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

01/12/2017 K.C. Property Public Company Limited 56(1) SEC Act K.C. Property Public Company Limited, failed to prepare and submit (1) the reviewed financial statements for Q2/ 2017 (2) the reviewed financial statements for Q2/ 2017, and (3) the reviewed financial statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board.   This case is in the process of inquiry by the inquiry official.  

2

20/12/2017 L.V. Technology Public Company Limited 56 and 199 SEC Act L.V. Technology Public Company Limited, failed to prepare and submit (1) the reviewed financial statements for Q2/ 2017, and (2) the reviewed financial statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board.   This case is in the process of inquiry by the inquiry official.  

3

05/01/2018 Miss Nittha Kongkarien (formerly named Miss Jaroonluck) 307 and 311 in conjunction with 315 and section 86 of the Penal Code SEC Act Between September 22, 2015 and October 27, 2016, Miss Nittha Kongkarien (formerly named Miss Jaroonluck), secretary to the K.C. Property Public Company Limited (KC) Board of Directors, aided and abetted the former executive of KC (1) Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director and (2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director, in executing certain financial transactions through her own bank account.
2/2018
This case is in the process of inquiry by the special case inquiry official.  

4

05/01/2018 Mr. Kitisan Mookdee 281/2 paragraph 2 in conjunction with 89/7 312 and section 83 of the Penal Code SEC Act During 2016, Mr. Kitisan Mookdee, at the time he was holding the position of managing director of K.C. Property Public Company Limited (KC), knew dishonest acts of misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons? but did not perform his duties responsibly and honestly, and failed to have the B/E transactions in the KC accounting records, causing inaccurate and false preparation of such records.
2/2018
This case is in the process of inquiry by the special case inquiry official.  

5

05/01/2018 Mr. Krittiphat Ittisanyakorn (formerly named Mr.Pattarapob ) 89/7 and Section 281/2 paragraph 2 and Section 307 308 311 312 and 83 of Criminal Code SEC Act Between September 22, 2015 and October 27, 2016, Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director of K.C. Property Public Company Limited (KC), together with Mr. Sunchai Intarauksorn, former deputy managing director and executive director, jointly made a fraudulent arrangement for KC to offer the 25 B/E issues at a value ranging from 25 to 150 million baht each, and then misappropriated the proceeds by counterfeiting the company?s meeting documents, jointly opening a bank account for receiving the B/E transfer transactions, concealing such B/E sale by omitting the sale transactions from the company?s accounting records, and concealing the fraud by extending the maturity terms of such B/E issues several times. The fraud was supported and assisted by (1) Mr. Thepthiwa Bootprom, who knew Mr. Krittiphat Ittisanyakorn and Mr. Sunchai Intarauksorn. In so doing, Mr. Thepthiwa allowed his own bank account to receive transfers of the total B/E sale money to be further distributed to other persons while (2) Miss Nittha Kongkarien (formerly named Miss Jaroonluck), secretary to the KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons ? namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr. Kitisan ? to take the positions of director and executive of KC, was believed to have involved in the fraudulent acts and the receipt of a certain amount of B/E sale money.
2/2018
This case is in the process of inquiry by the special case inquiry official.  

6

20/12/2017 Mr. Sanguan Sanguanraksak 300 in conjunction with 56(1) SEC Act Mr. Sanguan Sanguanraksak, a managing director responsible for the operation of L.V. Technology Public Company Limited (LVT), shall be liable for LVT?s failure to prepare and submit the reviewed financial statements for Q2-Q3/2017 within the period specified by the Capital Market Supervisory Board.   This case is in the process of inquiry by the inquiry official.  

7

05/01/2018 Mr. Sunchai Intarauksorn 89/7 and Section 281/2 paragraph 2 and Section 307 308 311 312 and 83 of Criminal Code SEC Act Between September 22, 2015 and October 27, 2016, Mr. Sunchai Intarauksorn, former deputy managing director and executive director of K.C. Property Public Company Limited (KC), together with Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director, jointly made a fraudulent arrangement for KC to offer the 25 B/E issues at a value ranging from 25 to 150 million baht each, and then misappropriated the proceeds by counterfeiting the company?s meeting documents, jointly opening a bank account for receiving the B/E transfer transactions, concealing such B/E sale by omitting the sale transactions from the company?s accounting records, and concealing the fraud by extending the maturity terms of such B/E issues several times. The fraud was supported and assisted by (1) Mr. Thepthiwa Bootprom, who knew Mr. Krittiphat Ittisanyakorn and Mr. Sunchai Intarauksorn. In so doing, Mr. Thepthiwa allowed his own bank account to receive transfers of the total B/E sale money to be further distributed to other persons while (2) Miss Nittha Kongkarien (formerly named Miss Jaroonluck), secretary to the KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons ? namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr. Kitisan ? to take the positions of director and executive of KC, was believed to have involved in the fraudulent acts and the receipt of a certain amount of B/E sale money.
2/2018
This case is in the process of inquiry by the special case inquiry official.  

