สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์
Printed on 07 October 2026 08:02

Recent Enforcement within 3 Months ( 146 record(s) found)
No.Enforcement DateNameRelevant Section/LawSummarized FactsSEC NewsType of EnforcementDetailsRemark
121/09/2026Siamnuwat Company Limited56(1)(4) / SEC ActSiam 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 ComplaintsThis case is in the process of inquiry by the inquiry official.
221/09/2026Mr. Tharathorn Aksaranuwat300 / SEC ActMr. 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 ComplaintsThis case is in the process of inquiry by the inquiry official.
316/09/2026SIX Network (Thailand) Co., Ltd.46(1) in conjunction with Section 83 of the Penal Code / DAB ActDuring 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.187/2026Civil 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

 
416/09/2026Mr. Vachara Aemavat94 in conjunction with 46(1) / DAB ActDuring 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.187/2026Civil 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

 
516/09/2026Mr. Passavin Kaewlumpoon46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB ActDuring 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.187/2026Civil 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

 
609/09/2026Mr. Vorapot Lan46 (1) in conjunction with 48 (2) (3) in conjunction with Section 83 of the Penal Code / DAB ActDuring 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.187/2026Civil 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

 
709/09/2026Mr. Paithoon Wongwatcharamongkol244/3 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 reimbursement of investigative expenses in an amount of 7,636.00 Baht

 
808/09/2026Mr. Chanond Ruangkritya59 / SEC ActMr. 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 Fineimposing a fine of 39,300.00 Baht according to 169/2569
908/09/2026Mrs. Praweerat Dheva-Aksorn59 / SEC ActMrs. 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 Fineimposing a fine of 77,300.00 Baht according to 168/2569
1008/09/2026Mr. Khuna Dheva-Aksorn59 / SEC ActMr. 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 Fineimposing a fine of 77,300.00 Baht according to 167/2569
1108/09/2026Maybank Securities (Thailand) Public Company Limited113 / SEC ActBetween 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 Fineimposing a fine of 1,096,000.00 Baht according to 166/2569
1208/09/2026Miss Jareeporn Jarukornsakul59 / SEC ActMiss 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 Fineimposing a fine of 44,400.00 Baht according to 165/2569
1308/09/2026Miss Jareeporn Jarukornsakul59 / SEC ActMiss 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 Fineimposing a fine of 37,800.00 Baht according to 165/2569
1408/09/2026Mr. Maruthorn Limatibul59 / SEC ActMr. 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 Fineimposing a fine of 5,500.00 Baht according to 164/2569
1508/09/2026Mr. Mongkol Limatibul59 / SEC ActMr. 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 Fineimposing a fine of 5,450.00 Baht according to 163/2569
1608/09/2026Mr. Suroj Jiraphongtrakul59 / SEC ActMr. 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 Fineimposing a fine of 192,000.00 Baht according to 162/2569
1708/09/2026Police Major General Sahaschai Intarasuksri59 / SEC ActPolice 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 Fineimposing a fine of 52,600.00 Baht according to 161/2569
1808/09/2026Mr. Ekkapak Nirapathapongporn59 / SEC ActMr. 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 Fineimposing a fine of 5,650.00 Baht according to 160/2569
1908/09/2026Mr. Wutthichai Phannachet59 / SEC ActMr. 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 Fineimposing a fine of 14,500.00 Baht according to 159/2569
2008/09/2026Miss PATTANANT PETCHCHEDCHOO59 / SEC ActMiss 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 Fineimposing a fine of 16,300.00 Baht according to 158/2569
2108/09/2026Mr. Thor Santisiri59 / SEC ActMr. 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 Fineimposing a fine of 41,800.00 Baht according to 157/2569
2208/09/2026Mr. Chawalit Chantararat59 / SEC ActMr. 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 Fineimposing a fine of 37,800.00 Baht according to 156/2569
2308/09/2026Mr. Charoen Wattanasin59 / SEC ActMr. 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 Fineimposing a fine of 15,600.00 Baht according to 155/2569
2408/09/2026Mr. Kowit Akkharaatimart59 / SEC ActMr. 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 Fineimposing a fine of 14,100.00 Baht according to 154/2569
2508/09/2026Mr. John Edward Mccosh59 / SEC ActMr. 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 Fineimposing a fine of 5,150.00 Baht according to 153/2569
2608/09/2026Mr. YOTHIN DUMNERNCHANVANIT300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 24,900.00 Baht according to 152/2569
2708/09/2026DOUBLE A (1991) PUBLIC COMPANY LIMITED56(4) / SEC ActDouble 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 Fineimposing a fine of 24,900.00 Baht according to 151/2569
2808/09/2026Mr. Soros Tangnaitham300 in conjunction with 56(2) / SEC ActMr. 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 Fineimposing a fine of 444,375.00 Baht according to 150/2569
2908/09/2026Mr. Soros Tangnaitham300 in conjunction with 56(3)(4) / SEC ActMr. 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 Fineimposing a fine of 334,500.00 Baht according to 150/2569
3008/09/2026Mr. Soros Tangnaitham56(1) / SEC ActMr. 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 Fineimposing a fine of 443,625.00 Baht according to 150/2569
3108/09/2026TAPACO Public Company Limited56(2) / SEC ActTAPACO 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 Fineimposing a fine of 444,375.00 Baht according to 149/2569
3208/09/2026TAPACO Public Company Limited56(3)(4) / SEC ActTAPACO 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 Fineimposing a fine of 334,500.00 Baht according to 149/2569
3308/09/2026TAPACO Public Company Limited56(1) / SEC ActTAPACO 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 Fineimposing a fine of 443,625.00 Baht according to 149/2569
3408/09/2026Mr. Nuttpasint Chet-udomlap300 in conjunction with 56(2) / SEC ActMr. 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 Fineimposing a fine of 102,300.00 Baht according to 148/2569
3508/09/2026Mr. Nuttpasint Chet-udomlap300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 102,300.00 Baht according to 148/2569
3608/09/2026Mr. Nuttpasint Chet-udomlap300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 102,300.00 Baht according to 148/2569
