| No. | Enforcement Date | Name | Relevant Section/Law | Summarized Facts | SEC News | Type of Enforcement | Details | Remark |
|---|
| 1 | 06/11/2026 | | | | 242/2026 | Administrative Orders | Revocation | Effective Date 06/11/2026 to 05/11/2036 |
| 2 | 05/11/2026 | BG Limited | 26 / DAB Act | During 2022-2025, BG Limited, the provider of the digital asset exchange platform on www.bitget.com ("Bitget"), provided a digital asset trading system to facilitate the trading and exchange of digital assets in the ordinary course of business and charged fees for its services. The platform also offered a Thai-language website with the option to display equivalent values in Thai baht. In addition, Bitget solicited users and promoted its services in Thai through various communication channels, including its website and social media account. The aforementioned action is deemed to be operating a digital asset exchange business without a license. | 241/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 3 | 05/11/2026 | Mr. Kritsana Kritsananuwat | 26 and Section 86 of Penal Code / DAB Act | Mr. Kritsana Kritsananuwat assisted or facilitated BG Limited, the provider of the digital asset exchange platform on www.bitget.com ("Bitget"), in publicizing its services and sales promotion activities through the Facebook page "Srisiam" and the YouTube channel "SRISIAM".
These activities made Bitget more widely known and increased the number of people interested in using its services. His conduct is therefore considered to constitute assisting or facilitating Bitget in operating a digital asset exchange business without a license.
| 241/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 4 | 02/11/2026 | Mr. Peerapol Prasertchaiyakul | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 9 August 2022 – 8 March 2023, Mr. Peerapol Prasertchaiyakul colluded with 2 persons to manipulate the securities price of Food And Drinks Public Company Limited ("F&D")'s shares, with knowledge of and/or participation in a scheme involving the execution of trades through intermediaries, by placing trading orders or trading F&D's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 210/2026 | Civil Sanction | 02/11/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,951,110.00 Baht
- a civil monetary penalty of 2,926,665.00 Baht
- a suspension of securities and derivatives trading between 02/11/2026 and 01/10/2027
- a bar from serving as a director or executive in a securities issuing company between 02/11/2026 and 01/09/2028
- a bar from serving as a director or executive in a securities company between 02/11/2026 and 01/09/2028
- a reimbursement of investigative expenses in an amount of 62,549.66 Baht | |
| 5 | 26/10/2026 | Mr. Susitak Achariyasombat | 244/3(1)(2), in conjunction with Section 244/5(4)(5) and in conjunction with Section 83 of the Criminal Code / SEC Act (the fifth amendment) | During 17 May – 12 July 2021, the four offenders, namely (1) Mr. Susitak Achariyasombat, (2) Mr. Tawee Aroonpornwong, (3) Mr. Peerasak Khanom, and (4) Miss Yuwadee Wachiraprapa, were interconnected through personal relationships and jointly traded Star Universal Network Public Company Limited (STAR) shares in a coordinated and mutually supportive manner to manipulate the price or trading volume of STAR shares. Their conduct included alternately entering buy orders to drive up the price and continuously taking outstanding offers, maintaining bids at multiple price levels, and controlling the closing price on certain days. Such conduct constituted jointly manipulating the price or trading volume of STAR shares by jointly placing orders to buy or sell securities, or buying or selling securities, in a manner that caused the general public to be misled about the price or trading volume of the securities, and by jointly placing orders to buy or sell securities, or buying or selling securities, on a continuous basis with the intent to cause the price or trading volume of the securities to be inconsistent with normal market conditions. | 223/2026 | Civil Sanction | 26/10/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 2,241,853.00 Baht
- a civil monetary penalty of 2,802,316.25 Baht
- a suspension of securities and derivatives trading between 26/10/2026 and 25/04/2027
- a bar from serving as a director or executive in a securities issuing company between 26/10/2026 and 25/10/2027
- a bar from serving as a director or executive in a securities company between 26/10/2026 and 25/10/2027
- a reimbursement of investigative expenses in an amount of 137,320.88 Baht | |
| 6 | 26/10/2026 | Mr. Tawee Aroonpornwong | 244/3(1)(2), in conjunction with Section 244/5(4)(5) and in conjunction with Section 83 of the Criminal Code / SEC Act (the fifth amendment) | During 17 May – 12 July 2021, the four offenders, namely (1) Mr. Susitak Achariyasombat, (2) Mr. Tawee Aroonpornwong, (3) Mr. Peerasak Khanom, and (4) Miss Yuwadee Wachiraprapa, were interconnected through personal relationships and jointly traded Star Universal Network Public Company Limited (STAR) shares in a coordinated and mutually supportive manner to manipulate the price or trading volume of STAR shares. Their conduct included alternately entering buy orders to drive up the price and continuously taking outstanding offers, maintaining bids at multiple price levels, and controlling the closing price on certain days. Such conduct constituted jointly manipulating the price or trading volume of STAR shares by jointly placing orders to buy or sell securities, or buying or selling securities, in a manner that caused the general public to be misled about the price or trading volume of the securities, and by jointly placing orders to buy or sell securities, or buying or selling securities, on a continuous basis with the intent to cause the price or trading volume of the securities to be inconsistent with normal market conditions. | 223/2026 | Civil Sanction | 26/10/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 1,246,654.00 Baht
- a civil monetary penalty of 1,558,317.50 Baht
- a suspension of securities and derivatives trading between 26/10/2026 and 25/04/2027
- a bar from serving as a director or executive in a securities issuing company between 26/10/2026 and 25/10/2027
- a bar from serving as a director or executive in a securities company between 26/10/2026 and 25/10/2027
- a reimbursement of investigative expenses in an amount of 137,320.88 Baht | |
| 7 | 26/10/2026 | Mr. Peerasak Khanom | 244/3(1)(2), in conjunction with Section 244/5(4)(5) and in conjunction with Section 83 of the Criminal Code / SEC Act (the fifth amendment) | During 17 May – 12 July 2021, the four offenders, namely (1) Mr. Susitak Achariyasombat, (2) Mr. Tawee Aroonpornwong, (3) Mr. Peerasak Khanom, and (4) Miss Yuwadee Wachiraprapa, were interconnected through personal relationships and jointly traded Star Universal Network Public Company Limited (STAR) shares in a coordinated and mutually supportive manner to manipulate the price or trading volume of STAR shares. Their conduct included alternately entering buy orders to drive up the price and continuously taking outstanding offers, maintaining bids at multiple price levels, and controlling the closing price on certain days. Such conduct constituted jointly manipulating the price or trading volume of STAR shares by jointly placing orders to buy or sell securities, or buying or selling securities, in a manner that caused the general public to be misled about the price or trading volume of the securities, and by jointly placing orders to buy or sell securities, or buying or selling securities, on a continuous basis with the intent to cause the price or trading volume of the securities to be inconsistent with normal market conditions. | 223/2026 | Civil Sanction | 26/10/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 224,070.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 26/10/2026 and 25/04/2027
- a bar from serving as a director or executive in a securities issuing company between 26/10/2026 and 25/10/2027
