Securities and Exchange Commission Thailand

Default

Criminal Fining
Complaint

Cases Settled by the Settlement Committee

No.
Meeting Date
Meeting No.
Order No.
Name of Offender
Section
Relevant Law
Summarized Facts
Press Release
Amount of Fines (Baht)
Remarks

1

16/05/2018 

5/2018 

19/2018 

Mr. Sorapoj Techakraisri 

59 

SEC Act 

Between 3 August, 2017 to 11 October, 2017 Mr. Sorapoj Techakraisri, Chief Executive officer and Director of Pace Development Corporation Public Company Limited (?PACE?) changed his holding of PACE securities for 12 times but failed to prepare and disclose all reports on changes in his holding to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. He later filed the reports (Form 59-2) to the SEC Office on 21 February, 2018. 

 

118,650.00  

 

2

16/05/2018 

5/2018 

18/2018 

Inter Far East Energy Corporation Company Limited (?IFEC") 

Section 57(6) 

SEC Act 

Inter Far East Energy Corporation Company Limited (?IFEC?), was liable for its failure to prepare and submit the defaults in Bill of Exchange, incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within a specified period. 

 

50,560.00  

 

3

18/04/2018 

4/2018 

16/2018 

Mr.Suphanan Rittiphairoj 

300 

SEC Act 

Mr. Suphanan Rittiphairoj, the Chief Executive Officer responsible for the operation of Inter Far East Energy Corporation Company Limited (?IFEC?), was liable for IFEC?s failure to prepare and submit the defaults in Bill of Exchange, incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within a specified period. 

 

31,600.00  

 

4

28/03/2018 

3/2018 

13/2018 

Mr. Arak Ratboriharn 

300 

SEC Act 

Mr. Arak Ratboriharn, chief executive officer and authorized director responsible for the operation of News Network Corporation Public Company Limited shall be liable for News Network Corporation Public Company Limited offer for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC. 

29/2018
 

500,000.00  

 

5

28/03/2018 

3/2018 

12/2018 

News Network Corporation Public Company Limited 

33 

SEC Act 

News Network Corporation Public Company Limited (NEWS) offer for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC. 

29/2018
 

500,000.00  

 

6

21/02/2018 

2/2018 

11/2018 

Kannithi Aviation Company Limited 

Section 57(6) 

SEC Act 

Kannithi Aviation Company Limited delayed in reporting to the SEC Office the defaults in bonds, these incidents which affect or likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company. 

 

62,820.00  

 

7

21/02/2018 

2/2018 

10/2018 

Mr. Wichai Thavornwattanayong 

Section 57(6) 

SEC Act 

Mr. Wichai Thavornwattanayong, the Ex-Chairman responsible for the operation of Inter Far East Energy Corporation Company Limited (?IFEC?), was liable for IFEC?s failure to prepare and submit the defaults in Bill of Exchange and the default in the interest of bonds, these incidents which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within specified period. 

 

42,900.00  

 

8

21/02/2018 

2/2018 

9/2018 

Inter Far East Energy Corporation Company Limited 

Section 57(6) 

SEC Act 

Inter Far East Energy Corporation Public Company Limited delayed in reporting to the SEC Office the defaults in Bill of Exchange and the default in the interest of bonds, these incidents which affect or likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company. 

 

83,550.00  

 

9

21/02/2018 

2/2018 

8/2018 

Mr. Pongkawin Jungrungruangkit 

300 

SEC Act 

Mr. Pongkawin Jungrungruangkit, Chairman, responsible for the operation of the International Engineering Public Company Limited (?IEC?), failed to supervise IEC to submit the financial statements for Q3/2017 within the specified period. 

 

193,800.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee. 

10

21/02/2018 

2/2018 

7/2018 

Mr. Palits Phanpanit 

300 

SEC Act 

Mr. Palits Phanpanit, managing director, responsible for the operation of Yarnapund Public Company Limited (?YNP?), shall be liable for YNP?s failure to prepare and submit the financial report for the first half of the year 2017 within the specified period. 

 

69,900.00  

 

11

21/02/2018 

2/2018 

6/2018 

Yarnapund Public Company Limited 

56 and 199 

SEC Act 

Yarnapund Public Company Limited (?YNP?), a securities issuer, failed to prepare and submit the financial report for the first half of the year 2017 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the financial report for the first half of the year 2016 were later filed with the SET and the SEC Office on December 26, 2017 and December 27, 2017, respectively. 

 

69,900.00  

 

12

30/01/2018 

1/2018 

5/2018 

Mr. Prasit Jiewkok 

300 

SEC Act 

Mr. Prasit Jiewkok, a chief executive officer, responsible for the operation of Mandawee Tour Co., Ltd. shall be liable for Mandawee Tour Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office.  

009/2018
 

500,000.00  

 

13

30/01/2018 

1/2018 

4/2018 

Mandawee Tour Co., Ltd. 

33 

SEC Act 

Mandawee Tour Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. 

009/2018
 

500,000.00  

 

14

30/01/2018 

1/2018 

3/2018 

Mr. Suraphong Triamchanchai 

59 

SEC Act 

Between 20 January 2017 to 29 May 2017 Mr. Suraphong Triamchanchai, the director and the managing director of Nippon Pack (Thailand) Public Company Limited (NPP) changed his holding of NPP securities for 27 times but failed to prepare and disclose all reports on changes in his holding to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 59-2) to the SEC Office on 8 August, 2017.  

 

267,500.00  

 

15

30/01/2018 

1/2018 

2/2018 

Mr. Somporn Mangmee 

300 

SEC Act 

Mr. Somporn Mangmee, the chairman of the executive committee (acting) for the operation of PAE (Thailand) Public Company Limited (?PAE?), shall be liable for PAE?s failure to prepare and submit the reviewed financial statements for Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to be performed. 

 

48,600.00  

 

16

30/01/2018 

1/2018 

1/2018 

PAE (Thailand) Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

PAE (Thailand) Public Company Limited (?PAE?), a securities issuer, failed to prepare and submit the reviewed financial statements for Q2/2017 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. Later, the reviewed financial statements for Q2/2017 were filed with the SET and the SEC Office. 

 

48,600.00  

 

17

20/12/2017 

11/2017 

104/2017 

Mr. Wichai Thavornwattanayong 

300 

SEC Act 

Mr. Wichai Thavornwattanayong, the Ex-Chairman responsible for the operation of Inter Far East Energy Corporation Company Limited (?IFEC?), was liable for IFEC?s failure to prepare and submit the incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within specified period. 

 

367,500.00  

 

18

20/12/2017 

11/2017 

103/2017 

Inter Far East Energy Corporation Company Limited 

Section 57(6) 

SEC Act 

Inter Far East Energy Corporation Company Limited delayed in reporting to the SEC Office the defaults in bonds and the events of default in bonds, these incidents which affect or likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company. 

 

367,500.00  

 

19

20/12/2017 

11/2017 

101/2017 

Mr. Apichart Karoonkornsakul 

300 

SEC Act 

Mr. Apichart Karoonkornsakul, president, responsible for the operation of Asia Precision Public Company Limited (?APCS?), shall be liable for APCS?s failure to prepare and submit the financial statements for the year 2016 within the specified period. 

 

85,800.00  

 

20

20/12/2017 

11/2017 

100/2017 

Asia Precision Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

Asia Precision Public Company Limited (?APCS?), a securities issuer, failed to prepare and submit the audited financial statements for the year 2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the financial statements for the year 2016 were later filed with the SET and the SEC Office on March 9, 2017 and March 10, 2017, respectively. 

 

85,800.00  

 

21

20/12/2017 

11/2017 

99/2017 

Mr. Amorn Meemano 

300 

SEC Act 

Mr. Amorn Meemano, the Chief Executive Officer responsible for the operation of AJ Advance Technology Public Company Limited (?AJA?), was liable for AJA?s failure to prepare and submit the reviewed financial statements for Q2/2017 ended June 30, 2017 within August 15, 2017. 

 

193,500.00  

 

22

20/12/2017 

11/2017 

98/2017 

AJ Advance Technology Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

AJ Advance Technology Public Company Limited (?AJA?), a securities issuer, failed to prepare and submit the reviewed financial statements for Q2/2017 ended June 30, 2017 to the SEC Office and the Stock Exchange of Thailand (the SET) within August 15, 2017. The reviewed financial statements for Q2/2017 were later submitted to the SET on September 29,2017. 

 

193,500.00  

 

23

20/12/2017 

11/2017 

97/2017 

Mr. Apivut Thongkam 

300 

SEC Act 

Mr. Apivut Thongkam, chief executive officer for the operation of AQ Estate Public Company Limited (?AQ?), shall be liable for AQ?s failure to prepare and submit the reviewed financial statements for Q1/2017 and Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to be performed. 

 

111,900.00  

 

24

20/12/2017 

11/2017 

96/2017 

AQ Estate Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

AQ Estate Public Company Limited (?AQ?), a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2017 and Q2/2017 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. Later, the reviewed financial statements for Q1/2017 and Q2/2017 were filed with the SET and the SEC Office. 

 

183,600.00  

 

25

15/11/2017 

10/2017 

94/2017 

Miss Ornpaphat Chantarasaka 

300 

SEC Act 

Miss Ornpaphat Chantarasaka, authorized director, responsible for the operation of Marnfah Group Company Limited, shall be liable for Marnfah Group Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval form the SEC Office. 

 

500,000.00  

 

26

15/11/2017 

10/2017 

93/2017 

Marnfah Group Company Limited 

33 

SEC Act 

Marnfah Group Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. 

 

500,000.00  

 

27

15/11/2017 

10/2017 

92/2017 

Miss Kanyakorn Supakarnkacharoen 

300 

SEC Act 

Miss Kanyakorn Supakarnkacharoen, an authorized director, responsible for the operation of Lederer (Thailand) Company Limited, shall be liable for Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office.  

 

1,530,000.00  

 

28

15/11/2017 

10/2017 

91/2017 

Lederer (Thailand) Company Limited 

33 

SEC Act 

Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. 