3708/09/2026Mr. Nuttpasint Chet-udomlap300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 102,300.00 Baht according to 148/2569
3808/09/2026World Medical Alliance (Thailand) Company Limited56(2) / SEC ActWorld 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 Fineimposing a fine of 127,875.00 Baht according to 147/2569
3908/09/2026World Medical Alliance (Thailand) Company Limited56(4) / SEC ActWorld 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 Fineimposing a fine of 102,300.00 Baht according to 147/2569
4008/09/2026World Medical Alliance (Thailand) Company Limited56(4) / SEC ActWorld 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 Fineimposing a fine of 102,300.00 Baht according to 147/2569
4108/09/2026World Medical Alliance (Thailand) Company Limited56(4) / SEC ActWorld 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 Fineimposing a fine of 102,300.00 Baht according to 147/2569
4208/09/2026Mr. Supamongkol Manoch300 in conjunction with 56(2) / SEC ActMr. 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 Fineimposing a fine of 42,000.00 Baht according to 146/2569
4308/09/2026Mr. Supamongkol Manoch300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 42,300.00 Baht according to 146/2569
4408/09/2026Mr. Supamongkol Manoch300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 42,300.00 Baht according to 146/2569
4508/09/2026Mr. Supamongkol Manoch300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 42,300.00 Baht according to 146/2569
4608/09/2026Wastech Exponential Company Limited56(2) / SEC ActWastech 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 Fineimposing a fine of 42,000.00 Baht according to 145/2569
4708/09/2026Wastech Exponential Company Limited56(4) / SEC ActWastech 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 Fineimposing a fine of 42,300.00 Baht according to 145/2569
4808/09/2026Wastech Exponential Company Limited56(4) / SEC ActWastech 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 Fineimposing a fine of 42,300.00 Baht according to 145/2569
4908/09/2026Wastech Exponential Company Limited56(4) / SEC ActWastech 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 Fineimposing a fine of 42,300.00 Baht according to 145/2569
5008/09/2026Mr. Veerachai Amornrat-tana300 in conjunction with 56(2) / SEC ActMr. 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 Fineimposing a fine of 72,600.00 Baht according to 144/2569
5108/09/2026Mr. Veerachai Amornrat-tana300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 53,400.00 Baht according to 144/2569
5208/09/2026Mr. Veerachai Amornrat-tana300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 53,400.00 Baht according to 144/2569
5308/09/2026Mr. Veerachai Amornrat-tana300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 53,400.00 Baht according to 144/2569
5408/09/2026DTGO Prosperous Limited56(2) / SEC ActDTGO 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 Fineimposing a fine of 72,600.00 Baht according to 143/2569
5508/09/2026DTGO Prosperous Limited56(4) / SEC ActDTGO 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 Fineimposing a fine of 53,400.00 Baht according to 143/2569
5608/09/2026DTGO Prosperous Limited56(4) / SEC ActDTGO 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 Fineimposing a fine of 53,400.00 Baht according to 143/2569
5708/09/2026DTGO Prosperous Limited56(4) / SEC ActDTGO 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 Fineimposing a fine of 53,400.00 Baht according to 143/2569
5808/09/2026Mr. Zhang Liang Gang300 in conjunction with 56(4) / SEC ActMr. 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 Fineimposing a fine of 40,500.00 Baht according to 142/2569
5908/09/2026Risland (Thailand) Company Limited56(4) / SEC ActRisland (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 Fineimposing a fine of 40,500.00 Baht according to 141/2569
6008/09/2026Mr. Tawatchai Cheevanon300 in conjunction with 46 / SEC ActMr. 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 Fineimposing a fine of 801,450.00 Baht according to 140/2569
6108/09/2026Krungthai Bank Public Company Limited46 / SEC ActBetween 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 Fineimposing a fine of 801,450.00 Baht according to 139/2569
6208/09/2026Mr. Chainarong Chuchuen300 in conjunction with 46 / SEC ActMr. 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 Fineimposing a fine of 47,250.00 Baht according to 138/2569
6308/09/2026Asia Plus Securities Company Limited46 / SEC ActAsia 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 Fineimposing a fine of 2,141,850.00 Baht according to 137/2569
6403/09/2026Mr. Suphol KaploydeeNotification 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 OrderProbationDisclosure of information until 31/12/2027
6501/09/2026Mr. Alex Blania94 / DAB ActMr. 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.178/2026Criminal ComplaintsThis case is in the process of inquiry by the inquiry official.
6601/09/2026Tools for Humanity Corporation26 and Section 86 of Penal Code / DAB ActMr. 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.178/2026Criminal ComplaintsThis case is in the process of inquiry by the inquiry official.
6701/09/2026Mr. John Palmer26 / DAB ActMr. 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.178/2026Criminal ComplaintsThis case is in the process of inquiry by the inquiry official.
6801/09/2026Mr. Trung Huynh26 in conjunction with 83 of the Penal Code / DAB ActMr. 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.178/2026Criminal ComplaintsThis case is in the process of inquiry by the inquiry official.
6901/09/2026Mr. Trung Banh26 in conjunction with 83 of the Penal Code / DAB ActMr. 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.178/2026Criminal ComplaintsThis case is in the process of inquiry by the inquiry official.
7001/09/2026Mr. Hoai Nam26 in conjunction with 83 of the Penal Code / DAB ActMr. 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.178/2026Criminal ComplaintsThis case is in the process of inquiry by the inquiry official.
7127/08/2026Miss Tanrak Chiengtong94 in conjunction with 30 / DAB ActMiss 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 Fineimposing a fine of 373,000.00 Baht according to 16/2569
7227/08/2026Gulf Binance Company Limited30 / DAB ActFrom 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 Fineimposing a fine of 373,000.00 Baht according to 15/2569
7318/08/2026Mr. Yim Leak246 / SEC ActMr. 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 ComplaintsThis case is in the process of inquiry by the inquiry official.