- a bar from serving as a director or executive in a securities company between 26/10/2026 and 25/10/2027
- a reimbursement of investigative expenses in an amount of 137,320.88 Baht | |
| 8 | 20/10/2026 | Mrs. Sompong Srisupornwong | 244/3 in conjunction with 244/5 and 244/6 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 9 August 2022 – 8 March 2023, Mrs. Sompong Srisupornwong colluded with 2 persons to manipulate the securities price of Food And Drinks Public Company Limited ("F&D")'s shares, with knowledge of and/or participation in a scheme involving the execution of trades through intermediaries, by placing trading orders or trading F&D's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | 210/2026 | Civil Sanction | 20/10/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 240,765.00 Baht
- a civil monetary penalty of 500,000.00 Baht
- a suspension of securities and derivatives trading between 20/10/2026 and 19/09/2027
- a bar from serving as a director or executive in a securities issuing company between 05/05/2027 and 04/03/2029
- a bar from serving as a director or executive in a securities company between 05/05/2027 and 04/03/2029
- a reimbursement of investigative expenses in an amount of 62,549.66 Baht | |
| 9 | 14/10/2026 | Mr. Wisith Tun-Yhong | 302/1 / SEC Act | Mr. Wisith Tun-Yhong submitted three reports on the acquisition or disposition of securities (“Form 246-2”) through the SEC’s electronic filing system, reporting that he had acquired shares of three listed companies. However, Mr. Wisit had not actually acquired any securities of the three listed companies as reported in the Form 246-2 filings. Mr. Wisit’s conduct is considered to constitute the submission or presentation of documents containing false statements to the SEC. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 10 | 07/10/2026 | As Sure Technology Co., Ltd., | 26 in conjunction with 83 of the Penal Code / DAB Act | As Sure Technology Co., Ltd., Mr. Sivanus Yamdee and Miss Pimchaya Wattanakulyothin jointly operated www.vcex.io website and VCEX application ("Vcex.io platform") which is a platform enabling users to trade or exchange digital assets by matching their own orders to buy, sell, or exchange digital assets on the platform. Fees were also charged as part of the ordinary course of business. In addition, the platform provided services in Thai and was promoted through events held at various locations in Thailand as well as through online channels. Such conduct constitutes the operation of a digital asset exchange business without a license. | 215/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 11 | 07/10/2026 | Mr. Yutthana Srisuriyaporn | 94 ประกอบมาตรา 26 / DAB Act | Mr. Yutthana Srisuriyaporn, an authorized director of As Sure Technology Co., Ltd. ("As Sure"), who was responsible for the operation of As Sure at the time of the incident, shall be liable for As Sure's violation of the law by conducting a digital asset exchange without a license resulted from his orders or actions. | 215/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 12 | 07/10/2026 | Mr. Keerati Prasanthai | 94 ประกอบมาตรา 26 / DAB Act | Mr. Keerati Prasanthai, an authorized director of As Sure Technology Co., Ltd. ("As Sure"), who was responsible for the operation of As Sure at the time of the incident, shall be liable for As Sure's violation of the law by conducting a digital asset exchange without a license resulted from his orders or actions. | 215/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 13 | 07/10/2026 | Mr. Sivanus Yamdee | 94 in conjunction with 26 and 83 of the Penal Code / DAB Act | As Sure Technology Co., Ltd. ("As Sure"), Mr. Sivanus Yamdee and Miss Pimchaya Wattanakulyothin jointly operated www.vcex.io website and VCEX application ("Vcex.io platform ") which is a platform enabling users to trade or exchange digital assets by matching their own orders to buy, sell, or exchange digital assets on the platform. Fees were also charged as part of the ordinary course of business. In addition, the platform provided services in Thai and was promoted through events held at various locations in Thailand as well as through online channels. Such conduct constitutes the operation of a digital asset exchange business without a license. Moreover, Mr. Sivanus, as an authorized director of As Sure who has been responsible for the operation of As Sure at the time of the incident, shall be liable for As Sure's violation of the law by conducting a digital asset exchange without a license resulted from his orders or actions. | 215/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 14 | 07/10/2026 | Miss Pimchaya Wattanakulyothin | 26 in conjunction with 83 of the Penal Code / DAB Act | As Sure Technology Co., Ltd., Mr. Sivanus Yamdee and Miss Pimchaya Wattanakulyothin jointly operated www.vcex.io website and VCEX application ("Vcex.io platform ") which is a platform enabling users to trade or exchange digital assets by matching their own orders to buy, sell, or exchange digital assets on the platform. Fees were also charged as part of the ordinary course of business. In addition, the platform provided services in Thai and was promoted through events held at various locations in Thailand as well as through online channels. Such conduct constitutes the operation of a digital asset exchange business without a license. | 215/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 15 | 21/09/2026 | Siamnuwat Company Limited | 56(1)(4) / SEC Act | Siam Nuwat Co., Ltd. failed to prepare and submit the financial statements and reports relating to its financial position and operating results in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board, totaling four items, as follows:
Financial Statements for the six-month period of 2025
Key Financial Ratio Report for the six-month period of 2025
Financial Highlights Report for the six-month period of 2025
Financial Covenants Report for the six-month period of 2025 | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 16 | 21/09/2026 | Mr. Tharathorn Aksaranuwat | 300 / SEC Act | Mr. Tharathorn Aksoranawat, as the Chief Executive Officer of Siam Nuwat Co., Ltd. ("SNW"), was responsible for the management and operations of SNW and had the duty to supervise and ensure that the company prepared and submitted its financial statements and reports relating to its financial position and operating results in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board, namely:
(1) the Financial Statements for the six-month period of 2025;
(2) the Key Financial Ratio Report for the six-month period of 2025;
(3) the Financial Highlights Report for the six-month period of 2025; and
(4) the Financial Covenants Report for the six-month period of 2025.
However, Mr. Tharathorn Aksoranawat failed to give the necessary instructions or take the actions required in the performance of such duties. Accordingly, he is liable under Section 300 in conjunction with Sections 56(1) and 56(4) of the Securities and Exchange Act. | | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 17 | 16/09/2026 | SIX Network (Thailand) Co., Ltd. | 46(1) in conjunction with Section 83 of the Penal Code / DAB Act | During the period from 2019 to 2021, SIX Network (Thailand) Co., Ltd. ("SIX (Thailand)"), acting through Mr. Vachara Aemavat, the person responsible for SIX (Thailand)'s operations, together with Mr. Vorapot Lan and Mr. Passavin Kaewlumpoon, employees of SIX (Thailand), jointly placed orders to trade digital asset named SIX network ("SIX") while knowing that such person (who places such order) or a person acting together with such person had placed, or would place, an order to sell or purchase the same digital asset in a similar amount, at a similar price and within a closely connected timeframe on the trading platform operated by Bitkub Online Co., Ltd. | 187/2026 | Civil Sanction | 16/09/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,500,000.00 Baht
- a suspension of digital assets and derivatives contracts related to digital assets trading between 16/09/2026 and 15/03/2027
