(2)(4) / SEC Act | | | Criminal Complaints | | |
| 334 | 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. | |
| 335 | 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. | |
| 336 | 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. | |
| 337 | 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. | |
| 338 | 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. | |
| 339 | 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. | |
| 340 | 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. | |
| 341 | 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. | |
| 342 | 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. | |
| 343 | 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. | |
| 344 | 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. | |
| 345 | 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. | |
| 346 | 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. | |
| 347 | 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. | |
| 348 | 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. | |
| 349 | 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. | |
| 350 | 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. | |
| 351 | 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. | |
| 352 | 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. | |
| 353 | 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. | |
| 354 | 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. | |
| 355 | 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. | |
| 356 | 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. | |
| 357 | 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. | |
| 358 | 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. | |
| 359 | 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. | |
| 360 | 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. | |
| 361 | 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. | |
| 362 | 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 | | |
| 363 | 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 | | |
| 364 | 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 | | |
| 365 | 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 | | |
| 366 | 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 | | |
| 367 | 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 | | |
| 368 | 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 | | |
| 369 | 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 | | |
| 370 | 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 | | |
| 371 | 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 | | |
| 372 | 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 | | |
| 373 | 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 | | |
| 374 | 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 | | |
| 375 | 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 | | |
| 376 | 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 | | |
| 377 | 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 | | |
| 378 | 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 | | |
| 379 | 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 | | |
| 380 | 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. |
| 381 | 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. |
| 382 | 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. |
| 383 | 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. |
| 384 | 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. |
| 385 | 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. |
| 386 | 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. |
| 387 | 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. |
| 388 | 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 | | |
| 389 | 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 | | |
| 390 | 29/12/2022 | Asia Wealth Securities Company Limited | 98(3) / SEC Act | Is being processed. | 243/2022 | Criminal Complaints | | |
| 391 | 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. | |
| 392 | 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. | |
| 393 | 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. | |
| 394 | 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. | |
| 395 | 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. | |
| 396 | 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. | |
| 397 | 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. | |
| 398 | 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. | |
| 399 | 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. | |
| 400 | 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. | |
| 401 | 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. | |
| 402 | 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. | |
| 403 | 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. | |
| 404 | 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. | |
| 405 | 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. | |
| 406 | 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. | |
| 407 | 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. | |
| 408 | 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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| 409 | 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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| 410 | 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. | |
| 411 | 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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| 412 | 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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| 413 | 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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| 414 | 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.
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| 415 | 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.
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| 416 | 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.
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| 417 | 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.
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| 418 | 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.
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| 419 | 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. | |
| 420 | 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. | |
| 421 | 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. | |
| 422 | 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. | |
| 423 | 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 | | |
| 424 | 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 | | |
| 425 | 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 | | |
| 426 | 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 | | |
| 427 | 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 | | |
| 428 | 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. | |
| 429 | 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. | |
| 430 | 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. | |
| 431 | 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. | |
| 432 | 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. | |
| 433 | 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. | |
| 434 | 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. | |
| 435 | 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. | |
| 436 | 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. | |
| 437 | 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. | |
| 438 | 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. | |
| 439 | 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. | |
| 440 | 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. | |
| 441 | 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. | |
| 442 | 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. | |
| 443 | 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. | |
| 444 | 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. | |
| 445 | 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. | |
| 446 | 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. | |
| 447 | 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. | |
| 448 | 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. | |
| 449 | 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. | |
| 450 | 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. | |
| 451 | 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. | |
| 452 | 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 | | |
| 453 | 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 | | |
| 454 | 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. | |
| 455 | 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. | |