 

1,530,000.00  

 

29

15/11/2017 

10/2017 

90/2017 

Miss Sugunya Sukjaroenkraisri 

300 

SEC Act 

Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (?ACAP?), shall be liable for ACAP?s failure to prepare and submit the accurate annual registration statement for the year 2016 (Form 56-1) 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. 

 

68,100.00  

 

30

15/11/2017 

10/2017 

90/2017 

Miss Sugunya Sukjaroenkraisri 

300 

SEC Act 

Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (?ACAP?), shall be liable for ACAP?s failure to prepare and submit the accurate annual report for the year 2016 (Form 56-2) 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. 

 

60,300.00  

 

31

15/11/2017 

10/2017 

90/2017 

Miss Sugunya Sukjaroenkraisri 

300 

SEC Act 

Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (?ACAP?), shall be liable for ACAP?s failure to prepare and submit the accurate financial statement for the year 2016 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. 

 

62,100.00  

 

32

15/11/2017 

10/2017 

89/2017 

Asia Capital Group Public Company Limited 

56 and 199 

SEC Act 

Asia Capital Group Public Company Limited (?ACAP?) prepared and submitted the inaccurate annual registration statement for the year 2016 (?Form 56-1?), to the SET and the SEC Office. The Form 56-1 did not comply with the Thai Accounting Standard no.18 (revised 2015), Revenue (TAS 18) and clause 14 a(i) of IAS - IE 18. Later, the rectified Form 56-1 was filed with the SET and the SEC Office. 

 

68,100.00  

 

33

15/11/2017 

10/2017 

89/2017 

Asia Capital Group Public Company Limited 

56 and 199 

SEC Act 

Asia Capital Group Public Company Limited (?ACAP?) prepared and submitted the inaccurate annual report for the year 2016 (?Form 56-2?) to the SET and the SEC Office.The Form 56-2 did not comply with the Thai Accounting Standard no.18 (revised 2015), Revenue (TAS 18) and clause 14 a(i) of IAS ? IE 18. Later, the rectified Form 56-2 was filed with the SET and the SEC Office. 

 

60,300.00  

 

34

15/11/2017 

10/2017 

89/2017 

Asia Capital Group Public Company Limited 

56 and 199 

SEC Act 

Asia Capital Group Public Company Limited (?ACAP?) prepared and submitted the inaccurate financial statement for the year 2016 to the SET and the SEC Office. The financial statement for the year 2016 did not comply with the Thai Accounting Standard no.18 (revised 2015), Revenue (TAS 18) and clause 14 a(i) of IAS - IE 18. Later, the rectified financial statement for the year 2016 was filed with the SET and the SEC Office. 

 

62,100.00  

 

35

15/11/2017 

10/2017 

88/2017 

Mr. Pratheep Theepakornsukkasem 

300 

SEC Act 

Mr. Pratheep Theepakornsukkasem, a chief executive director responsible for the operation of Smart Concrete Public Company Limited (?SMART?), shall be liable for SMART?s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. 

 

55,200.00  

 

36

15/11/2017 

10/2017 

87/2017 

Smart Concrete Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

Smart Concrete Public Company Limited (?SMART?), a securities issuer, submitted the inaccurate financial statements for Q1/ 2017 ended March 31, 2017 to the Stock Exchange of Thailand (the SET) and the SEC Office on May 11, 2017 and May 15, 2017 respectively. The financial statements did not comply with the Financial Reporting Standard No. 10 (Revised 2558) Events after the Reporting Period. The rectified financial statements for Q1/ 2017 were later filed with the SET and the SEC Office on August 7, 2017 and August 10, 2017 respectively. 

 

55,200.00  

 

37

15/11/2017 

10/2017 

86/2017 

Mr. Chamnarn Pornpilailuck 

300 

SEC Act 

Mr. Chamnarn Pornpilailuck, a managing director responsible for the operation of Porn Prom Metal Public Company Limited (PPM), shall be liable for PPM?s failure to prepare and submit the reviewed financial statements for Q1/2017 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56. 

 

93,000.00  

 

38

15/11/2017 

10/2017 

85/2017 

Porn Prom Metal Public Company Limited 

56(1) 

SEC Act 

Porn Prom Metal Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q1/2017 to the SEC Office and the Stock Exchange of Thailand (SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on May 30, 2017 and with the SEC office on May 31,2017. 

 

93,000.00  

 

39

15/11/2017 

10/2017 

84/2017 

Mr. Amorn Meemano 

300 

SEC Act 

Mr. Amorn Meemano, the Chief Executive Officer responsible for the operation of AJ Advance Technology Public Company Limited (?AJA?), was liable for AJA?s failure to prepare and submit the reviewed financial statements for Q1/2017 ended March 31, 2017 within May 15, 2017. 

 

185,400.00  

 

40

15/11/2017 

10/2017 

83/2017 

AJ Advance Technology Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

AJ Advance Technology Public Company Limited (?AJA?), a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2017 ended March 31, 2017 to the SEC Office and the Stock Exchange of Thailand (the SET) within May 15, 2017. The reviewed financial statements for Q1/2017 were later submitted to the SET on August 15,2017 and SEC Office August 16,2017. 

 

185,400.00  

 

41

18/10/2017 

9/2017 

79/2017 

Mr. Narin Usanawarong 

300 

SEC Act 

Mr. Narin Usanawarong, as the director responsible for the operation of SS National Logistic Company Limited (SSNL) shall be liable for SSNL?s failure to disclose the accurate tender offer report (Form 247-4) of SSNL?s holding of Sermsuk Public Company Limited (SSC) shares on October 28, 2010. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL?s tender offer of SSC shares, Mr. Narin Usanawarong certified the completion and accuracy of the information provided in Form 247-4. 

 

1,596,000.00  

 

42

18/10/2017 

9/2017 

78/2017 

Mr. Sakchai Thanaboonchai 

300 

SEC Act 

Mr. Sakchai Thanaboonchai, at the time he was holding the position of the director responsible for the operation of SS National Logistic Company Limited (SSNL) shall be liable for SSNL?s failure to disclose the accurate tender offer report (Form 247-4) of SSNL?s holding of Sermsuk Public Company Limited (SSC) shares on October 28, 2010. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL?s tender offer of SSC shares, Mr. Sakchai Thanaboonchai certified the completion and accuracy of the information provided in Form 247-4.  

 

1,596,000.00  

 

43

20/09/2017 

8/2017 

71/2017 

Mr. Apivut Thongkam 

300 in conjunction with 56(2) 

SEC Act 

Mr. Apivut Thongkam, chief executive officer, responsible for the operation of AQ ESTATE Public Company Limited (?AQ?), shall be liable for AQ?s failure to prepare and submit the financial statements for the year 2016 within the specified period.  

 

61,500.00  

 

44

20/09/2017 

8/2017 

71/2017 

Mr. Apivut Thongkam 

300 in conjunction with 56(3) 

SEC Act 

Mr. Apivut Thongkam, chief executive officer, responsible for the operation of AQ ESTATE Public Company Limited (?AQ?), shall be liable for AQ?s failure to prepare and submit the annual report for the year 2016 (Form 56-2) within the specified period.  

 

51,900.00  

 

45

20/09/2017 

8/2017 

71/2017 

Mr. Apivut Thongkam 

300 in conjunction with 56(4) 

SEC Act 

Mr. Apivut Thongkam, chief executive officer, responsible for the operation of AQ ESTATE Public Company Limited (?AQ?), shall be liable for AQ?s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1) within the specified period.  

 

72,900.00  

 

46

20/09/2017 

8/2017 

70/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(2) in conjunction with 199 

SEC Act 

AQ ESTATE PUBLIC COMPANY LIMITED (?AQ?), a securities issuer, failed to prepare and submit the audited financial statements for the year 2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the financial statements for the year 2016 were later filed with the SET and the SEC Office on June 13, 2017 and June 14, 2017, respectively. 

 

92,250.00  

 

47

20/09/2017 

8/2017 

70/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(3) and 199 

SEC Act 

AQ ESTATE PUBLIC COMPANY LIMITED (?AQ?), a securities issuer, failed to prepare and submit the annual report for the year 2016 (Form 56-2) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the Form 56-2 for the year 2016 were later filed with the SEC and the SET Office on July 14, 2017 and July 20, 2017, respectively. 

 

51,900.00  

 

48

20/09/2017 

8/2017 

70/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(4) and 199 

SEC Act 

AQ ESTATE PUBLIC COMPANY LIMITED (?AQ?), a securities issuer, failed to submit the annual registration statement for the year 2016 (Form 56-1) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the Form 56-1 for the year 2016 were later filed with the SEC and the SET Office on August 21, 2017 and August 23, 2017, respectively. 

 

72,900.00  

 

49

20/09/2017 

8/2017 

69/2017 

Mr.Kitisan Mookdee 

300 

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 Q1/2017 within the period specified by the Capital Market Supervisory Board.  

 

228,600.00  

Mr.Kitisan Mookdee failed to comply with the order of the Settlement Committee, the SEC therefore filed a criminal complaint against him with the inquiry official.  

50

20/09/2017 

8/2017 

68/2017 

K.C. Property Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

K.C. Property Public Company Limited, a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

228,600.00  

K.C. Property Public Company Limited failed to comply with the order of the Settlement Committee, the SEC therefore filed a criminal complaint against it with the inquiry official. 

51

20/09/2017 

8/2017 

67/2017 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (?BUI?),was liable for BUI?s failure to prepare and submit the reviewed financial statements for Q1/2017 ended March 31, 2017 within May 15, 2017. 

 

184,620.00  

 

52

20/09/2017 

8/2017 

66/2017 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (?BUI?), a listed company, failed to prepare and submit the reviewed financial statements for Q1/2017 ended March 31, 2017 to the SEC Office and the Stock Exchange of Thailand (the SET) within May 15, 2017. The reviewed financial statements for Q1/2017 were later submitted to the SET on June 12,2017 and SEC Office June 13,2017. 

 

184,620.00  

 

53

20/09/2017 

8/2017 

65/2017 

Mr. Palits Phanpanit 

300 

SEC Act 

Mr. Palits Phanpanit, managing director, responsible for the operation of Yarnapund Public Company Limited (?YNP?), shall be liable for YNP?s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1, 2016) within the specified period. 