7406/08/2026Miss Busarat Bencharongkul300 in conjunction with 81 / SEC ActMiss Busarat Bencharongkul, Chief Global Markets and International Transaction Banking Group, who is responsible for the operation of TMBThanachart Bank Public Company Limited ("TTB") shall be liable for TTB’s failure to prepare and submit the report on the sale results of TTB’s structured notes Series 1/2023 No. 036 linked to the USD/THB exchange rate within the period specified in the notification of the SEC Office on June 7, 2023, due to her failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 10,120.00 Baht according to 136/2569
7506/08/2026Miss Busarat Bencharongkul300 in conjunction with 81 / SEC ActMiss Busarat Bencharongkul, Chief Global Markets and International Transaction Banking Group, who is responsible for the operation of TMBThanachart Bank Public Company Limited ("TTB") shall be liable for TTB’s failure to prepare and submit the report on the sale results of TTB’s structured notes Series 1/2023 No. 037 linked to the USD/THB exchange rate within the period specified in the notification of the SEC Office on June 7, 2023, due to her failure to order or act in accordance with duties required to be performed./-423Criminal Fineimposing a fine of 10,120.00 Baht according to 136/2569
7606/08/2026Miss Busarat Bencharongkul300 in conjunction with 81 / SEC ActMiss Busarat Bencharongkul, Chief Global Markets and International Transaction Banking Group, who is responsible for the operation of TMBThanachart Bank Public Company Limited ("TTB") shall be liable for TTB’s failure to prepare and submit the report on the sale results of TTB’s structured notes Series 1/2023 No. 041 linked to the USD/THB exchange rate within the period specified in the notification of the SEC Office on June 6, 2023, due to her failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 10,240.00 Baht according to 136/2569
7706/08/2026Miss Busarat Bencharongkul300 in conjunction with 81 / SEC ActMiss Busarat Bencharongkul, Chief Global Markets and International Transaction Banking Group, who is responsible for the operation of TMBThanachart Bank Public Company Limited ("TTB") shall be liable for TTB’s failure to prepare and submit the report on the sale results of TTB’s structured notes Series 1/2023 No. 042 linked to the USD/THB exchange rate within the period specified in the notification of the SEC Office on June 7, 2023, due to her failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 10,120.00 Baht according to 136/2569
7806/08/2026TMBThanachart Bank Public Company Limited81 / SEC ActTMBThanachart Bank Public Company Limited ("TTB"), failed to prepare and submit the report on the sale results of TTB’s structured notes Series 1/2023 No. 036 linked to the USD/THB exchange rate within the period specified in the notification of the SEC Office on June 7, 2023. However, the report on the sale results of structured notes was later submitted to the SEC Office on June 8, 2023. Criminal Fineimposing a fine of 10,120.00 Baht according to 135/2569
7906/08/2026TMBThanachart Bank Public Company Limited81 / SEC ActTMBThanachart Bank Public Company Limited ("TTB"), failed to prepare and submit the report on the sale results of TTB’s structured notes Series 1/2023 No. 037 linked to the USD/THB exchange rate within the period specified in the notification of the SEC Office on June 7, 2023. However, the report on the sale results of structured notes was later submitted to the SEC Office on June 8, 2023. Criminal Fineimposing a fine of 10,120.00 Baht according to 135/2569
8006/08/2026TMBThanachart Bank Public Company Limited81 / SEC ActTMBThanachart Bank Public Company Limited ("TTB"), failed to prepare and submit the report on the sale results of TTB’s structured notes Series 1/2023 No. 041 linked to the USD/THB exchange rate within the period specified in the notification of the SEC Office on June 6, 2023. However, the report on the sale results of structured notes was later submitted to the SEC Office on June 8, 2023./-303Criminal Fineimposing a fine of 10,240.00 Baht according to 135/2569
8106/08/2026TMBThanachart Bank Public Company Limited81 / SEC ActTMBThanachart Bank Public Company Limited ("TTB"), failed to prepare and submit the report on the sale results of TTB’s structured notes Series 1/2023 No. 042 linked to the USD/THB exchange rate within the period specified in the notification of the SEC Office on June 7, 2023. However, the report on the sale results of structured notes was later submitted to the SEC Office on June 8, 2023. Criminal Fineimposing a fine of 10,120.00 Baht according to 135/2569
8206/08/2026Mr. Aphinant Klewpatinond300 in conjunction with 81 / SEC ActMr. Aphinant Klewpatinond, Chief Executive Officer, who is responsible for the operation of Kiatnakin Phatra Securities Public Company Limited ("KKPS") shall be liable for KKPS’s failure to prepare and submit the report on the sale results of structured notes Series No. 3795 within the period specified in the notification of the SEC Office on May 7, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,300.00 Baht according to 134/2569
8306/08/2026Mr. Aphinant Klewpatinond300 in conjunction with 81 / SEC ActMr. Aphinant Klewpatinond, Chief Executive Officer, who is responsible for the operation of Kiatnakin Phatra Securities Public Company Limited ("KKPS") shall be liable for KKPS’s failure to prepare and submit the report on the sale results of structured notes Series No. 3796 within the period specified in the notification of the SEC Office on May 7, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,300.00 Baht according to 134/2569
8406/08/2026Mr. Aphinant Klewpatinond300 in conjunction with 81 / SEC ActMr. Aphinant Klewpatinond, Chief Executive Officer, who is responsible for the operation of Kiatnakin Phatra Securities Public Company Limited ("KKPS") shall be liable for KKPS’s failure to prepare and submit the report on the sale results of structured notes Series No. 3797 within the period specified in the notification of the SEC Office on May 7, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,300.00 Baht according to 134/2569
8506/08/2026Mr. Aphinant Klewpatinond300 in conjunction with 81 / SEC ActMr. Aphinant Klewpatinond, Chief Executive Officer, who is responsible for the operation of Kiatnakin Phatra Securities Public Company Limited (“KKPS”) shall be liable for KKPS’s failure to prepare and submit the report on the sale results of structured notes Series No. 3798 within the period specified in the notification of the SEC Office on May 7, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,300.00 Baht according to 134/2569
8606/08/2026Kiatnakin Phatra Securities Public Company Limited81 / SEC ActKiatnakin Phatra Securities Public Company Limited ("KKPS"), failed to prepare and submit the report on the sale results of structured notes Series No. 3795 within the period specified in the notification of the SEC Office on May 7, 2024. However, the report on the sale results of structured notes was later submitted to the SEC Office on May 8, 2024. Criminal Fineimposing a fine of 30,300.00 Baht according to 133/2569
8706/08/2026Kiatnakin Phatra Securities Public Company Limited81 / SEC ActKiatnakin Phatra Securities Public Company Limited ("KKPS"), failed to prepare and submit the report on the sale results of structured notes Series No. 3796 within the period specified in the notification of the SEC Office on May 7, 2024. However, the report on the sale results of structured notes was later submitted to the SEC Office on May 8, 2024. Criminal Fineimposing a fine of 30,300.00 Baht according to 133/2569