| 456 | 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. | |
| 457 | 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. | |
| 458 | 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. | |
| 459 | 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. | |
| 460 | 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. | |
| 461 | 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. | |
| 462 | 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. | |
| 463 | 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. | |
| 464 | 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. | |
| 465 | 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. | |
| 466 | 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. | |
| 467 | 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. | |
| 468 | 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. | |
| 469 | 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. | |
| 470 | 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. | |
| 471 | 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. | |
| 472 | 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. | |
| 473 | 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. | |
| 474 | 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. | |
| 475 | 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. | |
| 476 | 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. | |
| 477 | 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. | |
| 478 | 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. | |
| 479 | 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. | |
| 480 | 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. | |
| 481 | 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. | |
| 482 | 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. | |
| 483 | 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. | |
| 484 | 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. | |
| 485 | 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. | |
| 486 | 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. | |
| 487 | 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. | |
| 488 | 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. | |
| 489 | 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. | |
| 490 | 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. | |
| 491 | 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. | |
| 492 | 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. | |
| 493 | 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. | |
| 494 | 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. | |
| 495 | 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. | |
| 496 | 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. | |
| 497 | 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. | |
| 498 | 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. | |
| 499 | 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 | | |
| 500 | 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. | |
| 501 | 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. | |
| 502 | 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. | |
| 503 | 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. | |
| 504 | 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. | |
| 505 | 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. | |
| 506 | 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. | |
| 507 | 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. | |
| 508 | 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. | |
| 509 | 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. | |
| 510 | 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. | |
| 511 | 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. | |
| 512 | 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. | |
| 513 | 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. | |
| 514 | 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. | |
| 515 | 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. | |
| 516 | 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. | |
| 517 | 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. | |
| 518 | 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. | |
| 519 | 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. | |
| 520 | 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. | |
| 521 | 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. | |
| 522 | 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. | |
| 523 | 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. | |
| 524 | 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. | |
| 525 | 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. | |
| 526 | 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. | |
| 527 | 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. | |
| 528 | 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. | |
| 529 | 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. | |
| 530 | 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. | |
| 531 | 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. | |
| 532 | 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. | |
| 533 | 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. | |
| 534 | 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. | |
| 535 | 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. | |
| 536 | 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. | |
| 537 | 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. | |
| 538 | 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. | |
| 539 | 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. | |
| 540 | 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. | |
| 541 | 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. | |
| 542 | 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. | |
| 543 | 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. | |
| 544 | 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. | |
| 545 | 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. | |
| 546 | 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. | |
| 547 | 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. | |
| 548 | 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. | |
| 549 | 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. | |
| 550 | 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. | |
| 551 | 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. | |
| 552 | 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. | |
| 553 | 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. | |
| 554 | 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. | |
| 555 | 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. | |
| 556 | 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. | |
| 557 | 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. | |
| 558 | 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. | |
| 559 | 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. | |
| 560 | 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. | |
| 561 | 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. | |
| 562 | 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. | |
| 563 | 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. | |
| 564 | 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. | |
| 565 | 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. | |
| 566 | 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. | |
| 567 | 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. | |
| 568 | 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. | |
| 569 | 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. | |
| 570 | 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. | |
| 571 | 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. | |
| 572 | 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. | |
| 573 | 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. | |
| 574 | 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. | |
| 575 | 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. | |
| 576 | 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. | |
| 577 | 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. | |
| 578 | 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. | |
| 579 | 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. | |
| 580 | 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. | |
| 581 | 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. | |
| 582 | 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. | |
| 583 | 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.. | |
| 584 | 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. | |
| 585 | 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. | |
| 586 | 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. | |
| 587 | 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.
