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

12/09/2018 Chart Master Co., Ltd 16 DV Act  
108/2018
This case is in the process of inquiry by the inquiry official.  

2

12/09/2018 Mr. Narathip Lohawaroj 16 DV Act  
108/2018
This case is in the process of inquiry by the inquiry official.  

3

12/09/2018 Mr. Thiti Tarasuk 16 DV Act  
108/2018
This case is in the process of inquiry by the inquiry official.  

4

12/09/2018 Mr. Torpong Thammasombut 16 DV Act  
108/2018
This case is in the process of inquiry by the inquiry official.  

5

12/09/2018 Mrs. Sakonwan Paruang 16 DV Act  
108/2018
This case is in the process of inquiry by the inquiry official.  

6

02/10/2018 Ronghui International Service Co., Ltd. 33 SEC Act Ronghui International Service Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office.
119/2018
   

7

02/10/2018 Mr. Chu Yingjay 300 SEC Act Mr. Chu Yingjay, an Authorized Director of the Company, responsible for the operation of Ronghui International Service Co., Ltd. shall be liable for Ronghui International Service Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office.
119/2018
   

8

23/08/2018 Mr. Yongyuth Ngamkaiwan 300 SEC Act Mr. Yongyuth Ngamkaiwan, the person who is responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare (1) the audited financial statements for the year 2017, (2) the annual report 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 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.  

9

23/08/2018 Thai Unique Coil Center Public Company Limited 56(1)(2)(3)(4) SEC Act Thai Unique Coil Center Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2017, (2) the annual report 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.  

10

05/09/2018 Mr. Chris Lum 90 and Section 16 of DV Act SEC Act Mr. Chris Lum colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively.
103/2018
This case is in the process of inquiry by the inquiry official.  

11

05/09/2018 Mr. Victor Wongsonegoro 90 and Section 16 of DV Act SEC Act Mr. Victor Wongsonegoro colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively.
103/2018
This case is in the process of inquiry by the inquiry official.  

12

05/09/2018 Ms. Chong Jia Min 90 and Section 16 of DV Act SEC Act Ms. Chong Jia Min colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively.
103/2018
This case is in the process of inquiry by the inquiry official.  

13

05/09/2018 Ms. Kaewta Hengpracha 90 and Section 16 of DV Act SEC Act Ms. Kaewta Hengpracha colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively.
103/2018
This case is in the process of inquiry by the inquiry official.  

14

05/09/2018 Saxo Capital Market Pte.,Ltd. 90 and Section 16 of DV Act SEC Act Saxo Capital Market Pte.,Ltd. (Saxo) colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively.
103/2018
This case is in the process of inquiry by the inquiry official.  

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