8806/08/2026Kiatnakin Phatra Securities Public Company Limited81 / SEC ActKiatnakin Phatra Securities Public Company Limited ("KKPS"), failed to prepare and submit the report on the sale results of structured notes Series No. 3797 within the period specified in the notification of the SEC Office on May 7, 2024. However, the report on the sale results of structured notes was later submitted to the SEC Office on May 8, 2024. Criminal Fineimposing a fine of 30,300.00 Baht according to 133/2569
8906/08/2026Kiatnakin Phatra Securities Public Company Limited81 / SEC ActKiatnakin Phatra Securities Public Company Limited ("KKPS"), failed to prepare and submit the report on the sale results of structured notes Series No. 3798 within the period specified in the notification of the SEC Office on May 7, 2024. However, the report on the sale results of structured notes was later submitted to the SEC Office on May 8, 2024. Criminal Fineimposing a fine of 30,300.00 Baht according to 133/2569
9006/08/2026Mr. Thapanun Punyavachira300 in conjunction with 81 / SEC ActMr. Thapanun Punyavachira, a director of Equity Derivatives Department, who is responsible for the operation of Asia Plus Securities Company Limited ("ASPS") shall be liable for ASPS’s failure to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 112 within the period specified in the notification of the SEC Office on August 2, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,000.00 Baht according to 132/2569
9106/08/2026Mr. Thapanun Punyavachira300 in conjunction with 81 / SEC ActMr. Thapanun Punyavachira, a director of Equity Derivatives Department, who is responsible for the operation of Asia Plus Securities Company Limited ("ASPS") shall be liable for ASPS’s failure to prepare and submit the report on the sale results of structured notes Series 1/2022 No.113 within the period specified in the notification of the SEC Office on August 2, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,000.00 Baht according to 132/2569
9206/08/2026Mr. Thapanun Punyavachira300 in conjunction with 81 / SEC ActMr. Thapanun Punyavachira, a director of Equity Derivatives Department, who is responsible for the operation of Asia Plus Securities Company Limited ("ASPS") shall be liable for ASPS’s failure to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 114 within the period specified in the notification of the SEC Office on August 4, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,000.00 Baht according to 132/2569
9306/08/2026Mr. Thapanun Punyavachira300 in conjunction with 81 / SEC ActMr. Thapanun Punyavachira, a director of Equity Derivatives Department, who is responsible for the operation of Asia Plus Securities Company Limited ("ASPS") shall be liable for ASPS’s failure to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 115 within the period specified in the notification of the SEC Office on August 4, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,000.00 Baht according to 132/2569
9406/08/2026Mr. Thapanun Punyavachira300 in conjunction with 81 / SEC ActMr. Thapanun Punyavachira, a director of Equity Derivatives Department, who is responsible for the operation of Asia Plus Securities Company Limited ("ASPS") shall be liable for ASPS’s failure to prepare and submit the report on the sale results of structured notes Series 1/2022 No.116 within the period specified in the notification of the SEC Office on August 4, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,000.00 Baht according to 132/2569
9506/08/2026Mr. Thapanun Punyavachira300 in conjunction with 81 / SEC ActMr. Thapanun Punyavachira, a director of Equity Derivatives Department, who is responsible for the operation of Asia Plus Securities Company Limited ("ASPS") shall be liable for ASPS’s failure to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 117 within the period specified in the notification of the SEC Office on August 4, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,000.00 Baht according to 132/2569
9606/08/2026Mr. Thapanun Punyavachira300 in conjunction with 81 / SEC ActMr. Thapanun Punyavachira, a director of Equity Derivatives Department, who is responsible for the operation of Asia Plus Securities Company Limited ("ASPS") shall be liable for ASPS’s failure to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 118 within the period specified in the notification of the SEC Office on August 4, 2023, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 30,000.00 Baht according to 132/2569
9706/08/2026Asia Plus Securities Company Limited81 / SEC ActAsia Plus Securities Company Limited ("ASPS"), failed to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 112 within the period specified in the notification of the SEC Office on August 2, 2023. However, the report on the sale results of structured notes was later submitted to the SEC Office on August 22, 2023. Criminal Fineimposing a fine of 36,000.00 Baht according to 131/2569
9806/08/2026Asia Plus Securities Company Limited81 / SEC ActAsia Plus Securities Company Limited ("ASPS"), failed to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 113 within the period specified in the notification of the SEC Office on August 2, 2023. However, the report on the sale results of structured notes was later submitted through the transmission system of the SEC Office on August 22, 2023. Criminal Fineimposing a fine of 36,000.00 Baht according to 131/2569
9906/08/2026Asia Plus Securities Company Limited81 / SEC ActAsia Plus Securities Company Limited ("ASPS"), failed to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 114 within the period specified in the notification of the SEC Office on August 4, 2023. However, the report on the sale results of structured notes was later submitted through the transmission system of the SEC Office on August 22, 2023. Criminal Fineimposing a fine of 35,400.00 Baht according to 131/2569
10006/08/2026Asia Plus Securities Company Limited81 / SEC ActAsia Plus Securities Company Limited ("ASPS"), failed to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 115 within the period specified in the notification of the SEC Office on August 4, 2023. However, the report on the sale results of structured notes was later submitted through the transmission system of the SEC Office on August 22, 2023. Criminal Fineimposing a fine of 35,400.00 Baht according to 131/2569
10106/08/2026Asia Plus Securities Company Limited81 / SEC ActAsia Plus Securities Company Limited ("ASPS"), failed to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 116 within the period specified in the notification of the SEC Office on August 4, 2023. However, the report on the sale results of structured notes was later submitted through the transmission system of the SEC Office on August 22, 2023. Criminal Fineimposing a fine of 35,400.00 Baht according to 131/2569
10206/08/2026Asia Plus Securities Company Limited81 / SEC ActAsia Plus Securities Company Limited ("ASPS"), failed to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 117 within the period specified in the notification of the SEC Office on August 4, 2023. However, the report on the sale results of structured notes was later submitted through the transmission system of the SEC Office on August 22, 2023. Criminal Fineimposing a fine of 35,400.00 Baht according to 131/2569
10306/08/2026Asia Plus Securities Company Limited81 / SEC ActAsia Plus Securities Company Limited ("ASPS"), failed to prepare and submit the report on the sale results of structured notes Series 1/2022 No. 118 within the period specified in the notification of the SEC Office on August 4, 2023. However, the report on the sale results of structured notes was later submitted through the transmission system of the SEC Office on August 22, 2023. Criminal Fineimposing a fine of 35,400.00 Baht according to 131/2569