| |
| 588 | 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 | | |
| 589 | 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 | | |
| 590 | 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 | | |
| 591 | 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. | |
| 592 | 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. | |
| 593 | 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. | |
| 594 | 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. | |
| 595 | 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. | |
| 596 | 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. | |
| 597 | 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. | |
| 598 | 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. | |
| 599 | 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. | |
| 600 | 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. | |
| 601 | 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. | |
| 602 | 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. | |
| 603 | 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. | |
| 604 | 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. | |
| 605 | 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. | |
| 606 | 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. | |
| 607 | 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. | |
| 608 | 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. | |
| 609 | 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 | | |
| 610 | 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 | | |
| 611 | 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. | |
| 612 | 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. | |
| 613 | 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. | |
| 614 | 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. | |
| 615 | 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. | |
| 616 | 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. | |
| 617 | 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. | |
| 618 | 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. | |
| 619 | 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. | |
| 620 | 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. | |
| 621 | 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. | |
| 622 | 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. | |
| 623 | 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. | |
| 624 | 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. | |
| 625 | 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. | |
| 626 | 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. | |
| 627 | 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. | |
| 628 | 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. | |
| 629 | 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. | |
| 630 | 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. | |
| 631 | 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. | |
| 632 | 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. | |
| 633 | 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. | |
| 634 | 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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| 635 | 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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| 636 | 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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| 637 | 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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| 638 | 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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| 639 | 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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| 640 | 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. | |
| 641 | 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. | |
| 642 | 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. | |
| 643 | 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. | |
| 644 | 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. | |
| 645 | 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. | |
| 646 | 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. | |
| 647 | 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. | |
| 648 | 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. | |
| 649 | 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. | |
| 650 | 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. | |
| 651 | 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. | |
| 652 | 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. | |
| 653 | 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. | |
| 654 | 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. | |
| 655 | 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. | |
| 656 | 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. | |
| 657 | 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. | |
| 658 | 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. | |
| 659 | 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. | |
| 660 | 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. | |
| 661 | 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. | |
| 662 | 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. | |
| 663 | 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. | |
| 664 | 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.
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| 665 | 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. | |
| 666 | 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. | |
| 667 | 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.. | |
| 668 | 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. | |
| 669 | 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. | |
| 670 | 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. | |
| 671 | 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. | |
| 672 | 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. | |
| 673 | 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. | |
| 674 | 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. | |
| 675 | 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. | |
| 676 | 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. | |
| 677 | 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. | |
| 678 | 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. | |
| 679 | 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. | |
| 680 | 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. | |
| 681 | 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. | |
| 682 | 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. | |
| 683 | 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. | |
| 684 | 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. | |
| 685 | 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. | |
| 686 | 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. | |
| 687 | 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. | |
| 688 | 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. | |
| 689 | 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. | |
| 690 | 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. | |
| 691 | 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. | |
| 692 | 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. | |
| 693 | 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. | |
| 694 | 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. | |
| 695 | 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. | |
| 696 | 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. | |
| 697 | 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. | |
| 698 | 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. | |
| 699 | 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. | |
| 700 | 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. | |
| 701 | 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. | |
| 702 | 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. | |
| 703 | 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. | |
| 704 | 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. | |
| 705 | 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. | |
| 706 | 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. | |
| 707 | 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. | |
| 708 | 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. | |
| 709 | 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. | |
| 710 | 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. | |
| 711 | 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. | |
| 712 | 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. | |
| 713 | 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. | |
| 714 | 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. | |
| 715 | 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. | |
| 716 | 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. | |
| 717 | 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. | |
| 718 | 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 | |
| 719 | 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. | |
| 720 | 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. | |
| 721 | 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. | |
| 722 | 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. | |
| 723 | 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. | |
| 724 | 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. | |
| 725 | 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. | |
| 726 | 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. | |
| 727 | 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. | |
| 728 | 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. | |
| 729 | 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. | |
| 730 | 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. | |
| 731 | 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. | |
| 732 | 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. | |
| 733 | 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. | |
| 734 | 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. | |
| 735 | 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. | |
| 736 | 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. | |
| 737 | 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. | |
| 738 | 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. | |
| 739 | 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. | |
| 740 | 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. | |
| 741 | 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. | |
| 742 | 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. | |
| 743 | 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. | |
| 744 | 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.
