| No. | Enforcement Date | Name | Relevant Section/Law | Summarized Facts | SEC News | Type of Enforcement | Details | Remark |
|---|
| 1 | 25/11/2025 | Mr. Winai Teawsomboonkij | 59 / SEC Act | Between January 4, 2021 and February 22, 2023, Mr. Winai Teawsomboonkij, Chief Execeutive Officer and Director of Thaifoods Group Public Company Limited (TFG), has changed his securities holding in TFG. In this regard, Mr. Winai Teawsomboonkij has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within January 7, 2021 and February 27, 2023, depending on circumstances. However, Mr. Winai Teawsomboonkij prepared and disclosed the report (Form 59) to the SEC office on September 9, 2025 which means Mr. Winai Teawsomboonkij failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 1,838,500.00 Baht according to 132/2568 | |
| 2 | 25/11/2025 | Mr. Somkit Pipopwattana | 59 / SEC Act | Mr. Somkit Pipopwattana, Chairman of Synergetic Auto Performance Public Company Limited (ASAP), has changed his securities holding in ASAP during the period from December 2, 2020 to March 8, 2021. In this regard, Mr. Somkit has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within March 11, 2021. However, Mr. Somkit prepared and disclosed the report (Form 59) to the SEC office on March 23, 2021. | | Criminal Fine | imposing a fine of 5,600.00 Baht according to 131/2568 | |
| 3 | 25/11/2025 | Mr. Suksan Yasasin | 59 / SEC Act | On January 18 and 27, 2021 Mr. Suksan Yasasin, Vice Chairman of The Board of Directors and Chief Executive Officer of CHAYO GROUP PUBLIC COMPANY LIMITED (CHAYO), has changed his securities holding. In this regard, Mr. Suksan has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within January 21,2021 and Febuary 1,2021. However,
Mr. Suksan prepared and disclosed the report (Form 59) to the SEC office on March 26, 2021 which means Mr. Suksan failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 114,900.00 Baht according to 130/2568 | |
| 4 | 25/11/2025 | Mr. Somsak Amornrattanachaikul | 59 / SEC Act | On March 25, 2021 Mr. Somsak Amornrattanachaikul, Chief Executive Officer of ASIAN SEA CORPORATION Public Company Limited (ASIAN), has changed his securities holding. In this regard, Mr. Somsak has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) to the SEC office within March 30, 2021. However, Mr. Somsak prepared and disclosed the report (Form 59) to the SEC office on April 1, 2021 which means Mr. Somsak failed to prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 38,100.00 Baht according to 129/2568 | |
| 5 | 25/11/2025 | MRS. TEO LEE NGO | 59 / SEC Act | Between 3 to 11 November 2022, Mrs. Teo Lee Ngo, a director of AAPICO Hitech Public Company Limited (“AH”), bought AH securities through another person’s securities trading account for her own benefit. However, she failed to submit a report on the change in her securities holding (Form 59) in such account to the SEC Office within the period specified under the Notification of the Capital Market Supervisory Board, resulting in two counts of violation. Later, Mrs. Teo Lee Ngo submitted the required report (Form 59) to the SEC Office on 6 August 2025. | | Criminal Fine | imposing a fine of 726,875.00 Baht according to 128/2568 | |
| 6 | 25/11/2025 | Mr. Peerasit Jiwapong | 30 / DAB Act | Mr. Peerasit Jiwapong, a Chief Executive Officer of a digital asset fund manager called Merkle Capital Company Limited (''Merkle'') at the time of the incident, was responsible for the operation of Merkle. His failure to perform the required duty of his position resulted in the offence committed by Merkle concerning the case that, between November 25, 2024 and January 20, 2025, Merkle failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal systems and processes for preparing, approving, and supervising advertisements. In this respect, Merkle published advertisements without providing a channel for investors to study Merkle’s historical performance. Furthermore, Merkle did not disclose information about the advertiser and the relationship or connection between individuals playing a key role in the advertisement and the advertiser. | | Criminal Fine | imposing a fine of 453,000.00 Baht according to 22/2568 | |