 

69,000.00  

 

54

20/09/2017 

8/2017 

65/2017 

Mr. Palits Phanpanit 

300 

SEC Act 

Mr. Palits Phanpanit, managing director, responsible for the operation of Yarnapund Public Company Limited (?YNP?), shall be liable for YNP?s failure to prepare and submit the annual report for the year 2016 (Form 56-2, 2016) within the specified period. 

 

59,400.00  

 

55

20/09/2017 

8/2017 

65/2017 

Mr. Palits Phanpanit 

300 

SEC Act 

Mr. Palits Phanpanit, managing director, responsible for the operation of Yarnapund Public Company Limited (?YNP?), shall be liable for YNP?s failure to prepare and submit the audited financial statements for the year 2016 within the specified period. 

 

64,800.00  

 

56

20/09/2017 

8/2017 

64/2017 

Yarnapund Public Company Limited 

56 and 199 

SEC Act 

Yarnapund Public Company Limited (?YNP?), a securities issuer, failed to submit the annual registration statement for the year 2016 (Form 56-1, 2016) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the annual registration statement for the year 2016 (Form 56-1, 2016) was later filed with the SET and the SEC Office on August 8, 2017 and August 9, 2017, respectively. 

 

69,000.00  

 

57

20/09/2017 

8/2017 

64/2017 

Yarnapund Public Company Limited 

56 and 199 

SEC Act 

Yarnapund Public Company Limited (?YNP?), a securities issuer, failed to submit the annual report for the year 2016 (Form 56-2, 2016) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the annual report for the year 2016 (Form 56-2, 2016) was later filed with the SET and the SEC Office on August 8, 2017 and August 9, 2017, respectively. 

 

59,400.00  

 

58

20/09/2017 

8/2017 

64/2017 

Yarnapund Public Company Limited 

56 and 199 

SEC Act 

Yarnapund Public Company Limited (?YNP?), a securities issuer, failed to submit the audited financial statements for the year 2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the audited financial statements for the year 2016 were later filed with the SET and the SEC Office on July 25, 2017 and August 9, 2017, respectively. 

 

64,800.00  

 

59

20/09/2017 

8/2017 

63/2017 

Miss Sopacha Dhumrongpiyawut, 

300 

SEC Act 

Miss Sopacha Dhumrongpiyawut, President responsible for the operation of Gunkul Engineering Public Company Limited (Gunkul), was liable for Gunkul?s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1, 2016) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. 

 

46,800.00  

 

60

20/09/2017 

8/2017 

62/2017 

Gunkul Engineering Public Company Limited 

56(4) and 199 

SEC Act 

Gunkul Engineering Public Company Limited (Gunkul), failed to prepare and submit the annual registration statement for the year 2016 (Form 56-1, 2016) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The audited financial statements for the year 2016 were later submitted to the SEC Office on April 4, 2017 and the SET on April 3, 2017. 

 

46,800.00  

 

61

20/09/2017 

8/2017 

61/2017 

Mr. Tarakorn Angpubate 

300 

SEC Act 

Mr. Tarakorn Angpubate, President responsible for the operation of Food Capital Public Company Limited (FC), was liable for FC?s failure to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 within the period specified in the notification. 

 

30,300.00  

 

62

20/09/2017 

8/2017 

60/2017 

Food Capitals Public Company Limited 

56 and 199 

SEC Act 

Food Capitals Public Company Limited (FC), failed to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The audited financial statements for the year 2016 were later submitted to the SEC Office on March 2, 2017 and the SET on March 1, 2017. 

 

30,300.00  

 

63

21/08/2017 

7/2017 

59/2017 

VRP Engineering and Trading Company Limited 

Section 57(6) 

SEC Act 

VRP Engineering and Trading Company Limited delayed in reporting to the SEC Office the defaults in short-term debenture, the incident which affect or likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company. 

 

54,120.00  

 

64

21/08/2017 

7/2017 

58/2017 

Mr.Kitisan Mookdee 

300 in conjunction with 56(2) 

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 audited financial statements for the year 2016 within the period specified by the Capital Market Supervisory Board.  

 

292,200.00  

 

65

21/08/2017 

7/2017 

58/2017 

Mr.Kitisan Mookdee 

300 in conjunction with 56(3) 

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 annual report for the year 2016 (Form 56-2) ended December 31, 2016 within the period specified by the Capital Market Supervisory Board.  

 

243,000.00  

 

66

21/08/2017 

7/2017 

58/2017 

Mr.Kitisan Mookdee 

300 in conjunction with 56(4) 

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 annual registration statement for the year 2016 (Form 56-1, 2016) within the period specified by the Capital Market Supervisory Board.  

 

281,400.00  

 

67

21/08/2017 

7/2017 

57/2017 

K.C. Property Public Company Limited 

56(2) and Section 199 and Section 56(2) 

SEC Act 

K.C. Property Public Company Limited, a securities issuer, failed to prepare and submit the audited financial statements for the year 2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

292,200.00  

 

68

21/08/2017 

7/2017 

57/2017 

K.C. Property Public Company Limited 

56(3) and 199 

SEC Act 

K.C. Property Public Company Limited, a securities issuer, failed to prepare and submit the annual report for the year 2016 (Form 56-2) ended December 31, 2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board.  

 

243,000.00  

 

69

21/08/2017 

7/2017 

57/2017 

K.C. Property Public Company Limited 

56(4) and 199 

SEC Act 

K.C. Property Public Company Limited, a securities issuer, failed to prepare and submit the annual registration statement for the year 2016 (Form 56-1, 2016) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

281,400.00  

 

70

21/08/2017 

7/2017 

56/2017 

Mr. Yutaka Ito 

300 

SEC Act 

Mr. Yutaka Ito, President responsible for the operation of S.PACK & PRINT (SPACK) Public Company Limited (SPACK), was liable for SPACK?s failure to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 within the period specified in the notification.  

 

33,000.00  

 

71

21/08/2017 

7/2017 

55/2017 

S. PACK & PRINT Public Company Limited 

56(2) in conjunction with 199 

SEC Act 

S. PACK & PRINT Public Company Limited (SPACK), failed to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The audited financial statements for the year 2016 were later submitted to the SEC Office on March, 2017 and the SET on March 10, 2017.  

 

33,000.00  

 

72

21/08/2017 

7/2017 

54/2017 

Mr. Nawat Triyapongpattana 

300 

SEC Act 

Mr. Nawat Triyapongpattana, the Managing director responsible for the operation of Ubis (Asia) Public Company Limited (UBIS), was liable for UBIS?s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1) ended December 31, 2016 within the period specified in the notification. 

 

81,000.00  

 

73

21/08/2017 

7/2017 

54/2017 

Mr. Nawat Triyapongpattana 

300 

SEC Act 

Mr. Nawat Triyapongpattana, the Managing director responsible for the operation of Ubis (Asia) Public Company Limited (UBIS), was liable for UBIS?s failure to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 within the period specified in the notification. 

 

118,200.00  

 

74

21/08/2017 

7/2017 

53/2017 

Ubis (Asia) Public Company Limited (UBIS) 

56(4) and 199 

SEC Act 

Ubis (Asia) Public Company Limited (UBIS), failed to prepare and submit the annual registration statement for the year 2016 (Form 56-1) ended December 31, 2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The annual registration statement for the year 2016 (Form 56-1) were later submitted to the SEC Office on April 7,2017 and the SET on April 5, 2017. 

 

81,000.00  

 

75

21/08/2017 

7/2017 

53/2017 

Ubis (Asia) Public Company Limited 

56(2) and Section 199 and Section 56(2) 

SEC Act 

Ubis (Asia) Public Company Limited (UBIS), failed to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The audited financial statements for the year 2016 were later submitted to the SEC Office on April 20,2017 and the SET on April 5, 2017. 

 

118,200.00  

 

76

19/07/2017 

6/2017 

50/2017 

Mr.Kusol Sangkananta 

300 in conjunction with 56(1) 

SEC Act 

Mr.Kusol Sangkananta, Chief Executive Officer responsible for the operation of Electronics Industry Public Company Limited (EIC), shall be liable for EIC?s failure to prepare and submit the accurate financial statements for Q3/2016 specified by the Capital Market Supervisory Board. 

 

72,900.00  

 

77

19/07/2017 

6/2017 

49/2017 

Mr.Bee Taechaubol 

300 in conjunction with 56(1) 

SEC Act 

Mr.Bee Taechaubol, Chief Executive Officer responsible for the operation of Electronics Industry Public Company Limited (EIC), shall be liable for EIC?s failure to prepare and submit the accurate financial statements for Q2/2016 specified by the Capital Market Supervisory Board. 

 

45,000.00  

 

78

19/07/2017 

6/2017 

48/2017 

Electronics Industry Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

Electronics Industry Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for Q2/ 2016 ended June, 2016 to the Stock Exchange of Thailand and the SEC Office on 15 August 2016. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements for Q2/2516 were later filed with the SEC Office and the SET on 5 April 2017 and 7 April 2017, respectively. 

 

150,300.00  

 

79

19/07/2017 

6/2017 

48/2017 

Electronics Industry Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

Electronics Industry Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for Q3/2016 ended September, 2016 to the Stock Exchange of Thailand and the SEC Office on 14 and 15 November 2016, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements for Q3/2516 were later filed with the SEC Office and the SET on 5 April 2017 and 7 April 2017, respectively. 

 

116,640.00  

 

80

19/07/2017 

6/2017 

47/2017 

Mr. Suthisak Vageepiyanantanon 

300 

SEC Act 

Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE Public Company Limited (?AQ?), shall be liable for AQ?s failure to prepare and submit the reviewed financial statements for Q2/2016 within the specified period.  

 

71,100.00  

 

81

19/07/2017 

6/2017 

47/2017 

Mr. Suthisak Vageepiyanantanon 

300 

SEC Act 

Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE Public Company Limited (?AQ?), shall be liable for AQ?s failure to prepare and submit the reviewed financial statements for Q3/2016 within the specified period.  