10406/08/2026Lief Capital Asset Management Co., Ltd.133 paragraph 2 / SEC ActLief Capital Asset Management Company Limited (“Lief Capital”), as a securities company licensed to undertake private fund management business, failed to manage private funds in compliance with the rules, conditions, and procedures prescribed by the Capital Market Supervisory Board. Specifically, Lief Capital maintained deficient procedures for the analysis and selection of investments, monitoring of investments, and disclosure of information to be offered to clients. Such conduct constituted a violation of Section 133, paragraph two of the Securities and Exchange Act B.E. 2535 (1992). Criminal Fineimposing a fine of 1,874,500.00 Baht according to 130/2569
10506/08/2026Mr. Pongkrit Soontrarachoon59 / SEC ActOn 23 June 2022, Mr. Pongkrit Soontrarachoon held the position of Chief Operating Officer of Meta Corporation Public Company Limited (“META”). There was a change in his holding of META securities traded through his own securities trading account. Mr. Pongkrit was therefore required to prepare and submit Form 59 to the SEC Office within the period prescribed by the relevant notification, namely by 28 December 2022. However, Mr. Pongkrit reported the said change in securities holding by submitting Form 59 to the SEC Office on 9 February 2023. Accordingly, such report was submitted later than the period prescribed by the relevant notification. Criminal Fineimposing a fine of 14,300.00 Baht according to 129/2569
10606/08/2026Mr. Theerawat Thanyalakphark59 / SEC ActBetween 5 April 2022 and 17 May 2022, Mr. Theerawat Thanyalakphark held the position of director of Sena Development Public Company Limited (“SENA”). During such period, there were changes in his holding of SENA securities traded through his own securities trading account. Mr. Theerawat was therefore required to prepare and submit Form 59 to the SEC Office within the period prescribed by the relevant notification, namely by: (1) 12 April 2022; (2) 29 April 2022; (3) 19 May 2022; and (4) 20 May 2022, as applicable. However, Mr. Theerawat reported the said changes in securities holding by submitting Form 59 to the SEC Office on 25 May 2022. Accordingly, such reports were submitted later than the period prescribed by the relevant notification. Criminal Fineimposing a fine of 94,800.00 Baht according to 128/2569
10706/08/2026Mr. Thitipong Tangpoonphonvivat59 / SEC ActOn 10 June 2022, Mr. Thitipong Tangpoonphonvivat held the position of director of General Engineering Public Company Limited (“GEL”). There was a change in his holding of GEL securities traded through his own securities trading account. Mr. Thitipong was therefore required to prepare and submit Form 59 to the SEC Office within the period prescribed by the relevant notification, namely by 15 June 2022. However, Mr. Thitipong reported the said change in securities holding by submitting Form 59 to the SEC Office on 20 June 2022. Accordingly, such report was submitted later than the period prescribed by the relevant notification. Criminal Fineimposing a fine of 39,000.00 Baht according to 127/2569
10806/08/2026Ms. Yuvadee Pong-acha59 / SEC ActOn 5 January 2022, Ms. Yuvadee Pong-acha held the position of director of Jaymart Group Holdings Public Company Limited (“JMART”). There was a change in her holding of JMART securities traded through her own securities trading account. Ms. Yuvadee was therefore required to prepare and submit Form 59 to the SEC Office within the period prescribed by the relevant notification, namely by 10 January 2022. However, Ms. Yuvadee reported the said change in securities holding by submitting Form 59 to the SEC Office on 25 January 2022. Accordingly, such report was submitted later than the period prescribed by the relevant notification. Criminal Fineimposing a fine of 42,000.00 Baht according to 126/2569
10906/08/2026Ms. Phakhwan Wongphontawee59 / SEC ActOn 21 January 2022, Ms. Phakhwan Wongphontawee held the position of Chief Business Development Officer of Plan B Media Public Company Limited (“PLANB”). There was a change in her holding of PLANB securities traded through her own securities trading account. Ms. Phakhwan was therefore required to prepare and submit Form 59 to the SEC Office within the period prescribed by the relevant notification, namely by 26 July 2022. However, Ms. Phakhwan reported the said change in securities holding by submitting Form 59 to the SEC Office on 19 November 2022. Accordingly, such report was submitted later than the period prescribed by the relevant notification. Criminal Fineimposing a fine of 21,600.00 Baht according to 125/2569
11006/08/2026Ms. Napat Wannapinyo59 / SEC ActOn 4 March 2022, Ms. Napat Wannapinyo held the position of Chief Marketing and Revenue Officer of TV Thunder Public Company Limited (“TVT”). There was a change in her holding of TVT securities traded through her own securities trading account. Ms. Napat was therefore required to prepare and submit Form 59 to the SEC Office within the period prescribed by the relevant notification, namely by 9 March 2022. However, Ms. Napat reported the said change in securities holding by submitting Form 59 to the SEC Office on 10 March 2022. Accordingly, such report was submitted later than the period prescribed by the relevant notification. Criminal Fineimposing a fine of 5,050.00 Baht according to 124/2569
11106/08/2026Ms. Kultida Khunwisetphong59 / SEC ActBetween 18 January 2022 and 28 May 2024, Ms. Kultida Khunwisetphong held the position of director of SMD Rise Public Company Limited (“SMD100”). There were changes in her holding of SMD100 securities traded through her own securities trading account. Ms. Kultida was therefore required to prepare and submit Form 59 to the Office within the period prescribed by the relevant notification, namely by: (1) 21 January 2022; (2) 26 May 2022; (3) 28 September 2022; (4) 20 January 2023; and (5) 31 May 2024. However, Ms. Kultida reported the said changes in securities holding by submitting Form 59-2 to the Office on: (1) 6 May 2022; (2) 27 May 2022; (3) 5 October 2022; (4) 30 January 2023; and (5) 5 August 2024, as applicable. Accordingly, such reports were submitted later than the period prescribed by the relevant notification. Criminal Fineimposing a fine of 199,400.00 Baht according to 123/2569
11206/08/2026Mr Tos Chirathivat59 / SEC ActMr Tos Chirathivat, Director of Central Retail Corporation Public Company Limited (“CRC”), was required to prepare and submit a report on the change in securities holdings (Form 59) in accordance with the SEC’s regulations, as his spouse or person living together as husband and wife had conducted a transaction involving the sale of CRC securities on 23 March 2022. However, Mr. Tos failed to prepare and disclose the report (Form 59) to the SEC Office within the period specified in the relevant SEC notification, which was 28 March 2022, as he submitted the Form 59 report to the SEC Office on 1 April 2022, which was later than the deadline prescribed in the relevant SEC notification. Criminal Fineimposing a fine of 5,200.00 Baht according to 122/2569