| 7 | 25/11/2025 | Merkle Capital Company Limited | 30 / DAB Act | Between November 25, 2024 and January 20, 2025, Merkle Capital Company Limited (''Merkle''), a digital asset exchange, as a digital asset fund manager, failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal systems and processes for preparing, approving, and supervising advertisements. In this respect, Merkle published advertisements without providing a channel for investors to study Merkle’s historical performance. Furthermore, Merkle did not disclose information about the advertiser and the relationship or connection between individuals playing a key role in the advertisement and the advertiser. | | Criminal Fine | imposing a fine of 453,000.00 Baht according to 21/2568 | |
| 8 | 25/11/2025 | InnovestX Securities Company Limited | 30 / DAB Act | InnovestX Securities Company Limited ("INVX") as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, INVX submitted 42 reports of the results of monitoring and inspecting trading conditions (Daily Report) for the period from November 23, 2024 to March 29, 2025 to the SEC office later than the specified period. | | Criminal Fine | imposing a fine of 520,000.00 Baht according to 20/2568 | |
| 9 | 25/11/2025 | Gulf Binance Company Limited | 30 / DAB Act | Gulf Binance Company Limited (''Gulf Binance'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Gulf Binance submitted 46 reports of the results of monitoring and inspecting trading conditions (Daily Report) for the period from November 23, 2024 to April 6, 2025 to the SEC office later than the specified period. | | Criminal Fine | imposing a fine of 563,000.00 Baht according to 19/2568 | |
| 10 | 25/11/2025 | GMO-Z.COM CRYPTONOMICS (THAILAND) | 30 / DAB Act | GMO-Z.COM CRYPTONOMICS (THAILAND) Company Limited (''Z.COMEX'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Z.COMEX submitted 41 reports of the results of monitoring and inspecting trading conditions (Daily Report) for the period from November 23, 2024 to May 23, 2025 to the SEC office later than the specified period. | | Criminal Fine | imposing a fine of 503,000.00 Baht according to 18/2568 | |
| 11 | 25/11/2025 | Orbix Trade Company Limited | 30 / DAB Act | Orbix Trade Company Limited (''ORBIX TRADE'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, ORBIX TRADE submitted a report of the results of monitoring and inspecting trading conditions (Daily Report) of November 23, 2024 to the SEC office later than the specified period. | | Criminal Fine | imposing a fine of 91,000.00 Baht according to 17/2568 | |
| 12 | 22/09/2025 | Kiatnakin Phatra Asset Management Company Limited | 129 / SEC Act | Kiatnakin Phatra Asset Management Company Limited ("KKPAM") as a mutual fund management company, completed the negotiations with the Sub-lessee and entered into a new agreement on February 3, 2023 which is the modification of the Urbana Property mutual fund (Lease hold) ("URBNPF mutual fund") project. Therefore, KKPAM shall be obligated to notify the modification of URBNPF mutual fund to the SEC office within February 18, 2023. But KKPAM notified this modification to the SEC office on May 31, 2023. | | Criminal Fine | imposing a fine of 192,000.00 Baht according to 127/2568 | |
| 13 | 22/09/2025 | Miss Wantana Suk-udom | 283 / SEC Act | Miss Wantana Suk-udom, Acting Chief Executive Officer, shall be liable for Asia Wealth Securities Public Company Limited [“Asia Wealth”] order or an act of any person or a failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. | | Criminal Fine | imposing a fine of 300,000.00 Baht according to 126/2568 | |
| 14 | 22/09/2025 | Miss Wantana Suk-udom | 283 / SEC Act | Miss Wantana Suk-udom, Senior Director of Accounting, shall be liable for Asia Wealth Securities Public Company Limited [“Asia Wealth”] order or an act of any person or a failure to order or act according to the duties as aresult, Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 225,000.00 Baht according to 126/2568 | |