- a reimbursement of investigative expenses in an amount of 144,898.85 Baht | |
| 18 | 16/09/2026 | Mr. Vachara Aemavat | 94 in conjunction with 46(1) / DAB Act | During the period from 2019 to 2021, SIX Network (Thailand) Co., Ltd. ("SIX (Thailand)"), acting through Mr. Vachara Aemavat, the person responsible for SIX (Thailand)'s operations, together with Mr. Vorapot Lan and Mr. Passavin Kaewlumpoon, employees of SIX (Thailand), jointly placed orders to trade digital asset named SIX network ("SIX") while knowing that such person (who places such order) or a person acting together with such person had placed, or would place, an order to sell or purchase the same digital asset in a similar amount, at a similar price and within a closely connected timeframe on the trading platform operated by Bitkub Online Co., Ltd. | 187/2026 | Civil Sanction | 16/09/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,500,000.00 Baht
- a suspension of digital assets and derivatives contracts related to digital assets trading between 16/09/2026 and 15/03/2027
- a bar from serving as a director or executive in a digital token offeror between 16/09/2026 and 15/09/2027
- a bar from serving as a director or executive in a digital asset business operator between 16/09/2026 and 15/09/2027
- a reimbursement of investigative expenses in an amount of 144,898.85 Baht | |
| 19 | 16/09/2026 | Mr. Passavin Kaewlumpoon | 46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB Act | During the period from 2019 to 2021, SIX Network (Thailand) Co., Ltd. ("SIX (Thailand)"), acting through Mr. Vachara Aemavat, the person responsible for SIX (Thailand)'s operations, together with Mr. Vorapot Lan and Mr. Passavin Kaewlumpoon, employees of SIX (Thailand), jointly placed orders to trade digital asset named SIX network ("SIX") while knowing that such person (who places such order) or a person acting together with such person had placed, or would place, an order to sell or purchase the same digital asset in a similar amount, at a similar price and within a closely connected timeframe on the trading platform operated by Bitkub Online Co., Ltd. | 187/2026 | Civil Sanction | 16/09/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,500,000.00 Baht
- a suspension of digital assets and derivatives contracts related to digital assets trading between 16/09/2026 and 15/03/2027
- a bar from serving as a director or executive in a digital token offeror between 16/09/2026 and 15/09/2027
- a bar from serving as a director or executive in a digital asset business operator between 16/09/2026 and 15/09/2027
- a reimbursement of investigative expenses in an amount of 144,898.85 Baht | |
| 20 | 09/09/2026 | Mr. Vorapot Lan | 46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB Act | During the period from 2019 to 2021, SIX Network (Thailand) Co., Ltd. ("SIX (Thailand)"), acting through Mr. Vachara Aemavat, the person responsible for SIX (Thailand)'s operations, together with Mr. Vorapot Lan and Mr. Passavin Kaewlumpoon, employees of SIX (Thailand), jointly placed orders to trade digital asset named SIX Network ("SIX") while knowing that such person (who places such order) or a person acting together with such person had placed, or would place, an order to sell or purchase the same digital asset in a similar amount, at a similar price and within a closely connected timeframe on the trading platform operated by Bitkub Online Co., Ltd. | 187/2026 | Civil Sanction | 09/09/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a civil monetary penalty of 1,500,000.00 Baht
- a suspension of digital assets and derivatives contracts related to digital assets trading between 09/09/2026 and 08/03/2027
- a bar from serving as a director or executive in a digital token offeror between 09/09/2026 and 08/09/2027
- a bar from serving as a director or executive in a digital asset business operator between 09/09/2026 and 08/09/2027
- a reimbursement of investigative expenses in an amount of 144,898.85 Baht | |
| 21 | 09/09/2026 | Mr. Paithoon Wongwatcharamongkol | 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code / SEC Act (the fifth amendment) | During 1 July 2019 - 3 February 2020, Mr. Paithoon Wongwatcharamongkol colluded with 13 persons to manipulate the securities price of META Corporation Public Company Limited ("META")'s shares by placing trading orders or trading META's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. | | Civil Sanction | 09/09/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
- a compensation of the benefit received from committing the offense in an amount of 2,211,700.00 Baht
- a civil monetary penalty of 3,317,550.00 Baht
- a suspension of securities and derivatives trading between 09/09/2026 and 08/08/2027
- a bar from serving as a director or executive in a securities issuing company between 09/09/2026 and 08/07/2028
- a bar from serving as a director or executive in a securities company between 09/09/2026 and 08/07/2028
- a reimbursement of investigative expenses in an amount of 7,636.00 Baht | |
| 22 | 08/09/2026 | Mr. Chanond Ruangkritya | 59 / SEC Act | Mr. Chanond Ruangkritya, Director and Chief Executive Officer of Ananda Development Public Company Limited, has changed his securities holding. In this regard, Mr. Chanond has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within December 1, 2021. However, Mr. Chanond prepared and disclosed the report (Form 59) to the SEC office on December 7, 2021. | | Criminal Fine | imposing a fine of 39,300.00 Baht according to 169/2569 | |
| 23 | 08/09/2026 | Mrs. Praweerat Dheva-Aksorn | 59 / SEC Act | Mrs. Praweerat Dheva-Aksorn, Director, Executive Director, Director of the Risk Management Committee, Chief Executive Officer of Villa Kunalai Public Company Limited and Mr. Khuna Dheva-Aksorn’s spouse has changed the securities holding. In this regard, Mrs. Praweerat has the duty to prepare and disclose a report regarding Kunavalai Company Limited and her spouse holding securities and the changes to such holdings (Form 59) within November 10, 2021, February 4, 2022 March 16, 2022 and April 11, 2025, respectively. However, Mrs. Praweerat prepared and disclosed the report (Form 59) to the SEC office on May 13, 2022 and August 11, 2025 | | Criminal Fine | imposing a fine of 77,300.00 Baht according to 168/2569 | |
| 24 | 08/09/2026 | Mr. Khuna Dheva-Aksorn | 59 / SEC Act | Mr. Khuna Dheva-Aksorn, Director, Director of the Risk Management Committee, and Chairman of the Executive Committee of Villa Kunalai Public Company Limited and held more than 30% of the shares in Kunavalai Company Limited ("Kunavalai") has changed the securities holding. In this regard, Mr. Khuna has the duty to prepare and disclose reports regarding Kunavalai and his spouse Mrs. Praweerat Dheva-Aksorn holding securities and the changes to such holdings (Form 59) within November 10, 2021, February 4, 2022 March 16, 2022 and April 11, 2025, respectively. However, Mr. Khuna prepared and disclosed the report (Form 59) to the SEC office on May 13, 2022 and August 11, 2025 | | Criminal Fine | imposing a fine of 77,300.00 Baht according to 167/2569 | |
| 25 | 08/09/2026 | Maybank Securities (Thailand) Public Company Limited | 113 / SEC Act | Between February 10, 2025 and May 28, 2026 Maybank Securities (Thailand) Public Company Limited as a securities broker, failed to comply with the rules, conditions and procedures as specified in the notification by putting in place the inadequate and ineffective know-your-client/Customer Due Diligence (KYC/CDD) and enhanced KYC/CDD procedures. | | Criminal Fine | imposing a fine of 1,096,000.00 Baht according to 166/2569 | |
| 26 | 08/09/2026 | Miss Jareeporn Jarukornsakul | 59 / SEC Act | Miss Jareeporn Jarukornsakul, Chairman of the Board of WHA Real Estate Management Company Limited, who is responsible for the operation of WHA Premium Growth Freehold And Leasehold Real Estate Investment Trust, has changed her securities holding on December 1, 2022. In this regard, Miss Jareeporn has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59 REIT/IFT) within December 7, 2022. However, Miss Jareeporn prepared and disclosed the report (Form 59 REIT/IFT) to the SEC office on December 30, 2022. | | Criminal Fine | imposing a fine of 44,400.00 Baht according to 165/2569 | |