11306/08/2026Mr. Charndej Tamesirichai59 / SEC ActMr. Charndej Tamesirichai, Director of Sahamit Machinery Public Company Limited (“SMIT”), was required to prepare and submit a report on the change in securities holdings (Form 59) in accordance with the SEC’s regulations, as he had conducted a transaction involving the acquisition of SMIT shares by transfer on 28 December 2021. However, Mr. Chandej failed to prepare and disclose the report (Form 59) to the SEC Office within the period specified in the relevant SEC notification, which was 4 January 2022, as he submitted the Form 59 report to the SEC Office on 13 January 2022, which was later than the deadline prescribed in the relevant SEC notification. Criminal Fineimposing a fine of 40,200.00 Baht according to 121/2569
11406/08/2026Mr Kittipan Sri-Bua-Iam59 / SEC ActMr Kittipan Sri-Bua-Iam, Director and Chief Executive Officer of Proen Corp Public Company Limited (“PROEN”), was required to prepare and submit reports on changes in securities holdings (Form 59) in accordance with the SEC’s regulations, as he and his related persons had conducted two transactions involving the sale of PROEN shares and warrants on 2 March 2022 and 15 August 2022. Accordingly, Mr. Kittiphan was required to prepare and disclose Form 59 to the SEC Office within the period specified in the relevant SEC notification, namely by 7 March 2022 and 18 August 2022, respectively. However, Mr. Kittiphan submitted the Form 59 reports to the SEC Office on 1 April 2022 and 19 August 2022, respectively, which were later than the deadlines prescribed in the relevant SEC notification. Therefore, the preparation and disclosure of Form 59 were delayed beyond the period specified in the relevant SEC notification. Criminal Fineimposing a fine of 46,050.00 Baht according to 120/2569
11506/08/2026Miss Wipanun Yamkhum59 / SEC ActMiss Wipanun Yamkhum, Director of Strategic Planning and Investor Relations of Thanasiri Group Public Company Limited (“THANA”), was required to prepare and submit a report on the change in securities holdings (Form 59) in accordance with the SEC’s regulations, as she had conducted a transaction involving the sale of THANA securities on 24 March 2022. However, Ms. Wiphanan failed to prepare and disclose the report (Form 59) to the SEC Office within the period specified in the relevant SEC notification, which was 28 September 2022, as she submitted the Form 59 report to the SEC Office on 17 November 2022, which was later than the deadline prescribed in the relevant SEC notification. Criminal Fineimposing a fine of 15,000.00 Baht according to 119/2569
11606/08/2026Mr. Vasin Srisukri59 / SEC ActMr. Vasin Srisukri was a former Chief Solution Sales Officer of Beryl 8 Plus Public Company Limited. His spouse has changed her securities holding. In this regard, Mr. Vasin has the duty to prepare and disclose a report regarding his spouse’s holding securities and the changes to such holdings (Form 59) within May 18, 2022. However, Mr. Vasin prepared and disclosed the report (Form 59) to the SEC office on March 31, 2023. Criminal Fineimposing a fine of 41,700.00 Baht according to 118/2569
11706/08/2026Mr. Nattachet Tepupatum59 / SEC ActMr. Nattachet Tepupatum, a former Director and Chief Operating Officer of I&I Group Public Company Limited, has changed his securities holding. In this regard, Mr. Nattachet has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within October 15, 2021. However, Mr. Nattachet prepared and disclosed the report (Form 59) to the SEC office on March 17, 2022. Criminal Fineimposing a fine of 166,800.00 Baht according to 117/2569
11806/08/2026Mr. Prachin Eamlumnow59 / SEC ActMr. Prachin Eamlumnow, a former Director and Chief Executive Officer of Grand Prix International Public Company Limited, has changed his securities holding. In this regard, Mr. Prachin has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within October 5, 2021 and March 10, 2025, respectively. However, Mr. Prachin prepared and disclosed the report (Form 59) to the SEC office on November 19, 2021 and November 12, 2025. Criminal Fineimposing a fine of 251,700.00 Baht according to 116/2569
11906/08/2026Pol.Lt.Gen. Jarax Sangtaweep59 / SEC ActPol.Lt.Gen. Jarax Sangtaweep, a Vice Chairman of Sikarin Public Company Limited, has changed his securities holding. In this regard, Pol.Lt.Gen. Jarax has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within March 2, 2022. However, Pol.Lt.Gen. Jarax prepared and disclosed the report (Form 59) to the SEC office on March 16, 2022. Criminal Fineimposing a fine of 41,700.00 Baht according to 115/2569
12006/08/2026Mr. Sarath Ratanavadi59 / SEC ActMr. Sarath Ratanavadi, a former Vice Chairman of Intouch Holding Public Company Limited ("INTUCH"), held more than 30% of the shares in Gulf Energy Development Public Company Limited ("GULF"). Between February 11, 2022 and April 8, 2022, GULF has changed its holdings of INTUCH securities. In this regard, Mr. Sarath has the duty to prepare and disclose a report regarding GULF’s holdings of INTUCH securities and the changes to such holdings (Form 59) within February 18, 2022 and April 19, 2022, depending on circumstances. However, Mr. Sarath prepared and disclosed the report (Form 59) to the SEC office on May 3, 2022. Criminal Fineimposing a fine of 175,500.00 Baht according to 114/2569
12106/08/2026Mr. Prasit Laokasemsukwong59 / SEC ActMr. Prasit Laokasemsukwong, Chief Business Development & B2B Officer, WSOL Public Company Limited (“WSOL”), had a change in his holdings of WSOL securities on 13 December 2021 to 9 June 2022. Therefore, he was required to prepare and disclose Form 59 to the Office within the period prescribed by the announcement, i.e., by 16 December 2021, 4 January 2022, 19 January 2022 and 14 June 2022. However, he prepared and disclosed Form 59 to the Office on 8 March 2022 and 20 June 2022, which was later than the deadline specified in the announcement. Criminal Fineimposing a fine of 21,800.00 Baht according to 113/2569
12206/08/2026Ms. Sirinan Dararattanarot59 / SEC ActMs. Sirinan Dararattanarot, Director, Nippon Rubber Industry Public Company Limited (“TNR”), had a change in her holdings of TNR securities on 3 November 2021. Therefore, she was required to prepare and disclose Form 59 to the Office within the period prescribed by the announcement, i.e., by 8 November 2021. However, she prepared and disclosed Form 59 to the Office on 23 July 2025, which was later than the deadline specified in the announcement. Criminal Fineimposing a fine of 886,800.00 Baht according to 112/2569
12306/08/2026Mrs. Pichamonch Patanapoonyapirom59 / SEC ActMrs. Pichamonch Patanapoonyapirom, Assistant Hospital Director[NT1.1], Accounting, Finance and Administration Division, Ekachai Medical Care Public Company Limited (“EKH”), had a change in her holdings of EKH securities on 5 October 2021. Therefore, she was required to prepare and disclose Form 59 to the Office within the period prescribed by the announcement, i.e., by 8 October 2021. However, she prepared and disclosed Form 59 to the Office on 26 November 2024, which was later than the deadline specified in the announcement. Criminal Fineimposing a fine of 104,400.00 Baht according to 111/2569
12406/08/2026Mr. THARATHORN AKSARANUWAT300 in conjunction with 56(2) / SEC ActMr. THARATHORN AKSARANUWAT, as the Chief Executive Officer and the person responsible for the operations of SIAMNUWAT COMPANY LIMITED (“SNW”), was responsible for supervising and ensuring that SNW prepared and submitted its annual financial statements for the year 2024 within the extension period granted by the SEC Office. However, Mr. THARATHORN failed to give the necessary instructions or take the actions required in the performance of such duties. Accordingly, Mr. THARATHORN is liable for SNW’s late preparation and submission of its annual financial statements for the year 2024. Criminal Fineimposing a fine of 46,800.00 Baht according to 110/2569