| |
| 745 | 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. | |
| 746 | 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. | |
| 747 | 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. | |
| 748 | 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. | |
| 749 | 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. | |
| 750 | 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. | |
| 751 | 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. | |
| 752 | 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. | |
| 753 | 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. | |
| 754 | 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. | |
| 755 | 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. | |
| 756 | 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. | |
| 757 | 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. | |
| 758 | 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. | |
| 759 | 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. | |
| 760 | 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. | |
| 761 | 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. | |
| 762 | 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. | |
| 763 | 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. | |
| 764 | 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. | |
| 765 | 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. | |
| 766 | 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. | |
| 767 | 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. | |
| 768 | 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. | |
| 769 | 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. | |
| 770 | 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. | |
| 771 | 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. | |
| 772 | 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. |
| 773 | 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. | |
| 774 | 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. | |
| 775 | 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. | |
| 776 | 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. | |
| 777 | 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. | |
| 778 | 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. | |
| 779 | 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. |
| 780 | 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. |
| 781 | 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. |
| 782 | 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. |
| 783 | 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. |
| 784 | 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. |
| 785 | 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. |
| 786 | 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. |
| 787 | 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. |
| 788 | 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. | |
| 789 | 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. | |
| 790 | 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. | |
| 791 | 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. | |
| 792 | 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. | |
| 793 | 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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| 794 | 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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| 795 | 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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| 796 | 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. | |
| 797 | 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. | |
| 798 | 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. | |
| 799 | 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. | |
| 800 | 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. | |
| 801 | 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. | |
| 802 | 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. | |
| 803 | 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. | |
| 804 | 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. | |
| 805 | 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. | |
| 806 | 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. | |
| 807 | 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. | |
| 808 | 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. | |
| 809 | 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. | |
| 810 | 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. | |
| 811 | 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. | |
| 812 | 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. | |
| 813 | 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. | |
| 814 | 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. | |
| 815 | 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. | |
| 816 | 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. | |
| 817 | 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. | |
| 818 | 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. | |
| 819 | 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. | |
| 820 | 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. | |
| 821 | 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. | |
| 822 | 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. | |
| 823 | 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. | |
| 824 | 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. | |
| 825 | 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. | |
| 826 | 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. | |
| 827 | 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. | |
| 828 | 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. | |
| 829 | 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. |
| 830 | 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. | |
| 831 | 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. | |
| 832 | 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. | |
| 833 | 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). | |
| 834 | 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. | |
| 835 | 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. | |
| 836 | 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. | |
| 837 | 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. | |
| 838 | 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. | |
| 839 | 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. | |
| 840 | 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. | |
| 841 | 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. | |
| 842 | 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. | |
| 843 | 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. | |
| 844 | 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. | |
| 845 | 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. | |
| 846 | 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. | |
| 847 | 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. | |
| 848 | 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. | |
| 849 | 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. | |
| 850 | 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. | |
| 851 | 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. | |
| 852 | 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. | |
| 853 | 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. | |
| 854 | 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. | |
| 855 | 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. | |
| 856 | 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. | |
| 857 | 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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| 858 | 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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| 859 | 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. | |
| 860 | 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. | |
| 861 | 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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| 862 | 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. | |
| 863 | 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. | |
| 864 | 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. | |
| 865 | 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. | |
| 866 | 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. | |
| 867 | 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. |
| 868 | 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. | |
| 869 | 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. | |
| 870 | 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. | |
| 871 | 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. | |
| 872 | 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. | |
| 873 | 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. | |
| 874 | 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. | |
| 875 | 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. | |
| 876 | 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. | |
| 877 | 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. | |
| 878 | 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. | |
| 879 | 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. | |
| 880 | 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. | |
| 881 | 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. | |
| 882 | 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. | |
| 883 | 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. | |
| 884 | 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. | |
| 885 | 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. | |
| 886 | 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. | |
| 887 | 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. | |
| 888 | 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. | |
| 889 | 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. | |
| 890 | 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. | |
| 891 | 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. | |
| 892 | 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. | |
| 893 | 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.