| 27 | 08/09/2026 | Miss Jareeporn Jarukornsakul | 59 / SEC Act | Miss Jareeporn Jarukornsakul, Chairman of the Board of WHA Industrial REIT Management Company Limited, who is responsible for the operation of WHA Industrial Leasehold Real Estate Investment Trust, has changed her securities holding on December 26, 2022. In this regard, Miss Jareeporn has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59 REIT/IFT) within December 29, 2022. However, Miss Jareeporn prepared and disclosed the report (Form 59 REIT/IFT) to the SEC office on December 30, 2022. | | Criminal Fine | imposing a fine of 37,800.00 Baht according to 165/2569 | |
| 28 | 08/09/2026 | Mr. Maruthorn Limatibul | 59 / SEC Act | Mr. Maruthorn Limatibul, Chief Finance and Accounting Officer of THAI O.P.P. Public Company Limited, has changed his securities holding. In this regard, Mr. Maruthorn has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within December 20, 2021. However, Mr. Maruthorn prepared and disclosed the report (Form 59) to the SEC office on December 30, 2021. | | Criminal Fine | imposing a fine of 5,500.00 Baht according to 164/2569 | |
| 29 | 08/09/2026 | Mr. Mongkol Limatibul | 59 / SEC Act | Mr. Mongkol Limatibul, Director of THAI O.P.P. Public Company Limited, has changed his securities holding. In this regard, Mr. Mongkol has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within December 21, 2021. However, Mr. Mongkol prepared and disclosed the report (Form 59) to the SEC office on December 30, 2021. | | Criminal Fine | imposing a fine of 5,450.00 Baht according to 163/2569 | |
| 30 | 08/09/2026 | Mr. Suroj Jiraphongtrakul | 59 / SEC Act | Mr. Suroj Jiraphongtrakul, a former Director and Chief Operating Officer of The Steel Public Company Limited, has changed his securities holding. In this regard, Mr. Suroj has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within December 7, 2021, January 27, 2022 and March 2, 2022, respectively. However, Mr. Suroj prepared and disclosed the report (Form 59) to the SEC office on June 15, 2022. | | Criminal Fine | imposing a fine of 192,000.00 Baht according to 162/2569 | |
| 31 | 08/09/2026 | Police Major General Sahaschai Intarasuksri | 59 / SEC Act | Police Major General Sahaschai Intarasuksri served as Vice Chairman of Green Resources Public Company Limited (“GREEN”) at the time of the incident. On December 27, 2021, Police Major General Sahaschai purchased GREEN shares in two transactions. Police Major General Sahaschai was therefore required to submit Form 59 by June 30, 2022. However, he submitted and disclosed Form 59 in respect of the transactions to the Securities and Exchange Commission, Thailand (the “SEC”) on August 30, 2023. His submission and disclosure of Form 59 were therefore made after the period prescribed by the relevant notification. | | Criminal Fine | imposing a fine of 52,600.00 Baht according to 161/2569 | |
| 32 | 08/09/2026 | Mr. Ekkapak Nirapathapongporn | 59 / SEC Act | Mr. Ekkapak Nirapathapongporn served as a Director and an Independent Director of Plan B Media Public Company Limited (“PLANB”) at the time of the incident. Between December 16, 2021 and December 17, 2021, Mr. Ekkapak purchased PLANB shares in two transactions. Mr. Ekkapak was therefore required to submit Form 59 by December 22, 2021. However, he submitted and disclosed Form 59 in respect of the transactions to the Securities and Exchange Commission, Thailand (the “SEC”) on January 4, 2022. His submission and disclosure of Form 59 were therefore made after the period prescribed by the relevant notification. | | Criminal Fine | imposing a fine of 5,650.00 Baht according to 160/2569 | |
| 33 | 08/09/2026 | Mr. Wutthichai Phannachet | 59 / SEC Act | Mr. Wutthichai Phannachet served as a Director and Assistant Chief Executive Officer—Special Projects of Index International Group Public Company Limited (“IND”) at the time of the incident. Between December 16, 2021 and February 1, 2022, Mr. Wutthichai purchased IND shares in nine transactions. Mr. Wutthichai was therefore required to submit Form 59 by February 4, 2022. However, he submitted and disclosed Form 59 in respect of the transactions to the Securities and Exchange Commission, Thailand (the “SEC”) on March 21, 2022. His submission and disclosure of Form 59 were therefore made after the period prescribed by the relevant notification. | | Criminal Fine | imposing a fine of 14,500.00 Baht according to 159/2569 | |
| 34 | 08/09/2026 | Miss PATTANANT PETCHCHEDCHOO | 59 / SEC Act | Miss Pattanant Petchchedchoo served as Chairperson of the Audit Committee and an Independent Director of nForce Secure Public Company Limited (“SECURE”) at the time of the incident. Between December 14, 2021 and December 15, 2021, Miss Pattanant purchased SECURE shares in four transactions. Miss Pattanant was therefore required to submit Form 59 by June 17, 2022. However, she submitted and disclosed Form 59 in respect of the transactions to the Securities and Exchange Commission, Thailand (the “SEC”) on September 20, 2023. Her submission and disclosure of Form 59 were therefore made after the period prescribed by the relevant notification. | | Criminal Fine | imposing a fine of 16,300.00 Baht according to 158/2569 | |
| 35 | 08/09/2026 | Mr. Thor Santisiri | 59 / SEC Act | Mr. Thor Santisiri served as an Audit Committee Member of Mega Lifesciences Public Company Limited (“MEGA”) at the time of the incident. Between June 1, 2022 and August 4, 2023, Mr. Thor purchased MEGA shares in 16 transactions. Mr. Thor was therefore required to submit Form 59 by November 16, 2022 for transactions 1–4 and by August 9, 2023 for transactions 5–16. However, he submitted and disclosed Form 59 in respect of the aforementioned transactions to the Securities and Exchange Commission, Thailand (the “SEC”) on September 20, 2023. His submission and disclosure of Form 59 were therefore made after the periods prescribed by the relevant notification. | | Criminal Fine | imposing a fine of 41,800.00 Baht according to 157/2569 | |
| 36 | 08/09/2026 | Mr. Chawalit Chantararat | 59 / SEC Act | Mr. Chawalit Chantararat served as a Director of TEAM Consulting Engineering and Management Public Company Limited (“TEAMG”). On March 29, 2022, Mr. Chawalit sold TEAMG shares. Mr. Chawalit was therefore required to prepare and disclose a report on the change in his holding of TEAMG shares using Form 59 by April 1, 2022. However, he submitted and disclosed Form 59 to the Securities and Exchange Commission, Thailand (the “SEC”) on April 2, 2022. His submission and disclosure of Form 59 were therefore made after the period prescribed by the relevant notification. | | Criminal Fine | imposing a fine of 37,800.00 Baht according to 156/2569 | |
| 37 | 08/09/2026 | Mr. Charoen Wattanasin | 59 / SEC Act | Mr. Charoen Wattanasin served as an Independent Director of BTS Group Holdings Public Company Limited (“BTS”) at the time of the incident. On June 2, 2022, Mr. Charoen sold warrants to purchase BTS shares. Mr. Charoen was therefore required to prepare and disclose a report on the change in his holding of BTS shares using Form 59 by December 8, 2022. However, he submitted and disclosed Form 59 to the Securities and Exchange Commission, Thailand (the “SEC”) on February 2, 2023. His submission and disclosure of Form 59 were therefore made after the period prescribed by the relevant notification. | | Criminal Fine | imposing a fine of 15,600.00 Baht according to 155/2569 | |