12506/08/2026Mr. THARATHORN AKSARANUWAT300 in conjunction with 56(4) / SEC ActMr. THARATHORN AKSARANUWAT, as the Chief Executive Officer and the person responsible for the operations of SIAMNUWAT COMPANY LIMITED (“SNW”), was responsible for supervising and ensuring that SNW prepared and submitted its Key Financial Ratio Report for the year 2024 within the extension period granted by the SEC Office. However, Mr. THARATHORN failed to give the necessary instructions or take the actions required in the performance of such duties. Accordingly, Mr. THARATHORN is liable for SNW’s late preparation and submission of its Key Financial Ratio Report for the year 2024. Criminal Fineimposing a fine of 48,000.00 Baht according to 110/2569
12606/08/2026Mr. THARATHORN AKSARANUWAT300 in conjunction with 56(4) / SEC ActMr. THARATHORN AKSARANUWAT , as the Chief Executive Officer and the person responsible for the operations of SIAMNUWAT COMPANY LIMITED (“SNW”), was responsible for supervising and ensuring that SNW prepared and submitted its Financial Highlights Report for the year 2024 within the extension period granted by the SEC Office. However, Mr. THARATHORN failed to give the necessary instructions or take the actions required in the performance of such duties. Accordingly, Mr. THARATHORN is liable for SNW’s late preparation and submission of its Financial Highlights Report for the year 2024. Criminal Fineimposing a fine of 48,000.00 Baht according to 110/2569
12706/08/2026Mr. THARATHORN AKSARANUWAT300 in conjunction with 56(4) / SEC ActMr. THARATHORN, as the Chief Executive Officer and the person responsible for the operations of SIAMNUWAT COMPANY LIMITED (“SNW”), was responsible for supervising and ensuring that SNW prepared and submitted its Financial Covenants Report for the year 2024 within the extension period granted by the SEC Office. However, Mr. THARATHORN failed to give the necessary instructions or take the actions required in the performance of such duties. Accordingly, Mr. THARATHORN is liable for SNW’s late preparation and submission of its Financial Covenants Report for the year 2024. Criminal Fineimposing a fine of 48,000.00 Baht according to 110/2569
12806/08/2026SIAMNUWAT COMPANY LIMITED56(2) / SEC ActSIAMNUWAT COMPANY LIMITED (“SNW”) was required to prepare and submit its annual financial statements for the year 2024 to the SEC Office within the period prescribed by the Capital Market Supervisory Board, namely by 31 March 2025. However, SNW requested an extension of the submission deadline for its annual financial statements for the year 2024 due to the earthquake that occurred on 28 March 2025. The SEC Office granted such extension until 10 April 2025. Nevertheless, SNW did not prepare and submit its annual financial statements for the year 2024 until 5 June 2025. Accordingly, SNW submitted its annual financial statements for the year 2024 after the extended deadline and was therefore late in filing such statements. Criminal Fineimposing a fine of 46,800.00 Baht according to 109/2569
12906/08/2026SIAMNUWAT COMPANY LIMITED56(4) / SEC ActSIAMNUWAT COMPANY LIMITED (“SNW”) was required to prepare and submit its Key Financial Ratio Report for the year 2024 to the SEC Office within the period prescribed by the Capital Market Supervisory Board, namely by 31 March 2025. However, SNW requested an extension of the submission deadline for its annual financial statements for the year 2024 due to the earthquake that occurred on 28 March 2025. The SEC Office granted such extension until 10 April 2025. Nevertheless, SNW did not prepare and submit its Key Financial Ratio Report for the year 2024 until 9 June 2025. Accordingly, SNW submitted its Key Financial Ratio Report for the year 2024 after the extended deadline and was therefore late in filing such report. Criminal Fineimposing a fine of 48,000.00 Baht according to 109/2569
13006/08/2026SIAMNUWAT COMPANY LIMITED56(4) / SEC ActSIAMNUWAT COMPANY LIMITED (“SNW”) was required to prepare and submit its Financial Highlights Report for the year 2024 to the SEC Office within the period prescribed by the Capital Market Supervisory Board, namely by 31 March 2025. However, SNW requested an extension of the submission deadline for its annual financial statements for the year 2024 due to the earthquake that occurred on 28 March 2025. The SEC Office granted such extension until 10 April 2025. Nevertheless, SNW did not prepare and submit its Financial Highlights Report for the year 2024 until 9 June 2025. Accordingly, SNW submitted its Financial Highlights Report for the year 2024 after the extended deadline and was therefore late in filing such report. Criminal Fineimposing a fine of 48,000.00 Baht according to 109/2569
13106/08/2026SIAMNUWAT COMPANY LIMITED56(4) / SEC ActSIAMNUWAT COMPANY LIMITED (“SNW”) was required to prepare and submit its Financial Covenants Report for the year 2024 to the SEC Office within the period prescribed by the Capital Market Supervisory Board, namely by 31 March 2025. However, SNW requested an extension of the submission deadline for its annual financial statements for the year 2024 due to the earthquake that occurred on 28 March 2025. The SEC Office granted such extension until 10 April 2025. Nevertheless, SNW did not prepare and submit its Financial Covenants Report for the year 2024 until 9 June 2025. Accordingly, SNW submitted its Financial Covenants Report for the year 2024 after the extended deadline and was therefore late in filing such report. Criminal Fineimposing a fine of 48,000.00 Baht according to 109/2569
13206/08/2026Mr. PUTT TRATKOSIT300 in conjunction with 56(3)(4) / SEC ActMr. PUTT TRATKOSIT, as the Chief Executive Officer and the person responsible for the operations of Light Up Total Solution Public Company Limited (“LTS”), was responsible for supervising and ensuring that LTS prepared and submitted its Annual Registration Statement/Annual Report (Form 56-1 One Report) for the year 2024 within the extended period granted by the SEC Office. However, Mr. PUTT failed to give the necessary instructions or take the actions required in the performance of such duties. Accordingly, Mr. PUTT is liable for LTS’s late preparation and submission of its Annual Registration Statement/Annual Report (Form 56-1 One Report) for the year 2024. Criminal Fineimposing a fine of 31,200.00 Baht according to 108/2569
13306/08/2026LIGHTUP TOTAL SOLUTION PUBLIC COMPANY LIMITED56(3)(4) / SEC ActLIGHTUP TOTAL SOLUTION PUBLIC COMPANY LIMITED (“LTS”) was required to prepare and submit its Annual Registration Statement/Annual Report (“Form 56-1 One Report”) for the year 2024 to the SEC Office through the electronic filing system of the Stock Exchange of Thailand by 31 March 2025. However, due to the earthquake that occurred on 28 March 2025, LTS requested an extension of the submission deadline until 4 April 2025. Nevertheless, LTS did not prepare and submit its Form 56-1 One Report for the year 2024 until 8 April 2025. Accordingly, LTS submitted its Form 56-1 One Report for the year 2024 after the extended deadline and was therefore late in filing such report. Criminal Fineimposing a fine of 31,200.00 Baht according to 107/2569
13406/08/2026Mr. Soravit Chairoj300 in conjunction with 35 / SEC ActMr. Soravit Chairoj, a director who is responsible for the operation of Boavista Phuket Limited ("Boavista Phuket"), shall be liable for Boavista Phuket’s failure to prepare and submit the report of utilization of proceeds from debenture offering No. 1/2024 for the second half of 2024 within the period specified in the notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed./257Criminal Fineimposing a fine of 50,800.00 Baht according to 106/2569