 

43,800.00  

 

82

19/07/2017 

6/2017 

46/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(1) in conjunction with 199 

SEC Act 

AQ ESTATE PUBLIC COMPANY LIMITED (?AQ?), a securities issuer, failed to submit the reviewed financial statements for Q2/2016 to the Stock Exchange of Thailand and the SEC Office within August 15, 2016. However, the reviewed financial statements for Q2/2016 were later submitted to the SET and the SEC Office on January 16, 2017 and January 17, 2017 respectively.  

 

95,250.00  

 

83

19/07/2017 

6/2017 

46/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(1) in conjunction with 199 

SEC Act 

AQ ESTATE PUBLIC COMPANY LIMITED (?AQ?), a securities issuer, failed to submit the reviewed financial statements for Q3/2016 to the Stock Exchange of Thailand and the SEC Office within November 14, 2016. However, the reviewed financial statements for Q3/2016 were later filed with the SET and the SEC Office on March 28, 2017 and March 29, 2017,respectively. 

 

87,750.00  

 

84

19/07/2017 

6/2017 

45/2017 

Mr. Wichai Thavornwattanayong 

300 in conjunction with 56(2) 

SEC Act 

Mr. Wichai Thavornwattanayong, chief executive officer and chairman of the board, responsible for the operation of Inter Far East Energy Corporation Public Company Limited (?IFEC?) , shall be liable for IFEC ?s failure to prepare and submit the financial statement for the year 2016 within the specified period.  

 

244,200.00  

 

85

19/07/2017 

6/2017 

45/2017 

Mr. Wichai Thavornwattanayong 

300 in conjunction with 56(3) 

SEC Act 

Mr. Wichai Thavornwattanayong, chief executive officer and chairman of the board, responsible for the operation of Inter Far East Energy Corporation Public Company Limited (?IFEC?) , shall be liable for IFEC ?s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1) within the specified period.  

 

207,000.00  

 

86

19/07/2017 

6/2017 

45/2017 

Mr. Wichai Thavornwattanayong 

300 in conjunction with 56(4) 

SEC Act 

Mr. Wichai Thavornwattanayong, chief executive officer and chairman of the board, responsible for the operation of Inter Far East Energy Corporation Public Company Limited (?IFEC?) , shall be liable for IFEC ?s failure to prepare and submit Annual report for the year 2016 within the specified period.  

 

169,800.00  

 

87

19/07/2017 

6/2017 

44/2017 

Inter Far East Energy Corporation Public Company Limited 

56(2) and Section 199 and Section 56(2) 

SEC Act 

Inter Far East Energy Corporation Public Company Limited (?IFEC?), a securities issuer, failed to submit the financial statement for the year 2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. 

 

244,200.00  

 

88

19/07/2017 

6/2017 

44/2017 

Inter Far East Energy Corporation Public Company Limited 

56(3) and 199 

SEC Act 

Inter Far East Energy Corporation Public Company Limited (?IFEC?), a securities issuer, failed to submit the annual registration statement for the year 2016 (Form 56-1) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. 

 

258,750.00  

 

89

19/07/2017 

6/2017 

44/2017 

Inter Far East Energy Corporation Public Company Limited 

56(4) and 199 

SEC Act 

Inter Far East Energy Corporation Public Company Limited (?IFEC?), a securities issuer, failed to submit Annual report for the year 2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. 

 

169,800.00  

 

90

21/06/2017 

5/2017 

43/2017 

Mr. Chareon Usanachitt 

199 and Section 59 

SEC Act 

On June 20, 2016 and June 21, 2016, Mr. Chareon Usanachitt, the chairman of Modernform Group Public Company Limited ("MODERN"), changed his holding of MODERN securities but failed to prepare and disclose report on changes in his holding to the SEC Office within the period Specified in the notification. 

 

490,500.00  

 

91

21/06/2017 

5/2017 

42/2017 

Mr. Somsak Varikarn 

199 and Section 59 

SEC Act 

On July 4, 2016 and July 21, 2016, Mr. Somsak Varikarn, the director of Modernform Group Public Company Limited ("MODERN"), changed his holding of MODERN securities but failed to prepare and disclose report on changes in his holding to the SEC Office within the period Specified in the notification. 

 

471,500.00  

 

92

21/06/2017 

5/2017 

41/2017 

Mr. Premchai Karnasuta 

59 and Section 199 and Section 59 

SEC Act 

Between June 29 and June 30, 2016, Mr. Premchai Karnasuta, the director of Italian-Thai Development Public Company Limited ("ITD"), changed his holding of ITD securities but failed to prepare and disclose report on changes in his holding to the SEC Office within the period Specified in the notification. 

 

258,300.00  

 

93

21/06/2017 

5/2017 

40/2017 

Mr. Anurag Thareratanavibool 

300 

SEC Act 

Mr. Anurag Thareratanavibool, chief executive officer, responsible for the operation of AI Energy Public Company Limited (?AIE?), shall be liable for AIE?s failure to prepare and submit the reviewed financial statements for Q3/2016 within the specified period. 

 

202,200.00  

 

94

21/06/2017 

5/2017 

39/2017 

AI Energy Public Company Limited 

56 and 199 

SEC Act 

AI Energy Public Company Limited (?AIE?), a securities issuer, failed to submit the reviewed financial statements for Q3/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements for Q3/2016 were later filed with the SET and the SEC Office on February 28, 2017 and March 1, 2017, respectively. 

 

202,200.00  

 

95

21/06/2017 

5/2017 

38/2017 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI?s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1) ended December 31, 2016 within the period specified in the notification. 

 

121,800.00  

 

96

21/06/2017 

5/2017 

38/2017 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI?s failure to prepare and submit the annual report for the year 2016 (Form 56-2) ended December 31, 2016 within the period specified in the notification. 

 

103,800.00  

 

97

21/06/2017 

5/2017 

38/2017 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI?s failure to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 within the period specified in the notification. 

 

239,700.00  

 

98

21/06/2017 

5/2017 

37/2017 

The Bangkok Union Insurance Public Company Limited (BUI) 

199 in conjunction with 56(4) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (BUI), a listed company, failed to prepare and submit the annual registration statement for the year 2016 (Form 56-1) ended December 31, 2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The audited financial statements for the year 2016 were later submitted to the SEC Office and the SET on May 9, 2017. 

 

121,800.00  

 

99

21/06/2017 

5/2017 

37/2017 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (BUI), a listed company, failed to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The audited financial statements for the year 2016 were later submitted to the SEC Office and the SET on April 24, 2017. 

 

239,700.00  

 

100

21/06/2017 

5/2017 

37/2017 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(3) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (BUI), a listed company, failed to prepare and submit the annual report for the year 2016 (Form 56-2) ended December 31, 2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. the annual report for the year 2016 (Form 56-2) were later submitted to the SEC Office on May 26, 2017 and the SET on May 30, 2017. 

 

103,800.00  

 

101

17/05/2017 

4/2017 

36/2017 

Mrs.Ariya Prasarttong-osoth 

59 in conjunction with 199 

SEC Act 

On November 25, 2016 Mrs.Ariya Prasarttong-osoth, the director of Bangkok Airways Public Company Limited ("BA"), changed her holding of BA securities but failed to prepare and disclose report on changes in her holding to the SEC Office within the period Specified in the notification. 

 

80,400.00  

 

102

17/05/2017 

4/2017 

35/2017 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (?BUI?),was liable for BUI?s failure to prepare and submit the reviewed financial statements for Q3/2016 ended September 30, 2016 within November 14, 2016. 

 

303,300.00  

 

103

17/05/2017 

4/2017 

34/2017 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (?BUI?), a listed company, failed to prepare and submit the reviewed financial statements for Q3/2016 ended September 30, 2016 to the SEC Office and the Stock Exchange of Thailand (the SET) within November 14, 2016. The reviewed financial statements for Q3/2016 were later submitted to the SET and SEC Office on February 28,2017. 

 

303,300.00  

 

104

17/05/2017 

4/2017 

33/2017 

Mr. Thanit Thareratanavibool 

300 

SEC Act 

Mr. Thanit Thareratanavibool, chief executive officer, responsible for the operation of Asian Insulators Public Company Limited (?AI?), shall be liable for AI?s failure to prepare and submit the reviewed financial statements for Q3/2016 within the specified period. 

 

252,750.00  

 

105

17/05/2017 

4/2017 

32/2017 

Asian Insulators Public Company Limited 

56 and 199 

SEC Act 

Asian Insulators Public Company Limited (?AI?), a securities issuer, failed to submit the reviewed financial statements for Q3/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements for Q3/2016 were later filed with the SET and the SEC Office on February 28, 2017 and March 1, 2017, respectively. 

 

252,750.00  

 

106

17/05/2017 

4/2017 

31/2017 

Mr. Chirasak Chiyachantana 

300 

SEC Act 

Mr. Chirasak Chiyachantana, chief executive officer and chairman of the board, responsible for the operation of World Corporation Public Company Limited (?WORLD?), shall be liable for WORLD?s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1) within the specified period. 

 

60,750.00  

 

107

17/05/2017 

4/2017 

30/2017 

World Corporation Public Company Limited 

56 and 199 

SEC Act 

World Corporation Public Company Limited (?WORLD?), a securities issuer, failed to submit the annual registration statement for the year 2016 (Form 56-1) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the Form 56-1 for the year 2016 were later filed with the SET and the SEC Office on September 6, 2016 and September 12, 2016, respectively. 

 

60,750.00  

 

108

15/03/2017 

3/2017 

27/2017 

Mr. Sittichai Leeswadtrakul 

300 in conjunction with 56(3) 

SEC Act 

Mr. Sittichai Leeswadtrakul, a managing director, responsible for the operation of Millcon Steel Company Limited (?MILL?), shall be liable for MILL?s failure to prepare and submit the annual report for the year 2015 (Form 56-2), in the case that the submitted report did not comply with the notification of the Capital Market Supervisory Board.  