| 38 | 08/09/2026 | Mr. Kowit Akkharaatimart | 59 / SEC Act | Mr. Kowit Akkharaatimart served as Assistant Managing Director of Super Energy Corporation Public Company Limited (“SUPER”). On June 16, 2022, Mr. Kowit’s spouse or person cohabiting with him as husband and wife purchased SUPER shares. Mr. Kowit was therefore required to prepare and disclose a report on the change in his holding of SUPER shares using Form 59 by December 21, 2022. However, he submitted and disclosed Form 59 to the Securities and Exchange Commission, Thailand (the “SEC”) on January 31, 2023. His submission and disclosure of Form 59 were therefore made after the period prescribed by the relevant notification. | | Criminal Fine | imposing a fine of 14,100.00 Baht according to 154/2569 | |
| 39 | 08/09/2026 | Mr. John Edward Mccosh | 59 / SEC Act | Mr. John Edward Mccosh, a former Audit Committee and Independent Director of Green Tech Ventures Green Tech Ventures (GTV), has changed his securities holding on December 1, 2021. In this regard, Mr. John has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within June 7, 2022. However, Mr. John prepared and disclosed the report (Form 59) to the SEC office on June 10, 2022. | | Criminal Fine | imposing a fine of 5,150.00 Baht according to 153/2569 | |
| 40 | 08/09/2026 | Mr. YOTHIN DUMNERNCHANVANIT | 300 in conjunction with 56(4) / SEC Act | Mr. YOTHIN DUMNERNCHANVANIT, in his capacity as President, was responsible for the management and operations of Double A (1991) Public Company Limited (“AA”). As such, he had the duty to supervise and ensure that AA prepared and submitted its Financial Highlights for the year 2024 in compliance with the rules prescribed by the Capital Market Supervisory Board. However, Mr. Yothin failed to give the necessary instructions or perform the duties required of him. Accordingly, he is liable for AA's submission of inaccurate Financial Highlights for the year 2024. | | Criminal Fine | imposing a fine of 24,900.00 Baht according to 152/2569 | |
| 41 | 08/09/2026 | DOUBLE A (1991) PUBLIC COMPANY LIMITED | 56(4) / SEC Act | Double A (1991) Public Company Limited ("AA") was required to prepare and submit its Financial Highlights for the year 2024 to the SEC through the Stock Exchange of Thailand's electronic filing system by 28 February 2025. AA submitted the report on 26 February 2025; however, certain information contained therein was inaccurate. Consequently, AA corrected the information and submitted a revised and accurate report to the SEC on 5 March 2025. | | Criminal Fine | imposing a fine of 24,900.00 Baht according to 151/2569 | |
| 42 | 08/09/2026 | Mr. Soros Tangnaitham | 300 in conjunction with 56(2) / SEC Act | Mr. Soros Tangnaitham, Managing Director, who is responsible for the operation of TAPACO Public Company Limited ("TAPAC") shall be liable for Tapac’s failure to prepare and submitt the annual financial statements for the year 2024 through the transmission system of the Stock Exchange of Thailand as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 444,375.00 Baht according to 150/2569 | |
| 43 | 08/09/2026 | Mr. Soros Tangnaitham | 300 in conjunction with 56(3)(4) / SEC Act | Mr. Soros Tangnaitham, Managing Director, who is responsible for the operation of TAPACO Public Company Limited ("TAPAC") shall be liable for Tapac’s failure to prepare and submitt the Annual Registration Statement / Annual Report (“Form 56-1 One Report”) for the year 2024 through the transmission system of the Stock Exchange of Thailand as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 334,500.00 Baht according to 150/2569 | |
| 44 | 08/09/2026 | Mr. Soros Tangnaitham | 56(1) / SEC Act | Mr. Soros Tangnaitham, Managing Director, who is responsible for the operation of TAPACO Public Company Limited ("TAPAC") shall be liable for Tapac’s failure to prepare and submitt the financial statements for Q1/2025 through the transmission system of the Stock Exchange of Thailand as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 443,625.00 Baht according to 150/2569 | |
| 45 | 08/09/2026 | TAPACO Public Company Limited | 56(2) / SEC Act | TAPACO Public Company Limited ("TAPAC") prepared and submitted its annual financial statements for the year 2024 later than the deadline prescribed by the Capital Market Supervisory Board, which is 2 January 2025. However, TAPAC submitted such financial statements to the SEC Office on 16 June 2026, thereby submitting its annual financial statements for 2024 after the prescribed deadline. | | Criminal Fine | imposing a fine of 444,375.00 Baht according to 149/2569 | |
| 46 | 08/09/2026 | TAPACO Public Company Limited | 56(3)(4) / SEC Act | TAPACO Public Company Limited ("TAPAC") prepared and submitted its Annual Registration Statement / Annual Report (“Form 56-1 One Report”) for the year 2024 later than the deadline prescribed by the Capital Market Supervisory Board, which is 31 January 2025. However, TAPAC submitted such report to the SEC Office on 13 July 2026, thereby submitting its Form 56-1 One Report for the year 2024 after the prescribed deadline. | | Criminal Fine | imposing a fine of 334,500.00 Baht according to 149/2569 | |
| 47 | 08/09/2026 | TAPACO Public Company Limited | 56(1) / SEC Act | TAPACO Public Company Limited ("TAPAC") prepared and submitted its financial statements for Q1/2025 later than the deadline prescribed by the Capital Market Supervisory Board, which is 17 March 2025. However, TAPAC submitted such report to the SEC Office on 28 August 2025, thereby submitting its financial statements for Q1/2025 after the prescribed deadline. | | Criminal Fine | imposing a fine of 443,625.00 Baht according to 149/2569 | |
| 48 | 08/09/2026 | Mr. Nuttpasint Chet-udomlap | 300 in conjunction with 56(2) / SEC Act | Mr. Nuttpasint Chet-udomlap, who at the time of the offense served as Chairman of World Medical Alliance (Thailand) Company Limited (“WMA”), was responsible for the operation of WMA and had the duty to supervise and ensure that WMA prepared and submitted its annual financial statements for the year 2024 in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board. However, Mr. Nuttpasint failed to give the necessary instructions or take the actions required to ensure compliance with such requirements. As a result, Mr. Nuttpasint was responsible for WMA’s delayed preparation and submission of its annual financial statements for the year 2024. | | Criminal Fine | imposing a fine of 102,300.00 Baht according to 148/2569 | |
| 49 | 08/09/2026 | Mr. Nuttpasint Chet-udomlap | 300 in conjunction with 56(4) / SEC Act | Mr. Nuttpasint Chet-udomlap, who at the time of the offense served as Chairman of World Medical Alliance (Thailand) Company Limited (“WMA”), was responsible for the operation of WMA and had the duty to supervise and ensure that WMA prepared and submitted its key financial ratio report for the year 2024 in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board. However, Mr. Nuttpasint failed to give the necessary instructions or take the actions required to ensure compliance with such requirements. As a result, Mr. Nuttpasint was responsible for WMA’s delayed preparation and submission of its key financial ratio report for the year 2024. | | Criminal Fine | imposing a fine of 102,300.00 Baht according to 148/2569 | |
| 50 | 08/09/2026 | Mr. Nuttpasint Chet-udomlap | 300 in conjunction with 56(4) / SEC Act | Mr. Nuttpasint Chet-udomlap, who at the time of the offense served as Chairman of World Medical Alliance (Thailand) Company Limited (“WMA”), was responsible for the operation of WMA and had the duty to supervise and ensure that WMA prepared and submitted its financial highlights report for the year 2024 in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board. However, Mr. Nuttpasint failed to give the necessary instructions or take the actions required to ensure compliance with such requirements. As a result, Mr. Nuttpasint was responsible for WMA’s delayed preparation and submission of its financial highlights report for the year 2024. | | Criminal Fine | imposing a fine of 102,300.00 Baht according to 148/2569 | |