| 15 | 22/09/2025 | Miss Wantana Suk-udom | 283 / SEC Act | Miss Wantana Suk-udom, Senior Director of Accounting, shall be liable for Asia Wealth Securities Public Company Limited [“Asia Wealth”] order or an act of any person or a failure to order or act according to the duties as aresult, Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and truthful report of the net capital to the office of Securities and Exchange Commission. | | Criminal Fine | imposing a fine of 200,000.00 Baht according to 126/2568 | |
| 16 | 22/09/2025 | Mr. Chanachai Joonjiraporn | 283 / SEC Act | Mr. Chanachai Joonjiraporn, Chief Executive Officer, shall be liable for Asia Wealth Securities Public Company Limited [“Asia Wealth”] order or an act of any person or a failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. | | Criminal Fine | imposing a fine of 300,000.00 Baht according to 125/2568 | |
| 17 | 22/09/2025 | Mr. Trin Indra-opas | 283 / SEC Act | Mr. Trin Indra-opas, Chief Executive Officer and Acting Chief Finance and Budget Officer, shall be liable for Asia Wealth Securities Public Company Limited [“Asia Wealth”] order or an act of any person or a failure to order or act according to the duties as aresult, between June 4, 2020 and May 31, 2021, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. | | Criminal Fine | imposing a fine of 300,000.00 Baht according to 124/2568 | |
| 18 | 22/09/2025 | Miss Yeap Xin RHU | 59 / SEC Act | Miss Yeap Xin RHU, a Chief Financial Officer (“CFO”) of AAPICO Hitech Public Company Limited (“AH”), has been in a common-law relationship with Mr.Viroj Patcharawattanaku since December 5, 2015, Mr. Viroj is considered a common-law marriage with Miss Yeap Xin RHU, which is a person under applicable securities regulations. The SEC found that Mr. Viroj traded shares of AH during the period from September 24, 2020 to August 30, 2023. As a CFO, Miss Yeap Xin RHU was obligated to report any changes in the securities holdings of her common-law marriage, Mr. Viroj, in accordance with the requirements set out in Form 59. However, Miss Yeap Xin RHU failed to prepare and disclose the required reports within the timeframe specified by the SEC’s notification. | | Criminal Fine | imposing a fine of 388,700.00 Baht according to 123/2568 | |
| 19 | 22/09/2025 | Mr.Santi Bangor | 59 / SEC Act | Mr. Santi Bangor, INDEPENDENT DIRECTOR and AUDIT COMMITTEE of People's garment public company limited. Between Feb 10, 2022 and Jun 6, 2023. Mr. Santi Bangor, Audit Committee of People's Garment Public Company Limited, has changed their securities holding. In this regard, Mr. Santi has the duty to prepare and disclose a report regarding his holding
securities and the changes to such holdings (Form 59) within Aug 16, 2022 and Nov 29, 2023. However, Mr. Santi prepared and disclosed the report (Form 59) to the SEC office on November 29, 2023 which means Mr. Santi failed to prepare and disclose
the report within the period specified in the notification of the Capital Market Supervisory Board. | | Criminal Fine | imposing a fine of 61,000.00 Baht according to 122/2568 | |
| 20 | 22/09/2025 | Mrs. Suvimol Chrityakierne | 59 / SEC Act | Mrs. Suvimol Chrityakierne, Chairman of the Board of Director and Independent Director of NSL Foods Public Company Limited. Her spouse, Mr. Benjapol Chrityakierne, has changed his securities holding. In this regard, Mrs. Suvimol has the duty to prepare and disclose a report regarding her spouse’s holding securities and the changes to such holdings (Form 59) within May 24, 2021. However, Mrs. Suvimol prepared and disclosed the report (Form 59) to the SEC office on May 28, 2021. | | Criminal Fine | imposing a fine of 38,700.00 Baht according to 121/2568 | |
| 21 | 22/09/2025 | Mr. Alumphol Charoenkit | 59 / SEC Act | Mr. Alumphol Charoenkit, Director of K.C. Metalsheet Public Company Limited, has changed his securities holding. In this regard, Mr. Alumphol has the duty to prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59) within June 8, 2021. However, Mr. Alumphol prepared and disclosed the report (Form 59) to the SEC office on June 9, 2021. | | Criminal Fine | imposing a fine of 37,800.00 Baht according to 120/2568 | |