 

222,750.00  

 

109

15/03/2017 

3/2017 

27/2017 

Mr. Sittichai Leeswadtrakul 

300 in conjunction with 56(4) 

SEC Act 

Mr. Sittichai Leeswadtrakul, a managing director, responsible for the operation of Millcon Steel Company Limited (?MILL?), shall be liable for MILL?s failure to prepare and submit the annual updated information statement for the year 2015 (Form 56-1), in the case that the submitted annual updated information statement did not comply with the notification of the Capital Market Supervisory Board. 

 

240,000.00  

 

110

15/03/2017 

3/2017 

26/2017 

Millcon Steel Public Company Limited 

56(3) and 199 

SEC Act 

Millcon Steel Company Limited (?MILL?) prepared and submitted an annual report for the year 2015 (Form 56-2) to the SEC Office on May 3, 2016, which did not comply with the notification of the Capital Market Supervisory Board. The rectified annual registration statement was later submitted to the SEC Office on February 10, 2017.  

 

222,750.00  

 

111

15/03/2017 

3/2017 

26/2017 

Millcon Steel Public Company Limited 

56(4) and 199 

SEC Act 

Millcon Steel Company Limited (?MILL?) prepared and submitted an annual updated information statement for the year 2015 (Form 56-1) to the SET and the SEC Office on March 31, 2016, which did not comply with the notification of the Capital Market Supervisory Board. The rectified annual registration statement was later submitted to the SET and the SEC Office on December 13, 2016. 

 

240,000.00  

 

112

15/03/2017 

3/2017 

25/2017 

Mr.Bee Taechaubol 

300 in conjunction with 56(1) 

SEC Act 

Mr.Bee Taechaubol, Chief Executive Officer responsible for the operation of Electronics Industry Public Company Limited (EIC), shall be liable for EIC?s failure to prepare and submit the accurate financial statements for Q1/2016 specified by the Capital Market Supervisory Board. 

 

95,880.00  

 

113

15/03/2017 

3/2017 

24/2017 

Electronics Industry Public Company Limited 

56 and 199 

SEC Act 

Electronics Industry Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for Q1/ 2016 ended March, 2016 to the Stock Exchange of Thailand and the SEC Office on May 16 and 17 2016, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements were later filed with the SET and the SEC Office on January 20, 2017. 

 

178,500.00  

 

114

15/03/2017 

3/2017 

23/2017 

Mr. Yannakorn Warakunrak 

300 

SEC Act 

Mr. Yannakorn Warakunrak, the Chief Executive Officer, responsible for the operation of the Polaris Capital Public Company Limited (?POLAR?), shall be liable for POLAR?s failure to prepare and submit the reviewed financial statements for Q3/2016 within the specified period. 

 

41,100.00  

 

115

15/03/2017 

3/2017 

22/2017 

Polaris Capital Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Polaris Capital Public Company Limited (POLAR), a securities issuer, failed to submit the reviewed financial statements for Q3/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements were later filed with the SET and the SEC Office on December 21, 2016. 

 

41,100.00  

 

116

21/02/2017 

2/2017 

19/2017 

Mr. Wattana Rattananon 

59 and Section 199 and Section 59 

SEC Act 

Between July 21, 2016 and August 9, 2016, Mr.Wattana Rattananon, the director of Thaifoods Group Public Company Limited (TFG), failed to prepare and disclose report on changes in his holding of TFG securities to the SEC Office within the period specified in the notification. 

 

105,750.00  

 

117

21/02/2017 

2/2017 

18/2017 

YMP Press & Dies (Thailand) Company Limited 

Section 57(6) 

SEC Act 

YMP Press & Dies (Thailand) Company Limited delayed in reporting to the SEC Office the incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company. In the case of the incident was a condition regarded that the company have defaulted the debentures agreement (events of default). 

 

15,040.00  

 

118

21/02/2017 

2/2017 

17/2017 

Mrs. Patama Wongtoythong 

300 in conjunction with 56(1) 

SEC Act 

Mrs.Patama Wongtoythong, a Chairman of the executive board responsible for the operation of Solartron Public Company Limited (?SOLAR?), shall be liable for SOLAR?s failure to prepare and submit the accurate reviewed financial statements for Q1/2016 specified by the Capital Market Supervisory Board. 

 

33,300.00  

 

119

21/02/2017 

2/2017 

17/2017 

Mrs. Patama Wongtoythong 

300 in conjunction with 56(2) 

SEC Act 

Mrs.Patama Wongtoythong, a Chairman of the executive board responsible for the operation of Solartron Public Company Limited (?SOLAR?), shall be liable for SOLAR?s failure to prepare and submit the accurate financial statements for the year 2015 specified by the Capital Market Supervisory Board.  

 

58,500.00  

 

120

21/02/2017 

2/2017 

17/2017 

Mrs. Patama Wongtoythong 

300 in conjunction with 56(3) 

SEC Act 

Mrs.Patama Wongtoythong, a Chairman of the executive board responsible for the operation of Solartron Public Company Limited (?SOLAR?), shall be liable for SOLAR?s failure to prepare and submit the accurate annual report for the year 2015 specified by the Capital Market Supervisory Board. 

 

45,900.00  

 

121

21/02/2017 

2/2017 

17/2017 

Mrs. Patama Wongtoythong 

300 in conjunction with 56(4) 

SEC Act 

Mrs.Patama Wongtoythong, a Chairman of the executive board responsible for the operation of Solartron Public Company Limited (?SOLAR?), shall be liable for SOLAR?s failure to prepare and submit the accurate annual registration statement for the year 2015 specified by the Capital Market Supervisory Board. 

 

51,900.00  

 

122

21/02/2017 

2/2017 

16/2017 

Solartron Public Company Limited 

56 and 199 

SEC Act 

Solartron Public Company Limited (?SOLAR?) prepared and submitted the inaccurate annual registration statement for the year 2015 (Form 56-1) to the SET and the SEC Office on March 22, 2016 and March 23, 2016 respectively. The annual registration statement did not comply with the notification of the Capital Market Supervisory Board. The rectified annual registration statement was later submitted to the SET and the SEC Office on June 2, 2016 and June 6, 2016  

 

51,900.00  

 

123

21/02/2017 

2/2017 

16/2017 

Solartron Public Company Limited 

56 and 199 

SEC Act 

Solartron Public Company Limited (?SOLAR?) prepared and submitted the inaccurate annual report for the year 2015 (Form 56-2) to the SEC office on April 11, 2016. The annual report did not comply with the notification of the Capital Market Supervisory Board. The rectified information was later submitted to the SEC Office on June 2, 2016.  

 

45,900.00  

 

124

21/02/2017 

2/2017 

16/2017 

Solartron Public Company Limited 

56 and 199 

SEC Act 

Solartron Public Company Limited (?SOLAR?) prepared and submitted the inaccurate financial statement for the year 2015 to the SET and the SEC Office on February 26, 2016 and February 29, 2016 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to the SET and the SEC Office on May 30, 2016. 

 

58,500.00  

 

125

21/02/2017 

2/2017 

16/2017 

Solartron Public Company Limited 

56 and 199 

SEC Act 

Solartron Public Company Limited (?SOLAR?) prepared and submitted the inaccurate reviewed financial statements for Q1/2016 to the SET and the SEC Office on May 13, 2016 and May 16, 2016 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to the SET and the SEC Office on May 23, 2016 and May 24, 2016 

 

33,300.00  

 

126

21/02/2017 

2/2017 

15/2017 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI?s failure to prepare and submit the reviewed financial statements for Q1/2016 ended March 31, 2016 within August 15, 2016,the due date extended by SEC Office. 

 

122,400.00  

 

127

21/02/2017 

2/2017 

15/2017 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI?s failure to prepare and submit the reviewed financial statements for Q2/2016 ended June 30, 2016 within August 15, 2016. 

 

145,800.00  

 

128

21/02/2017 

2/2017 

15/2017 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI?s failure to prepare and submit the reviewed financial statements for Q3/2015 ended September 30, 2015 within October 21, 2016,the due date extended by SEC Office. 

 

90,000.00  

 

129

21/02/2017 

2/2017 

14/2017 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (BUI), a listed company, failed to prepare and submit the reviewed financial statements for Q1/2016 ended March 31, 2016 to the SEC Office and the Stock Exchange of Thailand (the SET) within August 15, 2016, the due date extended by SEC office. The reviewed financial statements for Q1/2016 were later submitted to the SET on December 22, 2016 and SEC Office on December 23, 2016 respectively. 

 

153,000.00  

 

130

21/02/2017 

2/2017 

14/2017 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (BUI), a listed company, failed to prepare and submit the reviewed financial statements for Q2/2016 ended June 30, 2016 to the SEC Office and the Stock Exchange of Thailand (the SET) within August 15, 2016. The reviewed financial statements for Q2/2016 were later submitted to the SEC Office and the SET on January 30, 2017. 

 

182,250.00  

 

131

21/02/2017 

2/2017 

14/2017 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (BUI), a listed company, failed to prepare and submit the reviewed financial statements for Q3/2015 ended September 30, 2015 to the SEC Office and the Stock Exchange of Thailand (the SET) within October 21, 2016, the due date extended by SEC office. The reviewed financial statements for Q3/2015 were later submitted to the SET on November 15, 2016 and SEC Office on November 16, 2016 respectively. 

 

90,000.00  

 

132

21/02/2017 

2/2017 

13/2017 

Mr. Sajja Suksong 

300 in conjunction with 56(1) 

SEC Act 

Mr. Sajja Suksong, a Vice-Chairman, responsible for the operation of Star Sanitaryware Public Company Limited (?STAR?), shall be liable for STAR?s failure to prepare and submit the reviewed financial statements for Q2/2016 within the specified period. 

 

105,000.00  

 

133

21/02/2017 

2/2017 

12/2017 

Star Sanitaryware Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

Star Sanitaryware Public Company Limited (?STAR?), a securities issuer, failed to submit the reviewed financial statements for Q2/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements for Q2/2016 were later filed with the SET and the SEC Office on September 9, 2016.  

 

105,000.00  

 

134

21/02/2017 

2/2017 

11/2017 

Mr. Suthisak Vageepiyanantanon 

300 

SEC Act 

Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE Public Company Limited (?AQ?), shall be liable for AQ?s failure to prepare and submit the reviewed financial statements for Q1/2016 within the specified period.  