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| 894 | 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. | |
| 895 | 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. | |
| 896 | 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. | |
| 897 | 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. | |
| 898 | 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. | |
| 899 | 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. | |
| 900 | 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. | |
| 901 | 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. | |
| 902 | 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. | |
| 903 | 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. | |
| 904 | 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. | |
| 905 | 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. | |
| 906 | 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. | |
| 907 | 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. | |
| 908 | 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. | |
| 909 | 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 | | |
| 910 | 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. | |
| 911 | 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 | | |
| 912 | 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. | |
| 913 | 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. | |
| 914 | 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. | |
| 915 | 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. | |
| 916 | 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 | | |
| 917 | 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. | |
| 918 | 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 | | |
| 919 | 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. | |
| 920 | 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. | |
| 921 | 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. | |
| 922 | 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. | |
| 923 | 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. | |
| 924 | 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. | |
| 925 | 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. | |
| 926 | 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. | |
| 927 | 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. | |
| 928 | 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. | |
| 929 | 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. | |
| 930 | 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. | |
| 931 | 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. | |
| 932 | 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. | |
| 933 | 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.
| |
| 934 | 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.
| |
| 935 | 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. | |
| 936 | 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 | |
| 937 | 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. | |
| 938 | 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. | |
| 939 | 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. | |
| 940 | 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. | |
| 941 | 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. | |
| 942 | 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. | |
| 943 | 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. | |
| 944 | 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. | |
| 945 | 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 | | |
| 946 | 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 | | |
| 947 | 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. | |
| 948 | 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 | | |
| 949 | 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 | | |
| 950 | 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 | | |
| 951 | 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. | |
| 952 | 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. | |
| 953 | 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. | |
| 954 | 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. | |
| 955 | 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. | |
| 956 | 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. | |
| 957 | 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. | |
| 958 | 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. | |
| 959 | 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. |
| 960 | 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. |
| 961 | 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. |
| 962 | 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. |
| 963 | 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. |
| 964 | 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. |
| 965 | 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. |
| 966 | 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. |
| 967 | 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. |
| 968 | 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 | | |
| 969 | 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 | | |
| 970 | 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. |
| 971 | 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. |
| 972 | 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. |
| 973 | 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. |
| 974 | 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. |
| 975 | 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. |
| 976 | 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. |
| 977 | 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. |
| 978 | 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. |
| 979 | 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 | | |
| 980 | 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. | |
| 981 | 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. | |
| 982 | 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 | | |
| 983 | 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 | . | |
| 984 | 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. | |
| 985 | 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. | |
| 986 | 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. | |
| 987 | 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. | |
| 988 | 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. | |
| 989 | 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. | |
| 990 | 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 | | |
| 991 | 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 | | |
| 992 | 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
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| 993 | 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
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| 994 | 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. |
| 995 | 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. | |
| 996 | 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. | |
| 997 | 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. | |
| 998 | 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. | |
| 999 | 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. | |
| 1000 | 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. | |
| 1001 | 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.
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| 1002 | 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.
| |
| 1003 | 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.
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| 1004 | 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. | |
| 1005 | 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. | |
| 1006 | 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.
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| 1007 | 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. | |
| 1008 | 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. | |
| 1009 | 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. | |
| 1010 | 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. | |
| 1011 | 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. | |
| 1012 | 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. | |
| 1013 | 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. | |
| 1014 | 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. | |
| 1015 | 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. | |
| 1016 | 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. | |
| 1017 | 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. | |
| 1018 | 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.. | |
| 1019 | 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. | |
| 1020 | 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. | |
| 1021 | 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. | |
| 1022 | 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. | |
| 1023 | 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. | |
| 1024 | 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. | |
| 1025 | 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. | |
| 1026 | 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. | |
| 1027 | 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. | |
| 1028 | 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. | |
| 1029 | 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. | |
| 1030 | 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. | |
| 1031 | 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. | |
| 1032 | 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. | |
| 1033 | 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. | |
| 1034 | 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. | |
| 1035 | 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. | |
| 1036 | 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. | |
| 1037 | 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. | |
| 1038 | 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. | |
| 1039 | 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. | |
| 1040 | 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. | |
| 1041 | 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.