13506/08/2026Boavista Phuket Limited35 / SEC ActBoavista Phuket Limited, the issuer of Debenture Offering No. 1/2024, failed to prepare and submit the report on utilization of proceeds from debenture offering No. 1/2024 for the second half of 2024 within the period specified in the notification of the Capital Market Supervisory Board on June 4, 2025. However, the report on utilization of proceeds was later submitted to the SEC office on June 6, 2025. Criminal Fineimposing a fine of 50,800.00 Baht according to 105/2569
13606/08/2026Mr. Soravit Chairoj300 in conjunction with 35 / SEC ActMr. Soravit Chairoj, a director who is responsible for the operation of Boavista Lifestyle Residences Limited ("Boavista Lifestyle"), shall be liable for Boavista Lifestyle’s failure to prepare and submit the report of utilization of proceeds from debenture offering No. 1/2024 for the second half of 2024 within the period specified in the notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 50,800.00 Baht according to 104/2569
13706/08/2026Boavista Lifestyle Residences Limited35 / SEC ActBoavista Lifestyle Residences Limited, the issuer of Debenture Offering No. 1/2024, failed to prepare and submit the report on utilization of proceeds from debenture offering No. 1/2024 for the second half of 2024 within the period specified in the notification of the Capital Market Supervisory Board on June 4, 2025. However, the report on utilization of proceeds was later submitted to the SEC office on June 6, 2025. Criminal Fineimposing a fine of 50,800.00 Baht according to 103/2569
13806/08/2026Mr. Soravit Chairoj300 in conjunction with 35 / SEC ActMr. Soravit Chairoj, a director who is responsible for the operation of Sixteen Residences Limited ("Sixteen"), shall be liable for Sixteen’s failure to prepare and submit the report of utilization of proceeds from debenture offering No. 1/2023 for the second half of 2024 within the period specified in the notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. Criminal Fineimposing a fine of 50,800.00 Baht according to 102/2569
13906/08/2026Sixteen Residences Limited35 / SEC ActSixteen Residences Limited, the issuer of Debenture Offering No. 1/2023, failed to prepare and submit the report on utilization of proceeds from debenture offering No. 1/2023 for the second half of 2024 within the period specified in the notification of the Capital Market Supervisory Board on June 4, 2025. However, the report on utilization of proceeds was later submitted to the SEC office on June 6, 2025. Criminal Fineimposing a fine of 50,800.00 Baht according to 101/2569
14006/08/2026Miss Nada Songsasen94 in conjunction with 30 / DAB ActMiss Nada Songsasen, an authorized director of Coins TH Co., Ltd. ("Coins TH"), a cryptocurrency broker and cryptocurrency dealer, and an authorized person to certify the accuracy and completeness of the daily net liquidity fund calculation report form ("Form DA 1") at the time of the incident, was responsible for the operation of Coins TH. Her failure to perform the required duty of her position resulted in the offence committed by Coins TH concerning the case that Coins TH failed to calculate, prepare and submit Form DA 1 for the period from August 6, 2025 to November 30, 2025 in accordance with the notification of the SEC. Criminal Fineimposing a fine of 1,330,500.00 Baht according to 14/2569
14106/08/2026Coins TH Co., Ltd.30 / DAB ActCoins TH Co., Ltd., a cryptocurrency broker and cryptocurrency dealer, failed to calculate, prepare and submit the daily net capital report (Form DA 1) for the period from August 6, 2025 to November 30, 2025 in accordance with the notification of the SEC. Criminal Fineimposing a fine of 1,330,500.00 Baht according to 13/2569
14224/07/2026Ms. Supaporn Pimphong302/1 / SEC ActMs. Supaporn Pimphong submitted a total of four reports on changes in the securities and derivatives holdings of directors, executives, auditors, plan preparers, and plan administrators (Form 59), covering shares of four listed companies, during 27–28 June 2026. She also submitted a total of seven reports on the acquisition or disposition of securities (Form 246-2), covering securities of six listed companies, during 30 June–2 July 2026. However, Ms. Supaporn did not hold, acquire, or dispose of any securities of the six listed companies as reported in Form 59 and Form 246-2. Accordingly, this may be regarded as the submission of documents containing false statements to the SEC.160/2026Criminal ComplaintsThis case is in the process of inquiry by the inquiry official
14323/07/2026Mr. Thaweesap Rawan94 in conjunction with 76 and 88(2) / DAB ActMr. Sakolkorn Sakavee and Mr. Thaweesap Rawan, directors of Bitkub Online Co., Ltd. ("Bitkub"), were responsible for submitting its daily net capital report ("Form DA 1") during the period of the incident. Their orders or actions caused Bitkub to give false statements to the SEC. Accordingly, Mr. Sakolkorn and Mr. Thaweesap shall also be liable for the penalties as provided for Bitkub's offence. In addition, Mr. Sakolkorn and Mr. Thaweesap made false entries in Form DA 1 during the period of the incident, which was a document of Bitkub, to deceive the SEC into believing that customers' assets continued to be kept in the ordinary course and that no damage had occurred to Bitkub. Such conduct was therefore considered to be the making of false entries in the documents of a juristic person to deceive any person.158/2026Criminal ComplaintsThis case is in the process of inquiry by the inquiry official
14423/07/2026Mr. Sakolkorn Sakavee94 in conjunction with 76 and 88(2) / DAB ActMr. Sakolkorn Sakavee and Mr. Thaweesap Rawan, directors of Bitkub Online Co., Ltd. ("Bitkub"), were responsible for submitting its daily net capital report ("Form DA 1") during the period of the incident. Their orders or actions caused Bitkub to give false statements to the SEC. Accordingly, Mr. Sakolkorn and Mr. Thaweesap shall also be liable for the penalties as provided for Bitkub's offence. In addition, Mr. Sakolkorn and Mr. Thaweesap made false entries in Form DA 1 during the period of the incident, which was a document of Bitkub, to deceive the SEC into believing that customers' assets continued to be kept in the ordinary course and that no damage had occurred to Bitkub. Such conduct was therefore considered to be the making of false entries in the documents of a juristic person to deceive any person.158/2026Criminal ComplaintsThis case is in the process of inquiry by the inquiry official
14523/07/2026Bitkub Online Co., Ltd.76 / DAB ActIn May 2021, Bitkub Online Co., Ltd. ("Bitkub") was subject to a cyberattack involving the theft of digital assets in a total of 16 cryptocurrencies, resulting in a certain amount of customers' digital assets being withdrawn from the digital asset exchange (with an approximate value of 1.7 billion baht). However , Bitkub did not report to the SEC in its daily net capital report ("Form DA 1") in a manner consistent with the theft incident. In Form DA 1 for the period from 10 May to 30 October 2021, there was no indication that Bitkub's asset balance had materially changed as a result of the theft incident. Such conduct was considered to be the giving of false statements to the SEC.158/2026Criminal ComplaintsThis case is in the process of inquiry by the inquiry official
14614/07/2026149/2026Administrative OrdersRevocationEffective Date 14/07/2026 to 13/07/2036
Last updated on 06 October 2026