 

83,400.00  

 

135

21/02/2017 

2/2017 

10/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(1) in conjunction with 199 

SEC Act 

AQ ESTATE PUBLIC COMPANY LIMITED (?AQ?), a securities issuer, failed to submit the reviewed financial statements for Q1/2016 to the Stock Exchange of Thailand and the SEC Office within March 16, 2016. However, the reviewed financial statements for Q1/2016 were later submitted to the SET and the SEC Office on November 10, 2016 and November 11, 2016 respectively.  

 

104,250.00  

 

136

18/01/2017 

1/2017 

4/2017 

Mr. Yannakorn Warakunrak 

300 

SEC Act 

Mr. Yannakorn Warakunrak, the Chief Executive Officer, responsible for the operation of the Polaris Capital Public Company Limited (?POLAR?), shall be liable for POLAR?s failure to prepare and submit the reviewed financial statements for Q1/2016 within the specified period.  

 

82,500.00  

 

137

18/01/2017 

1/2017 

4/2017 

Mr. Yannakorn Warakunrak 

300 

SEC Act 

Mr. Yannakorn Warakunrak, the Chief Executive Officer, responsible for the operation of the Polaris Capital Public Company Limited (?POLAR?), shall be liable for POLAR?s failure to prepare and submit the reviewed financial statements for Q2/2016 within the specified period.  

 

68,400.00  

 

138

18/01/2017 

1/2017 

3/2017 

Polaris Capital Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Polaris Capital Public Company Limited (?POLAR?), a securities issuer, failed to submit the reviewed financial statements for Q1/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements were later filed with the SET and the SEC Office on November 7, 2016 and November 8, 2016, respectively.  

 

82,500.00  

 

139

18/01/2017 

1/2017 

3/2017 

Polaris Capital Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Polaris Capital Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q2/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements were later filed with the SET and the SEC Office on December 21, 2016.  

 

68,400.00  

 

140

18/01/2017 

1/2017 

2/2017 

Mr. Suthisak Vageepiyanantanon 

300 

SEC Act 

Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE Public Company Limited (?AQ?), shall be liable for AQ?s failure to prepare and submit the annual registration statement for the year 2015 (Form 56-1) within the specified period.  

 

88,800.00  

 

141

18/01/2017 

1/2017 

2/2017 

Mr. Suthisak Vageepiyanantanon 

300 

SEC Act 

Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE Public Company Limited (?AQ?), shall be liable for AQ?s failure to prepare and submit the annual report for the year 2015 (Form 56-2) within the specified period.  

 

78,000.00  

 

142

18/01/2017 

1/2017 

1/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(3) and 199 

SEC Act 

AQ ESTATE PUBLIC COMPANY LIMITED (?AQ?), a securities issuer, failed to submit the annual registration statement for the year 2015 (Form 56-1) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the Form 56-1 for the year 2015 were later filed with the SET and the SEC Office on October 13, 2016 and October 17, 2016, respectively. 

 

88,800.00  

 

143

18/01/2017 

1/2017 

1/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(4) and 199 

SEC Act 

AQ ESTATE PUBLIC COMPANY LIMITED (?AQ?), a securities issuer, failed to prepare and submit the annual report for the year 2015 (Form 56-2) to the Stock Exchange of Thailand (the SET) and the SEC Office within May 3, 2016. However, Form 56-2 was later submitted to the SEC Office on October 10, 2016 and the SET on October 13, 2016.  

 

78,000.00  

 

144

14/12/2016 

11/2016 

111/2016 

Mr. Suthisak Vageepiyanantanon 

300 and Section 56(2) and Section 199 and Section 56(2) 

SEC Act 

Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE Public Company Limited (?AQ?), shall be liable for AQ?s failure to prepare and submit the financial statements for the year 2015 within the specified period.  

 

76,200.00  

 

145

14/12/2016 

11/2016 

110/2016 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(2) and Section 199 and Section 56(2) 

SEC Act 

AQ ESTATE PUBLIC COMPANY LIMITED (?AQ?), a securities issuer, failed to prepare and submit the audited financial statements for the year 2015 to the Stock Exchange of Thailand and the SEC Office within February 29, 2016. However, the financial statements were later submitted to the SET and the SEC Office on August 1, 2016 and August 2, 2016 respectively. 

 

95,250.00  

 

146

02/12/2016 

10/2016 

101/2016 

Mr. Soraj Asavaprapha 

89/7 and Section 89/10 and Section 89/11 

SEC Act 

While being a director of Jasmine International Public Company Limited (JAS), Mr. Soraj Asavaprapha failed to perform his duties with loyalty as a result of obtaining unusual financial benefits from trading derivatives on non-public information concerning JAS, i.e., dividend payment for the year 2015 and a repurchase scheme at the beginning of the following year, which he had learned from the Board of Directors Meeting Agendas. In addition, he did not report his conflict of interest to the Board of Directors that on January 25, 2016 he bought 10,000 contracts of JASH16 Futures, whose underlying asset was JAS stock, in the amount of 30.08 million Baht, and 8,000 more contracts on March 2, 2016 in the amount of 24.80 million Baht. After the information became public, the price of JAS stock noticeably increased and Mr. Soraj gained undue benefits from selling the JASH16 Futures he had bought. 

116/2016
 

5,560,000.00  

 

147

02/12/2016 

10/2016 

100/2016 

Mr.Bee Taechaubol 

300 in conjunction with 56(2) 

SEC Act 

Mr.Bee Taechaubol, Chief Executive Officer responsible for the operation of Electronics Industry Public Company Limited (EIC), shall be liable for EIC?s failure to prepare and submit the accurate financial statements for the year 2015 specified by the Capital Market Supervisory Board. 

 

79,500.00  

 

148

02/12/2016 

10/2016 

100/2016 

Mr.Bee Taechaubol 

300 in conjunction with 56(3) 

SEC Act 

Mr.Bee Taechaubol, Chief Executive Officer responsible for the operation of Electronics Industry Public Company Limited (EIC), shall be liable for EIC?s failure to prepare and submit the accurate annual report for the year 2015 (Form 56-2) specified by the Capital Market Supervisory Board. 

 

64,500.00  

 

149

02/12/2016 

10/2016 

100/2016 

Mr.Bee Taechaubol 

300 in conjunction with 56(4) 

SEC Act 

Mr.Bee Taechaubol, Chief Executive Officer responsible for the operation of Electronics Industry Public Company Limited (EIC), shall be liable for EIC?s failure to prepare and submit the accurate annual registration statement for the year 2015 (Form 56-1) specified by the Capital Market Supervisory Board. 

 

70,200.00  

 

150

02/12/2016 

10/2016 

99/2016 

Electronics Industry Public Company Limited 

56(2) 

SEC Act 

Electronics Industry Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for the year 2015 ended December 31, 2015 to the Stock Exchange of Thailand (the SET) and the SEC Office on February 29 and March 1, 2016, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board.  

 

113,400.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee.  

151

02/12/2016 

10/2016 

99/2016 

Electronics Industry Public Company Limited 

56(3) 

SEC Act 

Electronics Industry Public Company Limited, a securities issuer, prepared and submitted the inaccurate annual report for the year 2015 (Form 56-2) to the Stock Exchange of Thailand and the SEC Office on April 19, 2016 and June 7, 2016 respectively. The Form 56-2 did not comply with the notification of the Capital Market Supervisory Board. 

 

98,400.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee.  

152

02/12/2016 

10/2016 

99/2016 

Electronics Industry Public Company Limited 

56(4) 

SEC Act 

Electronics Industry Public Company Limited, a securities issuer, prepared and submitted the inaccurate annual registration statement for the year 2015 (Form 56-1) to the Stock Exchange of Thailand and the SEC Office on March 31, 2016 and April 1, 2016 respectively. The annual registration statement did not comply with the notification of the Capital Market Supervisory Board. 

 

104,100.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee.  

153

02/12/2016 

10/2016 

98/2016 

Mr.Surath Pralongsil 

300 in conjunction with 56(2) 

SEC Act 

Mr.Surath Pralongsil, Chief Executive Officer responsible for the operation of Bangpakong Terminal Public Company Limited (BTC), shall be liable for BTC?s failure to prepare and submit the accurate financial statements for the year 2015 specified by the Capital Market Supervisory Board. 

 

53,400.00  

 

154

02/12/2016 

10/2016 

98/2016 

Mr.Surath Pralongsil 

300 in conjunction with 56(3) 

SEC Act 

Mr.Surath Pralongsil, Chief Executive Officer responsible for the operation of Bangpakong Terminal Public Company Limited (BTC), shall be liable for BTC?s failure to prepare and submit the accurate annual report for the year 2015 (Form 56-2) specified by the Capital Market Supervisory Board. 

 

40,200.00  

 

155

02/12/2016 

10/2016 

98/2016 

Mr.Surath Pralongsil 

300 in conjunction with 56(4) 

SEC Act 

Mr.Surath Pralongsil, Chief Executive Officer responsible for the operation of Bangpakong Terminal Public Company Limited (BTC), shall be liable for BTC?s failure to prepare and submit the accurate annual registration statement for the year 2015 (Form 56-1) specified by the Capital Market Supervisory Board. 

 

51,000.00  

 

156

02/12/2016 

10/2016 

97/2016 

Bangpakong Terminal Public Company Limited 

56(2) 

SEC Act 

Bangpakong Terminal Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for the year 2015 ended December 31, 2015 to the Stock Exchange of Thailand (the SET) and the SEC Office on February 25 and 26 2016, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to the SET on May 12, 2016 and the SEC Office on May 13, 2016. 