| |
| 1042 | 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 | | |
| 1043 | 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 | | |
| 1044 | 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. | |
| 1045 | 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. | |
| 1046 | 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. | |
| 1047 | 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. | |
| 1048 | 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. | |
| 1049 | 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. | |
| 1050 | 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. | |
| 1051 | 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. | |
| 1052 | 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. | |
| 1053 | 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. | |
| 1054 | 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. | |
| 1055 | 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. | |
| 1056 | 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. | |
| 1057 | 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. | |
| 1058 | 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. | |
| 1059 | 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. | |
| 1060 | 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. | |
| 1061 | 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. | |
| 1062 | 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 | | |
| 1063 | 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. | |
| 1064 | 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. | |
| 1065 | 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. | |
| 1066 | 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. | |
| 1067 | 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. | |
| 1068 | 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. | |
| 1069 | 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. | |
| 1070 | 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. | |
| 1071 | 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. | |
| 1072 | 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. | |
| 1073 | 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. | |
| 1074 | 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. | |
| 1075 | 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. | |
| 1076 | 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. | |
| 1077 | 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. | |
| 1078 | 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 | | |
| 1079 | 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 | | |
| 1080 | 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 | | |
| 1081 | 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. | |
| 1082 | 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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| 1083 | 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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| 1084 | 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 | | |
| 1085 | 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 | | |
| 1086 | 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. | |
| 1087 | 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. | |
| 1088 | 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. | |
| 1089 | 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. | |
| 1090 | 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. | |
| 1091 | 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. | |
| 1092 | 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. | |
| 1093 | 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. | |
| 1094 | 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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| 1095 | 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. | |
| 1096 | 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. | |
| 1097 | 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. | |
| 1098 | 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. | |
| 1099 | 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. | |
| 1100 | 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. | |
| 1101 | 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. | |
| 1102 | 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. | |
| 1103 | 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. | |
| 1104 | 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. | |
| 1105 | 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. | |
| 1106 | 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. | |
| 1107 | 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. | |
| 1108 | 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. | |
| 1109 | 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. | |
| 1110 | 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. | |
| 1111 | 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. | |
| 1112 | 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. | |
| 1113 | 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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| 1114 | 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. | |
| 1115 | 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. | |
| 1116 | 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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| 1117 | 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. | |
| 1118 | 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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| 1119 | 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. | |
| 1120 | 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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| 1121 | 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. | |
| 1122 | 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. | |
| 1123 | 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. | |
| 1124 | 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. | |
| 1125 | 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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| 1126 | 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. | |
| 1127 | 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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| 1128 | 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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| 1129 | 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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| 1130 | 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. |
| 1131 | 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. |
| 1132 | 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. |
| 1133 | 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. |
| 1134 | 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. |
| 1135 | 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. |
| 1136 | 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. |
| 1137 | 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. |
| 1138 | 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. |
| 1139 | 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. |
| 1140 | 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. |
| 1141 | 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. | |
| 1142 | 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. | |
| 1143 | 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. | |
| 1144 | 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. | |
| 1145 | 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. | |
| 1146 | 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. | |
| 1147 | 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. | |
| 1148 | 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. | |
| 1149 | 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. | |
| 1150 | 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. | |
| 1151 | 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. | |
| 1152 | 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. | |
| 1153 | 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. | |
| 1154 | 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. | |
| 1155 | 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 | | |
| 1156 | 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 | | |
| 1157 | 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 | | |
| 1158 | 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 | | |
| 1159 | 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. | |