| 22 | 22/09/2025 | Mr. Wang Huiwu | 300 in conjunction with 57(6) / SEC Act | Mr. Wang Huiwu, Chief Executive officer who is responsible for the operation of XJ International Holdings Co., Ltd. (“XJ”) shall be liable for XJ’s failure to prepare and submit a report on events that have or may have an impact on the rights and benefits of securities holders, on investment decisions, or on changes in the price of the company’s securities within the specified period by the notification of the Securities and Exchange Commission resulted from the instructions or the failure to give instructions which is a duty required to be performed. | | Criminal Fine | imposing a fine of 13,000.00 Baht according to 119/2568 | |
| 23 | 22/09/2025 | XJ International Holdings Co., Ltd. | Section 57(6) / SEC Act | XJ International Holdings Co., Ltd. (“XJ”) failed to prepare and submit a report on events that have or may have an impact on the rights and benefits of securities holders, on investment decisions, or on changes in the price of the company’s securities within the specified period. | | Criminal Fine | imposing a fine of 13,000.00 Baht according to 118/2568 | |
| 24 | 22/09/2025 | Mr. Boonsong Sumnuk | 300 in conjunction with 56(4) / SEC Act | Mr. Boonsong Sumnuk, a Vice President of Accounting and Finance, who is responsible for the operation of Bound and Beyond Public Company Limited ("BEYOND"), shall be liable for BEYOND’s failure to prepare and submit the accurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 31,200.00 Baht according to 117/2568 | |
| 25 | 22/09/2025 | Bound and Beyond Public Company Limited | 56(4) / SEC Act | Bound and Beyond Public Company Limited ("BEYOND"), a listed company, prepared and submitted the inaccurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board on August 13, 2024. Later, the rectified key financial ratio for Q2/2024 was filed through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 31,200.00 Baht according to 116/2568 | |
| 26 | 22/09/2025 | Mr. Songkran Issara | 300 in conjunction with 56(4) / SEC Act | Mr. Songkran Issara, Chief Executive Officer, who is responsible for the operation of Charn Issara Development Public Company Limited ("CI"), shall be liable for CI’s failure to prepare and submit the key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 115/2568 | |
| 27 | 22/09/2025 | Mr. Songkran Issara | 300 in conjunction with 56(4) / SEC Act | Mr. Songkran Issara, Chief Executive Officer, who is responsible for the operation of Charn Issara Development Public Company Limited ("CI"), shall be liable for CI’s failure to prepare and submit the financial highlight for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 115/2568 | |
| 28 | 22/09/2025 | Mr. Songkran Issara | 300 in conjunction with 56(4) / SEC Act | Mr. Songkran Issara, Chief Executive Officer, who is responsible for the operation of Charn Issara Development Public Company Limited ("CI"), shall be liable for CI’s failure to prepare and submit the financial covenants for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 115/2568 | |
| 29 | 22/09/2025 | Charn Issara Development Public Company Limited | 56(4) / SEC Act | Charn Issara Development Public Company Limited ("CI"), a securities issuer, failed to prepare and submit the key financial ratio for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 14, 2024. However, the key financial ratio for Q2/2024 was later submitted through the transmission system of the SEC Office on August 15, 2024. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 114/2568 | |
| 30 | 22/09/2025 | Charn Issara Development Public Company Limited | 56(4) / SEC Act | Charn Issara Development Public Company Limited ("CI"), a securities issuer, failed to prepare and submit the financial highlight for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 14, 2024. However, the financial highlight for Q2/2024 was later submitted through the transmission system of the SEC Office on August 15, 2024. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 114/2568 | |