| 51 | 08/09/2026 | Mr. Nuttpasint Chet-udomlap | 300 in conjunction with 56(4) / SEC Act | Mr. Nuttpasint Chet-udomlap, who at the time of the offense served as Chairman of World Medical Alliance (Thailand) Company Limited (“WMA”), was responsible for the operation of WMA and had the duty to supervise and ensure that WMA prepared and submitted its financial covenants report for the year 2024 in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board. However, Mr. Nuttpasint failed to give the necessary instructions or take the actions required to ensure compliance with such requirements. As a result, Mr. Nuttpasint was responsible for WMA’s delayed preparation and submission of its financial covenants report for the year 2024. | | Criminal Fine | imposing a fine of 102,300.00 Baht according to 148/2569 | |
| 52 | 08/09/2026 | World Medical Alliance (Thailand) Company Limited | 56(2) / SEC Act | World Medical Alliance (Thailand) Company Limited (“WMA”) failed to prepare and submit its annual financial statements for the year 2024 within the period prescribed by the Capital Market Supervisory Board. Specifically, WMA was required to submit its annual financial statements for the year 2024 to the SEC Office by 11 April 2025. However, WMA submitted such financial statements to the SEC Office on 8 December 2025, which was later than the deadline prescribed in the relevant Capital Market Supervisory Board notification. Accordingly, the submission of WMA’s annual financial statements for the year 2024 was delayed beyond the prescribed period. | | Criminal Fine | imposing a fine of 127,875.00 Baht according to 147/2569 | |
| 53 | 08/09/2026 | World Medical Alliance (Thailand) Company Limited | 56(4) / SEC Act | World Medical Alliance (Thailand) Company Limited (“WMA”) failed to prepare and submit its key financial ratio report for the year 2024 within the period prescribed by the Capital Market Supervisory Board. Specifically, WMA was required to submit its key financial ratio report for the year 2024 to the SEC Office by 11 April 2025. However, WMA submitted such report to the SEC Office on 8 December 2025, which was later than the deadline prescribed in the relevant Capital Market Supervisory Board notification. Accordingly, the submission of WMA’s key financial ratio report for the year 2024 was delayed beyond the prescribed period. | | Criminal Fine | imposing a fine of 102,300.00 Baht according to 147/2569 | |
| 54 | 08/09/2026 | World Medical Alliance (Thailand) Company Limited | 56(4) / SEC Act | World Medical Alliance (Thailand) Company Limited (“WMA”) failed to prepare and submit its financial highlights report for the year 2024 within the period prescribed by the Capital Market Supervisory Board. Specifically, WMA was required to submit its financial highlights report for the year 2024 to the SEC Office by 11 April 2025. However, WMA submitted such report to the SEC Office on 8 December 2025, which was later than the deadline prescribed in the relevant Capital Market Supervisory Board notification. Accordingly, the submission of WMA’s financial highlights report for the year 2024 was delayed beyond the prescribed period. | | Criminal Fine | imposing a fine of 102,300.00 Baht according to 147/2569 | |
| 55 | 08/09/2026 | World Medical Alliance (Thailand) Company Limited | 56(4) / SEC Act | World Medical Alliance (Thailand) Company Limited (“WMA”) failed to prepare and submit its financial covenants report for the year 2024 within the period prescribed by the Capital Market Supervisory Board. Specifically, WMA was required to submit its financial covenants report for the year 2024 to the SEC Office by 11 April 2025. However, WMA submitted such report to the SEC Office on 8 December 2025, which was later than the deadline prescribed in the relevant Capital Market Supervisory Board notification. Accordingly, the submission of WMA’s financial covenants report for the year 2024 was delayed beyond the prescribed period. | | Criminal Fine | imposing a fine of 102,300.00 Baht according to 147/2569 | |
| 56 | 08/09/2026 | Mr. Supamongkol Manoch | 300 in conjunction with 56(2) / SEC Act | Mr. Supamongkol Manoch, Acting Chief Executive Oficer,
who is responsible for the operation of Wastech Exponential Company Limited ("WTX") shall be liable for WTX’s failure to prepare and submitt the annual financial statements for the year 2024 later than the deadline prescribed by the Office of the Securities and Exchange Commission.
| | Criminal Fine | imposing a fine of 42,000.00 Baht according to 146/2569 | |
| 57 | 08/09/2026 | Mr. Supamongkol Manoch | 300 in conjunction with 56(4) / SEC Act | Mr. Supamongkol Manoch, Acting Chief Executive Oficer,
who is responsible for the operation of Wastech Exponential Company Limited ("WTX") shall be liable for WTX’s failure to prepare and submitt the Key Financial Ratio Report for the year 2024 later than the deadline prescribed by the Office of the Securities and Exchange Commission.
| | Criminal Fine | imposing a fine of 42,300.00 Baht according to 146/2569 | |
| 58 | 08/09/2026 | Mr. Supamongkol Manoch | 300 in conjunction with 56(4) / SEC Act | Mr. Supamongkol Manoch, Acting Chief Executive Oficer,
who is responsible for the operation of Wastech Exponential Company Limited ("WTX") shall be liable for WTX’s failure to prepare and submitt the Financial Highlights Report for the year 2024 later than the deadline prescribed by the Office of the Securities and Exchange Commission.
| | Criminal Fine | imposing a fine of 42,300.00 Baht according to 146/2569 | |
| 59 | 08/09/2026 | Mr. Supamongkol Manoch | 300 in conjunction with 56(4) / SEC Act | Mr. Supamongkol Manoch, Acting Chief Executive Oficer, who is responsible for the operation of Wastech Exponential Company Limited ("WTX") shall be liable for WTX’s failure to prepare and submitt the Financial Covenants Report for the year 2024 later than the deadline prescribed by the Office of the Securities and Exchange Commission.
| | Criminal Fine | imposing a fine of 42,300.00 Baht according to 146/2569 | |
| 60 | 08/09/2026 | Wastech Exponential Company Limited | 56(2) / SEC Act | Wastech Exponential Company Limited ("WTX") prepared and submitted its annual financial statements for the year 2024 later than the deadline prescribed by the Office of the Securities and Exchange Commission (“SEC Office”) , which is 11 April 2025. However, WTX submitted such annual financial statements to the SEC Office on 21 May 2025, thereby submitting its annual financial statements for 2025 after the prescribed deadline. | | Criminal Fine | imposing a fine of 42,000.00 Baht according to 145/2569 | |
| 61 | 08/09/2026 | Wastech Exponential Company Limited | 56(4) / SEC Act | Wastech Exponential Company Limited ("WTX") prepared and submitted its Key Financial Ratio Report for the year 2024
later than the deadline prescribed by the Office of the Securities and Exchange Commission (“SEC Office”), which is 11 April 2025. However, WTX submitted such Key Financial Ratio Report to the SEC Office on 22 May 2025, thereby submitting its Key Financial Ratio Report for the year 2024 after the prescribed deadline.
| | Criminal Fine | imposing a fine of 42,300.00 Baht according to 145/2569 | |
| 62 | 08/09/2026 | Wastech Exponential Company Limited | 56(4) / SEC Act | Wastech Exponential Company Limited ("WTX") prepared and submitted its Financial Highlights Report for the year 2024
later than the deadline prescribed by the Office of the Securities and Exchange Commission (“SEC Office”), which is 11 April 2025. However, WTX submitted such Financial Highlights Report to the SEC Office on 22 May 2025, thereby submitting its Financial Highlights Report for the year 2024 after the prescribed deadline.
| | Criminal Fine | imposing a fine of 42,300.00 Baht according to 145/2569 | |
| 63 | 08/09/2026 | Wastech Exponential Company Limited | 56(4) / SEC Act | Wastech Exponential Company Limited ("WTX") prepared and submitted its Financial Covenants Report for the year 2024
later than the deadline prescribed by the Office of the Securities and Exchange Commission (“SEC Office”), which is 11 April 2025. However, WTX submitted such Financial Covenants Report to the SEC Office on 22 May 2025, thereby submitting its Financial Covenants Report for the year 2024 after the prescribed deadline.