 

53,400.00  

 

157

02/12/2016 

10/2016 

97/2016 

Bangpakong Terminal Public Company Limited 

56(3) 

SEC Act 

Bangpakong Terminal Public Company Limited, a securities issuer, failed to prepare and submit the annual report for the year 2015 (Form 56-2) to the Stock Exchange of Thailand (the SET) and the SEC Office within May 3, 2016. However, Form 56-2 was later submitted to the SET on June 6, 2016 and the SEC Office on June 20, 2016 

 

40,200.00  

 

158

02/12/2016 

10/2016 

97/2016 

Bangpakong Terminal Public Company Limited 

56(4) 

SEC Act 

Bangpakong Terminal Public Company Limited, a securities issuer, prepared and submitted the inaccurate annual registration statement for the year 2015 (Form 56-1) to the Stock Exchange of Thailand (the SET) and the SEC Office on March 29, 2016 and March 31, 2016 respectively. The annual registration statement did not comply with the notification of the Capital Market Supervisory Board. The rectified annual registration statement for the year 2015 was later submitted to the SET on June 6, 2016 and the SEC Office on June 20, 2016. 

 

51,000.00  

 

159

02/12/2016 

10/2016 

96/2016 

Mr. Somporn Mangmee 

300 

SEC Act 

Mr. Somporn Mangmee, Director, responsible for the operation of PAE (Thailand) Public Company Limited (?PAE?), shall be liable for PAE?s failure to prepare and submit the reviewed financial statements for Q2/2016 within the specified period. 

 

33,000.00  

 

160

02/12/2016 

10/2016 

95/2016 

PAE (Thailand) Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

PAE (Thailand) Public Company Limited (?PAE?), a securities issuer, failed to submit the reviewed financial statements for Q2/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements for Q2/2016 were later filed with the SET and the SEC Office on August 25, 2016. 

 

33,000.00  

 

161

02/12/2016 

10/2016 

95/2016 

PAE (Thailand) Public Company Limited 

56(3) and 199 

SEC Act 

PAE (Thailand) Public Company Limited (?PAE?), a securities issuer, failed to submit the annual report for the year 2015 to the SEC Office within the period specified in the notification. However, the annual report for the year 2015 were later filed with the SEC Office on September 21, 2016. 

 

72,300.00  

 

162

02/12/2016 

10/2016 

95/2016 

PAE (Thailand) Public Company Limited 

56(4) and 199 

SEC Act 

PAE (Thailand) Public Company Limited (?PAE?), a securities issuer, failed to submit the annual registration statement for the year 2015 (Form 56-1) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the Form 56-1 for the year 2015 were later filed with the SET and the SEC Office on May 17, 2016 and May 18, 2016, respectively. 

 

44,100.00  

 

163

02/12/2016 

10/2016 

94/2016 

Mr. Prateep Anantachote 

300 

SEC Act 

Mr. Mr. Prateep Anantachote, Managing Director (Acting), responsible for the operation of Green Resources Public Company Limited (?NFC?), shall be liable for NFC?s failure to prepare and submit the reviewed financial statements for Q1/2016 within the specified period.  

 

33,300.00  

 

164

02/12/2016 

10/2016 

93/2016 

Green Resources Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

Green Resources Public Company Limited (?GREEN?), a securities issuer, failed to submit the reviewed financial statements for Q1/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements for Q1/2016 were later filed with the SET and the SEC Office on May 26, 2016.  

 

33,300.00  

 

165

02/12/2016 

10/2016 

92/2016 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI?s failure to prepare and submit the reviewed financial statements for Q1/2015 ended March 31, 2015 within July 29, 2016,the due date extended by SEC Office. 

 

94,800.00  

 

166

02/12/2016 

10/2016 

92/2016 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI),was liable for BUI?s failure to prepare and submit the reviewed financial statements for Q2/2015 ended June 30, 2015 within July 29, 2016,the due date extended by SEC Office. 

 

94,800.00  

 

167

02/12/2016 

10/2016 

91/2016 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (BUI), a listed company, failed to prepare and submit the reviewed financial statements for Q1/2015 ended March 31, 2015 to the SEC Office and the Stock Exchange of Thailand (the SET) within July 29, 2016, the due date extended by SEC office. The reviewed financial statements for Q1/2015 were later submitted to the SEC Office and the SET on October 20, 2016. 

 

118,500.00  

 

168

02/12/2016 

10/2016 

91/2016 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (BUI), a listed company, failed to prepare and submit the reviewed financial statements for Q2/2015 ended June 30, 2015 to the SEC Office and the Stock Exchange of Thailand (the SET) within July 29, 2016, the due date extended by SEC office. The reviewed financial statements for Q2/2015 were later submitted to the SEC Office and the SET on October 20, 2016 

 

118,500.00  

 

169

02/12/2016 

10/2016 

90/2016 

Mr. Keisuke Matsuura 

300 in conjunction with 56(4) 

SEC Act 

Mr. Keisuke Matsuura, a managing director responsible for the operation of Tapaco Public Company Limited (?TAPAC?), shall be liable for TAPAC?s failure to prepare and submit the annual registration statement for the year 2015 (Form 56-1) within the specified period. 

 

45,600.00  

 

170

02/12/2016 

10/2016 

89/2016 

Tapaco Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Tapaco Public Company Limited (?TAPAC?), a securities issuer, failed to submit the annual registration statement for the year 2015 (Form 56-1) to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the annual registration statement for the year 2015 (Form 56-1) were later filed with the SET on February 2, 2016 and the SEC Office on March 11, 2016 

 

45,600.00  

 

171

03/11/2016 

9/2016 

87/2016 

Mrs. Supakorn Chousiriphattana 

59 and Section 199 and Section 59 

SEC Act 

Between 7 and 8 June 2016, Mrs. Supakorn Chousiriphattana as one of the management of, DNA 2002 Public Company Limited an issuing company, disposing the shares of DNA without reporting the change in beneficial ownership of the company to the SEC within the specified period. 

 

76,200.00  

 

172

03/11/2016 

9/2016 

86/2016 

Mr. Nattaphob Ratanasuwanthawee 

300 

SEC Act 

Mr. Nattaphob Ratanasuwanthawee, Chairman of Executive Committee, responsible for the operation of NFC Fertilizer Public Company Limited (?NFC?), shall be liable for NFC?s failure to prepare and submit the reviewed financial statements for Q2/2016 within the specified period. 

 

36,300.00  

 

173

03/11/2016 

9/2016 

85/2016 

NFC Fertilizer Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

NFC Fertilizer Public Company Limited (?NFC?), a securities issuer, failed to submit the reviewed financial statements for Q2/2016 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the reviewed financial statements for Q2/2016 were later filed with the SET and the SEC Office on September 6, 2016. 

 

36,300.00  

 

174

03/11/2016 

9/2016 

84/2016 

Mr. Somchai Wongaroon 

300 in conjunction with 56(2) 

SEC Act 

Mr.Somchai Wongaroon, a president, responsible for the operation of Star Sanitaryware Public Company Limited (?STAR?) shall be liable for STAR?s failure to prepare and submit the audited financial statement for the year 2015 to the Stock Exchange of Thailand and the SEC Office within the period specified. 

 

45,600.00  

 

175

03/11/2016 

9/2016 

83/2016 

Star Sanitaryware Public Company Limited 

56(2) in conjunction with 199 

SEC Act 

Star Sanitaryware Public Company Limited (?STAR?), a securities issuer, failed to prepare and submit the audited financial statements for the year 2015 to the Stock Exchange of Thailand and the SEC Office within February 29, 2016. However, the financial statements were later submitted to the SEC Office and the SET on March 1, 2016 

 

45,600.00  

 

176

03/11/2016 

9/2016 

82/2016 

Professional Waste Technology (1999) Public company Limited 

56 and 199 

SEC Act 

Professional Waste Technology (1999) Public company Limited (PRO), a listed company which is posted SP and NC signs by the Stock Exchange of Thailand (the SET), failed to prepare and submit the audited financial statements for the year 2015 ended December 31, 2015 to the SEC Office and the SET within March 31, 2016. However, the audited financial statements were later submitted to the SET and the SEC Office on April 28, 2016 and May 11, 2016 respectively. 

 

57,600.00  

 

177

03/11/2016 

9/2016 

82/2016 

Professional Waste Technology (1999) Public company Limited 

56(4) and 199 

SEC Act 

Professional Waste Technology (1999) Public company Limited (PRO), a listed company which is posted SP and NC signs by the Stock Exchange of Thailand (the SET), failed to prepare and submit the annual registration statement for the year 2015 (Form 56-1) ended December 31, 2015 to the SEC Office and the SET within March 31, 2016. However, the annual registration statement were later submitted to the SET and the SEC Office on May 24, 2016 and May 25, 2016 respectively. 

 

69,300.00  

 

178

21/09/2016 

8/2016 

80/2016 

Miss Supreeya Vathanodorn 

58(2) 

SEC Act 

Miss Supreeya Vathanodorn, former Audit Committee, Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

75,000.00  

 

179

21/09/2016 

8/2016 

79/2016 

Miss prapatsorn Kittimanorom 

58(2) 

SEC Act 

Miss prapatsorn Kittimanorom, former Audit Commitee, Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

75,000.00  

 

180

21/09/2016 

8/2016 

78/2016 

Mr. Chirasak Thanesnant 

58(2) 

SEC Act 

Mr. Chirasak Thanesnant, former Audit Committee Director, Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

75,000.00  

 

181

21/09/2016 

8/2016 

77/2016 

Mr. Ekpap Kraisathianpaisa 

58(2) 

SEC Act 

Mr. Ekpap Kraisathianpaisal, former Director, Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

75,000.00  

 

182

21/09/2016 

8/2016 

76/2016 

Mr. Tawatchai Hormchant 

58(2) 

SEC Act 

Mr. Tawatchai Hormchant, former Director, Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

75,000.00  

 

183

21/09/2016 

8/2016 

75/2016 

Mr. Poonsak Chumchuay 

58(2) 

SEC Act 

Mr. Poonsak Chumchuay, former Director, Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

75,000.00  

 

184

21/09/2016 

8/2016 

74/2016 

Mr. Jakarin Chanansirikul 

58(2) 

SEC Act 

Mr. Jakarin Chanansirikul, former Director, Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

75,000.00  

 

185

21/09/2016 

8/2016 

73/2016 

Mr. Nunmanus Podang 

58(2) 

SEC Act 

Mr. Nunmanus Podang, former Director, Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

75,000.00  

 

186

21/09/2016 

8/2016 

72/2016 

Mr. Yanakorn Warakunrak, 

58(2) 

SEC Act 

Mr. Yanakorn Warakunrak, Chief Executive Officer and Director, Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

75,000.00  

 

187

21/09/2016 

8/2016 

72/2016 

Mr. Yannakorn Warakunrak 

300 and Section 58(1) 

SEC Act 

Mr. Yannakorn Warakunrak, Chief Executive Officer and Director, Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

168,600.00  

 

188

21/09/2016 

8/2016 

71/2016 

Polaris Capital Public Company Limited 

58(1) 

SEC Act 

Polaris Capital Public Company Limited clarified and submitted the supporting documents relating to capital increase and the use of fund to the SEC Office later than the time specified in the Securities and Exchange Act. 