| 31 | 22/09/2025 | Charn Issara Development Public Company Limited | 56(4) / SEC Act | Charn Issara Development Public Company Limited ("CI"), a securities issuer, failed to prepare and submit the financial covenants for Q2/2024 through the transmission system of the SEC Office within the period specified in the notification of the Capital Market Supervisory Board on August 14, 2024. However, the financial covenants for Q2/2024 was later submitted through the transmission system of the SEC Office on August 15, 2024. | | Criminal Fine | imposing a fine of 37,875.00 Baht according to 114/2568 | |
| 32 | 22/09/2025 | Mr. Pathompol Saosap | 300 in conjunction with 56(4) / SEC Act | Mr. Pathompol Saosap, The Director, who is responsible for the operation of Thai Polycons Public Company Limited
("TPOLY"), shall be liable for TPOLY’s failure to prepare and submit the accurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 113/2568 | |
| 33 | 22/09/2025 | Thai Polycons Public Company Limited | 56(4) / SEC Act | Thai Polycons Public Company Limited ("TPOLY"), a securities issuer, prepared and submitted the inaccurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board on August 14, 2024. Later, the rectified key financial ratio for Q2/2024 was filed through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 112/2568 | |
| 34 | 22/09/2025 | Miss Somsri Tangtatpongsathorn | 300 in conjunction with 56(4) / SEC Act | Miss Somsri Tangtatpongsathorn, Accounting and Finance Manager, who is responsible for the operation of ASIA HOTEL Public Company Limited ("ASIA"), shall be liable for ASIA’s failure to prepare and submit the accurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board, due to her failure to order or act in accordance with duties required to be performed. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 111/2568 | |
| 35 | 22/09/2025 | Asia Hotel Public Company Limited | 56(4) / SEC Act | Asia Hotel Public Company Limited ("ASIA"), a listed company, prepared and submitted the inaccurate key financial ratio for Q2/2024 through the transmission system of the SEC Office as prescribed by the Notification of the Capital Market Supervisory Board on August 14, 2024. Later, the rectified key financial ratio for Q2/2024 was filed through the transmission system of the SEC Office on August 16, 2024. | | Criminal Fine | imposing a fine of 30,900.00 Baht according to 110/2568 | |
| 36 | 22/09/2025 | Mr. Piyapong Kodchana | 94 in conjunction with 30 / DAB Act | Mr. Piyapong Kodchana, a Chief Operating Officer of Bitkub Online Company Limited (''Bitkub''), has been responsible for the operation of Bitkub. He fails to perform the required duties of his position resulted in the offence committed by Bitkub concerning the case that during September 22, 2024 to February 8, 2025, Bitkub as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Bitkub did not provide customers with cryptocurrency training or cryptocurrency knowledge tests before providing services to them. | | Criminal Fine | imposing a fine of 230,000.00 Baht according to 16/2568 | |
| 37 | 22/09/2025 | Bitkub Online Company Limited | 30 / DAB Act | During September 22, 2024 to February 8, 2025, Bitkub Online Company Limited (''Bitkub'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Bitkub did not provide customers with cryptocurrency training or cryptocurrency knowledge tests before providing services to them. | | Criminal Fine | imposing a fine of 230,000.00 Baht according to 15/2568 | |
| 38 | 22/09/2025 | Mr. Tanawat Sutuntivorakoon | 94 in conjunction with 30 / DAB Act | Mr. Tanawat Sutuntivorakoon, a Chief Executive Officer of a digital asset broker called Bitazza Company Limited ("Bitazza"), has been responsible for the business operation of Bitazza. His failure to perform the required duty of his position resulted in the offence committed by Bitazza concerning the case that between September 22, 2024 and September 23, 2024, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the SEC office. | | Criminal Fine | imposing a fine of 154,000.00 Baht according to 14/2568 | |
| 39 | 22/09/2025 | Bitazza Company Limited | 30 / DAB Act | Between September 22, 2024 and September 23, 2024, Bitazza Company Limited ("Bitazza") as a digital asset broker, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the SEC office. | | Criminal Fine | imposing a fine of 154,000.00 Baht according to 13/2568 | |