| | Criminal Fine | imposing a fine of 42,300.00 Baht according to 145/2569 | |
| 64 | 08/09/2026 | Mr. Veerachai Amornrat-tana | 300 in conjunction with 56(2) / SEC Act | Mr. Veerachai Amornrat-tana, President of DTGO Prosperous Company Limited (“DTP”), was responsible for the operation of DTP and had the duty to supervise and ensure that DTP prepared and submitted its annual financial statements for the year 2024 in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board. However, Mr. Veerachai Amornrat-tana failed to give the necessary instructions or take the actions required to ensure compliance with such requirements. As a result, Mr. Veerachai Amornrat-tana was responsible for DTP’s delayed submission of its annual financial statements for the year 2024. | | Criminal Fine | imposing a fine of 72,600.00 Baht according to 144/2569 | |
| 65 | 08/09/2026 | Mr. Veerachai Amornrat-tana | 300 in conjunction with 56(4) / SEC Act | Mr. Veerachai Amornrat-tana, President of DTGO Prosperous Company Limited (“DTP”), was responsible for the operation of DTP and had the duty to supervise and ensure that DTP prepared and submitted its Key Financial Ratio Report for the year 2024 in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board. However, Mr. Veerachai Amornrat-tana failed to give the necessary instructions or take the actions required to ensure compliance with such requirements. As a result, Mr. Veerachai Amornrat-tana was responsible for DTP’s delayed submission of its Key Financial Ratio Report for the year 2024. | | Criminal Fine | imposing a fine of 53,400.00 Baht according to 144/2569 | |
| 66 | 08/09/2026 | Mr. Veerachai Amornrat-tana | 300 in conjunction with 56(4) / SEC Act | Mr. Veerachai Amornrat-tana, President of DTGO Prosperous Company Limited (“DTP”), was responsible for the operation of DTP and had the duty to supervise and ensure that DTP prepared and submitted its Financial Highlights Report for the year 2024 in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board. However, Mr. Veerachai Amornrat-tana failed to give the necessary instructions or take the actions required to ensure compliance with such requirements. As a result, Mr. Veerachai Amornrat-tana was responsible for DTP’s delayed submission of its Financial Highlights Report for the year 2024. | | Criminal Fine | imposing a fine of 53,400.00 Baht according to 144/2569 | |
| 67 | 08/09/2026 | Mr. Veerachai Amornrat-tana | 300 in conjunction with 56(4) / SEC Act | Mr. Veerachai Amornrat-tana, President of DTGO Prosperous Company Limited (“DTP”), was responsible for the operation of DTP and had the duty to supervise and ensure that DTP prepared and submitted its Financial Covenants Report in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board. However, Mr. Veerachai Amornrat-tana failed to give the necessary instructions or take the actions required to ensure compliance with such requirements. As a result, Mr. Veerachai Amornrat-tana was responsible for DTP’s delayed submission of its Financial Covenants Report. | | Criminal Fine | imposing a fine of 53,400.00 Baht according to 144/2569 | |
| 68 | 08/09/2026 | DTGO Prosperous Limited | 56(2) / SEC Act | DTGO Prosperous Company Limited (“DTP”) failed to prepare and submit its annual financial statements for the year 2024 within the period prescribed by the Capital Market Supervisory Board. Specifically, DTP was required to submit its annual financial statements for the year 2024 to the SEC Office by 11 April 2025. However, DTP submitted such financial statements to the SEC Office on 25 April 2025, which was later than the deadline prescribed in the relevant Capital Market Supervisory Board notification. Accordingly, the submission of DTP’s annual financial statements for the year 2024 was delayed beyond the prescribed period. | | Criminal Fine | imposing a fine of 72,600.00 Baht according to 143/2569 | |
| 69 | 08/09/2026 | DTGO Prosperous Limited | 56(4) / SEC Act | DTGO Prosperous Company Limited (“DTP”) failed to prepare and submit its Key Financial Ratio Report for the year 2024 within the period prescribed by the Capital Market Supervisory Board. Specifically, DTP was required to submit its Key Financial Ratio Report for the year 2024 to the SEC Office by 11 April 2025. However, DTP submitted such report to the SEC Office on 25 April 2025, which was later than the deadline prescribed in the relevant Capital Market Supervisory Board notification. Accordingly, the submission of DTP’s Key Financial Ratio Report for the year 2024 was delayed beyond the prescribed period. | | Criminal Fine | imposing a fine of 53,400.00 Baht according to 143/2569 | |
| 70 | 08/09/2026 | DTGO Prosperous Limited | 56(4) / SEC Act | DTGO Prosperous Company Limited (“DTP”) failed to prepare and submit its Financial Highlights Report for the year 2024 within the period prescribed by the Capital Market Supervisory Board. Specifically, DTP was required to submit its Financial Highlights Report for the year 2024 to the SEC Office by 11 April 2025. However, DTP submitted such report to the SEC Office on 25 April 2025, which was later than the deadline prescribed in the relevant Capital Market Supervisory Board notification. Accordingly, the submission of DTP’s Financial Highlights Report for the year 2024 was delayed beyond the prescribed period. | | Criminal Fine | imposing a fine of 53,400.00 Baht according to 143/2569 | |
| 71 | 08/09/2026 | DTGO Prosperous Limited | 56(4) / SEC Act | DTGO Prosperous Company Limited (“DTP”) failed to prepare and submit its Financial Covenants Report within the period prescribed by the Capital Market Supervisory Board. Specifically, DTP was required to submit its Financial Covenants Report to the SEC Office by 11 April 2025. However, DTP submitted such report to the SEC Office on 25 April 2025, which was later than the deadline prescribed in the relevant Capital Market Supervisory Board notification. Accordingly, the submission of DTP’s Financial Covenants Report was delayed beyond the prescribed period. | | Criminal Fine | imposing a fine of 53,400.00 Baht according to 143/2569 | |
| 72 | 08/09/2026 | Mr. Zhang Liang Gang | 300 in conjunction with 56(4) / SEC Act | Mr. Zhang Liang Gang, Managing Director of Risland (Thailand) Company Limited (“RISLAND”), was the person responsible for the operation of RISLAND and had the duty to supervise and ensure that RISLAND prepared and submitted the Key Financial Ratio Report for the year 2024 in accordance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board. However, Mr. Zhang Liang Gang failed to give the necessary instructions or take the actions required to ensure compliance with such requirements. As a result, Mr. Zhang Liang Gang was responsible for RISLAND’s submission of an inaccurate Key Financial Ratio Report for the year 2024. | | Criminal Fine | imposing a fine of 40,500.00 Baht according to 142/2569 | |
| 73 | 08/09/2026 | Risland (Thailand) Company Limited | 56(4) / SEC Act | Risland (Thailand) Company Limited (“RISLAND”) failed to prepare and submit its Key Financial Ratio Report for the year 2024 in compliance with the rules prescribed by the Capital Market Supervisory Board. Specifically, on 2 April 2025, RISLAND prepared and submitted an incorrect Key Financial Ratio Report for the year 2024. The company subsequently submitted a corrected report on 9 April 2025. Accordingly, RISLAND's submission of the Key Financial Ratio Report was not in compliance with the requirements prescribed by the relevant Capital Market Supervisory Board notification. | | Criminal Fine | imposing a fine of 40,500.00 Baht according to 141/2569 | |
| 74 | 08/09/2026 | Mr. Tawatchai Cheevanon | 300 in conjunction with 46 / SEC Act | Mr. Tawatchai Cheevanon Chief Executive Officer, Product & Business Solutions, At the time of the incident, he was acting as the executive director of the Financial Management Division for the business of Krungthai Bank Public Company Limited (“KTB”), shall be liable for KTB’s failure to act as the bondholders’ representative, in which, KTB performed its duties in a manner that involved a conflict of interest with the bond issuer. Specifically, KTB maintained a shareholding exceeding 5 percent of the issuer’s total voting rights via a company whose directors concurrently held directorships at KTB. | | Criminal Fine | imposing a fine of 801,450.00 Baht according to 140/2569 | |
