Criminal Complaints Filed by the Office of SEC

No.
Date of Complaint Filing
Name of Alleged Offender
Section
Relevant Law
Summarized Facts
Press Release
Results
Remarks

1

21/01/2019 Chuo Senko (Thailand) Public Company Limited 56(1)(2)(3)(4) SEC Act Chuo Senko (Thailand) Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2017, (2) the annual registration statement for the year 2017 (Form 56-2,2017), (3) the annual registration statement for the year 2017 (Form 56-1, 2017) and (4) the reviewed financial statements for Q1/2018 to the SEC and the SET within the specified period.   This case is in the process of inquiry by the inquiry official.  

2

28/01/2019 L.V. Technology Public Company Limited 56 SEC Act L.V. Technology Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2017, (2) the annual registration statement for the year 2017 (Form 56-1, 2017) and (3) the reviewed financial statements for Q1/2018 to the SEC and the SET within the specified period.   This case is in the process of inquiry by the inquiry official.  

3

28/02/2019 Group Lease Public Company Limited 56(1)(2)(3)(4) SEC Act Group Lease Public Company Limited (?GL?), a securities issuer, delayed to prepare and submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board as follows : 1. financial statement for the year 2016 2. annual registration statement for the year 2016 3. annual report for the year 2016 4. the reviewed financial statements for Q1/2017 5. the reviewed financial statements for Q2/2017 6. the reviewed financial statements for Q3/2017 7. financial statement for the year 2017 8. annual registration statement for the year 2017 9. annual report for the year 2017 10. the reviewed financial statements for Q1/2018 GL?s recorded the loan transactions with foreign debtors as GL?s income on those financial statements and financial reports but the fact that the transactions are an execution of asset misappropriation by GL?S former Chief Executive Officer. Therefore GL?s financial statements and financial reports were not complied with Thai Financial Reporting Standards which violated section 56(1) - (4) and shall be liable for the penalties under section 274 of The Securities and Exchange Act of Thailand B.E. 2535 (1992). GL later filed the amended financial statements and financial reports to The Securities and Exchange Commission on 31 July, 2018.
xxx/-518
This case is in the process of inquiry by the inquiry official  

4

28/02/2019 Mr. Tatsuya Konoshita 300 in conjunction with 56(1)(2)(3)(4) SEC Act Mr. Tatsuya Konoshita, as a Chairman of the Board Director and a Chief Executive Officer for the operation of Group Lease Public Company Limited (?GL?), shall be liable for section 300 and section 56(1) - (4) of The Securities and Exchange Act of Thailand B.E. 2535 (1992). In case of GL?s delayed to prepare and submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed as follows 1. the reviewed financial statements for Q3/2017 2. financial statement for the year 2017 3. annual registration statement for the year 2017 4. annual report for the year 2017 5. the reviewed financial statements for Q1/2018
xxx/-518
This case is in the process of inquiry by the inquiry official.  

5

28/02/2019 Mr. mitsuji Konoshita 300 in conjunction with 56(1)(2)(3)(4) SEC Act Mr. mitsuji Konoshita, as a Chief Executive Officer for the operation of Group Lease Public Company Limited (?GL?), shall be liable for section 300 and section 56 (1) - (4) of The Securities and Exchange Act of Thailand B.E. 2535 (1992). In case of GL?s delayed to prepare and submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed as follows 1. financial statement for the year 2016 2. annual registration statement for the year 2016 3. annual report for the year 2016 4. the reviewed financial statements for Q1/2017 5. the reviewed financial statements for Q2/2017
xxx/-518
This case is in the process of inquiry by the inquiry official.  

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