8

05/01/2018 Mr. Teerasit Sangngern 281/2 paragraph 2 in conjunction with 89/7 312 and section 83 of the Penal Code SEC Act During 2016, Mr. Teerasit Sangngern, at the time he was holding the position of executive director of K.C. Property Public Company Limited (KC) knew dishonest acts of misappropriation of the money received from the sale of KC short-term bills of exchange (B/E) for his own interest or other persons? but did not perform his duties responsibly and honestly, and failed to have the B/E transactions in the KC accounting records, causing inaccurate and false preparation of such records.
2/2018
This case is in the process of inquiry by the special case inquiry official.  

9

05/01/2018 Mr. Thepthiwa Bootprom 307 308 311 in conjunction with 315 and section 86 of the Penal Code SEC Act Between September 22, 2015 and October 27, 2016, Mr. Thepthiwa Bootprom aided and abetted the former executive of K.C. Property Public Company Limited (KC): (1) Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director and (2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director, by allowing his own bank account to receive transfers of the total sale money of KC?s bill of exchange (B/E) to be further distributed to other persons.
2/2018
This case is in the process of inquiry by the special case inquiry official.  

10

05/01/2018 Mr. Veerawat Sukwara 307 308 311 312 in conjunction with 315 and section 86 of the Penal Code SEC Act Between September 22, 2015 and October 27, 2016, Mr. Veerawat Sukwara aided and abetted the former executive of K.C. Property Public Company Limited (KC): (1) Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director and (2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director. Mr. Veerawat, who also knew and persuaded several persons ? namely, Mr. Krittiphat, Mr. Sunchai, Mr. Teerasit and Mr. Kitisan ? to take the positions of director and executive of KC, was believed to have involved in the fraudulent acts and the receipt of a certain amount of bill of exchange (B/E) sale money.
2/2018
This case is in the process of inquiry by the special case inquiry official.  

11

12/01/2018 Mr. Yongyuth Ngamkaiwan 300 SEC Act Mr. Yongyuth Ngamkaiwan, the representative of the planner (TUCC), responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare the reviewed financial statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification.   This case is in the process of inquiry by the inquiry official.  

12

30/11/2017 Mr. Yongyuth Ngamkaiwan 300 SEC Act Mr. Yongyuth Ngamkaiwan, the representative of Thai Unique Coil Center Public Company Limited (TUCC), responsible for the operation of TUCC, failed to supervise TUCC to prepare the reviewed financial statements for Q1/2017 and the reviewed financial statements for Q2/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification.   This case is in the process of inquiry by the inquiry official.  

13

01/12/2017 Mr.Kitisan Mookdee 300 in conjunction with 56(1) SEC Act Mr.Kitisan Mookdee, a managing director responsible for the operation of K.C. Property Public Company Limited (KC), shall be liable for KC?s failure to prepare and submit the reviewed financial statements for Q1-Q3/2017 within the period specified by the Capital Market Supervisory Board.   This case is in the process of inquiry by the inquiry official.  

14

12/01/2018 Thai Unique Coil Center Public Company Limited 56(1) in conjunction with 199 SEC Act Thai Unique Coil Center Public Company Limited, failed to prepare and submit the reviewed financial statements for Q3/2017 to the SEC and the SET within specified period.   This case is in the process of inquiry by the inquiry official.  

15

30/11/2017 Thai Unique Coil Center Public Company Limited 56(1) in conjunction with 199 SEC Act Thai Unique Coil Center Public Company Limited, failed to prepare and submit the reviewed financial statements for Q1/2017 and the reviewed financial statements for Q2/2017 to the SEC and the SET within specified period.   This case is in the process of inquiry by the inquiry official.  

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