| 75 | 08/09/2026 | Krungthai Bank Public Company Limited | 46 / SEC Act | Between 13 September 2023 to 7 July 2025, Krungthai Bank Public Company Limited (“KTB”), acting as the bondholders’ representative, performed its duties in a manner that involved a conflict of interest with the bond issuer. Specifically, KTB maintained a shareholding exceeding 5 percent of the issuer’s total voting rights via a company whose directors concurrently held directorships at KTB. | | Criminal Fine | imposing a fine of 801,450.00 Baht according to 139/2569 | |
| 76 | 08/09/2026 | Mr. Chainarong Chuchuen | 300 in conjunction with 46 / SEC Act | Mr. Chainarong Chuchuen, serving as Assistant Managing Director and Head of the Bondholders’ Representative Department, was a person responsible for the operations of Asia Plus Securities Company Limited (“ASPS”). He had a duty to supervise and ensure that ASPS exercised the degree of care expected of a professional in safeguarding the interests of the bondholders. However, Mr. Chainarong failed to give the necessary instructions or take the actions required of him. Accordingly, Mr. Chainarong is liable for ASPS’s failure to exercise the degree of care expected of a professional in safeguarding the interests of the bondholders, in that ASPS failed to verify the liabilities encumbering the collateral prior to the registration of such collateral and failed to monitor and oversee the collateral securing the bonds. | | Criminal Fine | imposing a fine of 47,250.00 Baht according to 138/2569 | |
| 77 | 08/09/2026 | Asia Plus Securities Company Limited | 46 / SEC Act | Asia Plus Securities Company Limited (“ASPS”), in its capacity as the bondholders’representative, failed to exercise the degree of care expected of a professional in safeguarding the interests of the bondholders. In particular, ASPS failed to verify the liabilities encumbering the collateral prior to the registration of such collateral and failed to monitor and oversee the collateral securing the relevant bonds. | | Criminal Fine | imposing a fine of 2,141,850.00 Baht according to 137/2569 | |
| 78 | 03/09/2026 | Mr. Suphol Kaploydee | Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work, Clause 18, 19(2) and 19(4) | A significant due diligence deficiency was identified in his performance of duty as the supervisor of a financial advisor in connection with an initial public offering (IPO) application by a public limited company (IPO applicant). His conduct indicated a failure to exercise due care in reviewing the material information of the IPO applicant, particularly by failing to identify irregularities or conduct additional due diligence on fund transfers between the IPO applicant's bank accounts that were routed through the bank accounts of the IPO applicant's executives. The supporting documents for accounting records were also inconsistent with the bank accounts, preventing the verification of payments or fund transfers made from the IPO applicant's bank accounts. | | Disclosure of Order | Probation | Disclosure of information until 31/12/2027 |
| 79 | 01/09/2026 | Mr. Alex Blania | 94 / DAB Act | Mr. Alex Blania, a Chief Executive Officer of Tools for Humanity Corporation ("TFH"), who has been responsible for the operation of TFH at the time the incident, shall be liable for TFH's violation of the law by assisting or facilitating a digital asset broker, UNO application, without a license resulted from his orders or actions. | 178/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 80 | 01/09/2026 | Tools for Humanity Corporation | 26 and Section 86 of Penal Code / DAB Act | Mr. John Palmer, a developer of UNO application ("UNO"), has operated a platform for trading or exchanging digital assets, as a digital asset broker, with fees. It has solicited its services to the public by providing Thai language to describe the application on www.world.org. The aforementioned action is deemed to be conducting a digital asset broker without a license. Additionally, UNO was assisted or facilitated to publicize its services by Tools for Humanity Corporation. | 178/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 81 | 01/09/2026 | Mr. John Palmer | 26 / DAB Act | Mr. John Palmer, a developer of UNO application ("UNO"), has operated a platform for trading or exchanging digital assets, as a digital asset broker, with fees. It has solicited its services to the public by providing Thai language to describe the application on www.world.org. The aforementioned action is deemed to be conducting a digital asset broker without a license. Additionally, UNO was assisted or facilitated to publicize its services by Tools for Humanity Corporation. | 178/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 82 | 01/09/2026 | Mr. Trung Huynh | 26 in conjunction with 83 of the Penal Code / DAB Act | Mr. Hoai Nam, Mr. Trung Banh and Mr. Trung Huynh, developers and operators of Holdstation application, have jointly operated a platform for trading or exchanging digital assets, as a digital asset broker, with fees. It has solicited the services to the public by using Thai language in the application and providing Thai language to describe the application on www.world.org. The aforementioned action is deemed to be conducting a digital asset broker without a license. | 178/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 83 | 01/09/2026 | Mr. Trung Banh | 26 in conjunction with 83 of the Penal Code / DAB Act | Mr. Hoai Nam, Mr. Trung Banh and Mr. Trung Huynh, developers and operators of Holdstation application, have jointly operated a platform for trading or exchanging digital assets, as a digital asset broker, with fees. It has solicited the services to the public by using Thai language in the application and providing Thai language to describe the application on www.world.org. The aforementioned action is deemed to be conducting a digital asset broker without a license. | 178/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 84 | 01/09/2026 | Mr. Hoai Nam | 26 in conjunction with 83 of the Penal Code / DAB Act | Mr. Hoai Nam, Mr. Trung Banh and Mr. Trung Huynh, developers and operators of Holdstation application, have jointly operated a platform for trading or exchanging digital assets, as a digital asset broker, with fees. It has solicited the services to the public by using Thai language in the application and providing Thai language to describe the application on www.world.org. The aforementioned action is deemed to be conducting a digital asset broker without a license. | 178/2026 | Criminal Complaints | This case is in the process of inquiry by the inquiry official. | |
| 85 | 27/08/2026 | Miss Tanrak Chiengtong | 94 in conjunction with 30 / DAB Act | Miss Tanrak Chiengtong, Chief Marketing Officer of a digital asset exchange and broker called Gulf Binance Company Limited (''Gulf Binance'') at the time of the incident, was responsible for Gulf Binance’s operations. Her failure to perform the required duties of her position resulted in the offence committed by Gulf Binance concerning the case that, from June 4, 2025 to October 2, 2025, Gulf Binance failed to comply with the rules, conditions, and procedures prescribed in the relevant notification. In this regard, Gulf Binance conducted a sales promotion campaign that provided Token Rewards to customers who held BNB Tokens, without clearly specifying the number of reward entitlements or the value of the rewards that each customer would receive. | | Criminal Fine | imposing a fine of 373,000.00 Baht according to 16/2569 | |
| 86 | 27/08/2026 | Gulf Binance Company Limited | 30 / DAB Act | From June 4, 2025 to October 2, 2025, Gulf Binance Company Limited (''Gulf Binance''), as a digital asset exchange and broker, failed to comply with the rules, conditions, and procedures prescribed in the relevant notification. In this regard, Gulf Binance conducted a sales promotion campaign by providing Token Rewards to customers who held BNB Tokens, without clearly specifying the number of reward entitlements or the value of the rewards that each customer would receive. | | Criminal Fine | imposing a fine of 373,000.00 Baht according to 15/2569 | |
| 87 | 18/08/2026 | Mr. Yim Leak | 246 / SEC Act | Mr. Yim Leak disposed securities of M Vision Public Company Limited ("MVP") on April 25, 2022, resulting in his shareholding crossing each five percent threshold of the total voting rights of the business. Accordingly, Mr. Yim was required to report such disposition of securities of MVP (Form 246-2) to the SEC Office within on April 28, 2022. Later, Mr. Yim submitted the report to the SEC Office on October 15, 2025. | | Criminal Complaints | | This case is in the process of inquiry by the inquiry official. |