 

168,600.00  

 

189

21/09/2016 

8/2016 

65/2016 

Miss Prapichaya Prommas 

59 in conjunction with 199 

SEC Act 

On December 25, 2015, Miss Prapichaya Prommas, the director of Nonthavej Hospital Public Company Limited ("NTV"), changed her holding of NTV securities but failed to prepare and disclose report on changes in her holding to the SEC Office within the period Specified in the notification. 

 

115,800.00  

 

190

21/09/2016 

8/2016 

64/2016 

Mrs. Patama Prommas 

59 in conjunction with 199 

SEC Act 

On December 25, 2015, Mrs. Patama Prommas, the chairperson of Nonthavej Hospital Public Company Limited ("NTV"), changed her holding of NTV securities but failed to prepare and disclose report on changes in her holding to the SEC Office within the period Specified in the notification. 

 

115,800.00  

 

191

21/09/2016 

8/2016 

63/2016 

Mr. Sittichai Leeswadtrakul 

300 

SEC Act 

Mr. Sittichai Leeswadtrakul, managing director, responsible for the operation of Millcon Steel Public Company Limited (?MILL?) shall be liable for MILL failure to prepare and the annual registration statement for the year 2015 within the period specified. 

 

57,750.00  

 

192

21/09/2016 

8/2016 

62/2016 

Millcon Steel Public Company Limited 

56(2) in conjunction with 199 

SEC Act 

Millcon Steel Public Company Limited (?MILL?), a securities issuer, failed to prepare and submit the reviewed financial statements for the year 2015 to the Stock Exchange of Thailand and the SEC Office within February 29, 2015. However, the financial statements were later submitted to the SET and the SEC Office on March 2, 2016. 

 

57,750.00  

 

193

21/09/2016 

8/2016 

61/2016 

Mr.Bee Taechaubol 

300 

SEC Act 

Mr.Bee Taechaubol, Chief Executive Officer responsible for the operation of Electronics Industry Public Company Limited (EIC), shall be liable for EIC?s failure to prepare and submit the accurate financial statements for Q3/2015 specified by the Capital Market Supervisory Board. 

 

111,000.00  

 

194

21/09/2016 

8/2016 

60/2016 

Electronics Industry Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

Electronics Industry Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for Q3/2015 ended September, 2015 to the Stock Exchange of Thailand and the SEC Office on November 16 and 17 2015, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. 

 

123,300.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee.  

195

21/09/2016 

8/2016 

59/2016 

Mr.Polpat Karnasuta 

300 

SEC Act 

Mr. Polpat Karnasuta, Chief Executive Officer responsible for the operation of Nawarat Patakarn Public Company Limited (?NWR?), shall be liable for NWR?s failure to prepare and submit the audited financial statement for the year 2015 to the Stock Exchange of Thailand and the SEC Office within the specified period. 

 

46,200.00  

 

196

21/09/2016 

8/2016 

58/2016 

Nawarat Patakarn Public Company Limited 

56 and 199 

SEC Act 

Nawarat Patakarn Public Company Limited (?NWR?), a securities issuer, failed to prepare and submit the audited financial statements for the year 2015 to the Stock Exchange of Thailand and the SEC Office within February 29, 2016. However, the financial statements were later submitted to the SET and the SEC Office on March 2 and 3, 2016, respectively. 

 

46,200.00  

 

197

21/09/2016 

8/2016 

57/2016 

Mr.Visanu Thepcharoen 

300 

SEC Act 

Mr.Visanu Thepcharoen, Chief Executive Officer responsible for the operation of Nusasiri Public Company Limited (?NUSA?), shall be liable for NUSA?s failure to prepare and submit the audited financial statement for the year 2015 to the Stock Exchange of Thailand and the SEC Office within the specified period. 

 

45,600.00  

 

198

21/09/2016 

8/2016 

56/2016 

Nusasiri Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

Nusasiri Public Company Limited (?NUSA?), a securities issuer, failed to prepare and submit the audited financial statements for the year 2015 to the Stock Exchange of Thailand and the SEC Office within February 29, 2016. However, the financial statements were later submitted to the SET and the SEC Office on March 1 and 2, 2016, respectively. 

 

45,600.00  

 

199

31/08/2016 

7/2016 

54/2016 

Miss Malinee Leopairat 

300 

SEC Act 

Miss Malinee Leopairat, the Executive committee chairman responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI) ,was liable for BUI?s failure to prepare and submit the audited financial statements for the year 2015 ended December 31, 2015 within July 1, 2016,the due date extended by SEC Office. 

 

112,200.00  

 

200

31/08/2016 

7/2016 

53/2016 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

The Bangkok Union Insurance Public Company Limited (BUI), a listed company, failed to prepare and submit the audited financial statements for the year 2015 ended December 31, 2015 to the SEC Office and the Stock Exchange of Thailand (the SET) within July 1, 2016, the due date extended by SEC office. The audited financial statements for the year 2015 were later submitted to the SET on August 1, 2016 and the SEC Office on August 2, 2016. 

 

112,200.00  

 

201

31/08/2016 

7/2016 

52/2016 

Mr.Jomsup Lochaya 

300 

SEC Act 

Mr. Jomsup Lochaya, Chairman of the board and Managing Director responsible for the operation of Superblock Public Company Limited (?SUPER?), shall be liable for SUPER?s failure to prepare and submit the audited financial statement for the year 2015 to the Stock Exchange of Thailand and the SEC Office within the specified period. 

 

46,200.00  

 

202

31/08/2016 

7/2016 

51/2016 

Superblock Public Company Limited 

56 and 199 

SEC Act 

Superblock Public Company Limited (?SUPER?), a securities issuer, failed to prepare and submit the audited financial statements for the year 2015 to the Stock Exchange of Thailand and the SEC Office within February 29, 2016. However, the financial statements were later submitted to the SET and the SEC Office on March 2, 2016. 

 

46,200.00  

 

203

26/07/2016 

6/2016 

43/2016 

Mr.Bee Taechaubol 

300 

SEC Act 

Mr.Bee Taechaubol, Chairman of the Executive Committee responsible for the operation of Electronics Industry Public Company Limited (EIC), shall be liable for EIC?s failure to prepare and submit the accurate financial statements for Q2/2015 specified by the Capital Market Supervisory Board. 

 

134,400.00  

 

204

26/07/2016 

6/2016 

42/2016 

Electronics Industry Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

Electronics Industry Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for Q2/ 2015 ended June, 2015 to the Stock Exchange of Thailand and the SEC Office on August 13 and 14 2015, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements were later filed with the SET and the SEC Office on July 25, 2016. 

 

134,400.00  

 

205

26/07/2016 

6/2016 

41/2016 

Mr. Aree Poomsanoh 

300 

SEC Act 

Mr. Aree Poomsanoh, a managing director responsible for the operation of C.I.Group Public Company Limited (?CIG?), shall be liable for CIG?s preparation and submission of the inaccurate financial statement for the year 2015 to the SET and the SEC. Later, the audited financial statement for the year 2015 was filed with the SEC and the SET on March 31, 2016 

 

140,250.00  

 

206

26/07/2016 

6/2016 

40/2016 

C.I.Group Public Company Limited 

56 and 199 

SEC Act 

C.I.Group Public Company Limited (?CIG?) prepared and submitted the inaccurate financial statement for the year 2015 to the SET and the SEC on February 29, 2016 and March 1, 2016 respectively. Later, the audited financial statement for the year 2015 was filed with the SEC and the SET on March 31, 2016. 

 

140,250.00  

 

207

17/02/2016 

1/2016 

4/2016 

Mr.Suraphong Triamchanchai 

300 

SEC Act 

Mr. Suraphong Triamchanchai, a director responsible for the operation of Nippon Pack (Thailand) Public Company Limited (NPP), shall be liable for NPP?s failure to prepare and submit the accurate annual registration statement for the year 2014 (Form 56-1, 2014) specified by the Capital Market Supervisory Board. 

 

67,200.00  

 

208

17/02/2016 

1/2016 

3/2016 

Nippon Pack (Thailand) Public Company Limited 

56 and 199 

SEC Act 

Nippon Pack (Thailand) Public Company Limited (NPP) prepared and submitted the inaccurate annual registration statement for the year 2014 (Form 56-1) to the SEC Office and the SET on March 27, 2015 and March 30, 2015 respectively. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis: MD&A and other information. The rectified annual registration statement for the year 2014 was later filed with the SEC Office and the SET on July 28, 2015. 

 

84,000.00  

 

209

17/02/2016 

1/2016 

2/2016 

Assoc.Prof.Dr.Vilailuck Skulpakdee 

300 

SEC Act 

Assoc.Prof.Dr.Vilailuck Skulpakdee, a chairman of executive committee responsible for the operation of Professional Waste Technology (1999) Public company Limited (PRO), shall be liable for PRO?s failure to prepare and submit the financial report for the first half of the fiscal year period ended June 30, 2015 within the period. 

 

100,350.00  

 

210

17/02/2016 

1/2016 

1/2016 

Professional Waste Technology (1999) Public company Limited 

56(4) and 199 

SEC Act 

Professional Waste Technology (1999) Public company Limited (PRO), a listed company which is posted SP and NC signs by the Stock Exchange of Thailand (the SET), failed to prepare and submit the financial report for the first half of the fiscal year period ended June 30, 2015 to the SEC Office and the SET within August 14, 2015. However, the financial report were later submitted to the SET and the SEC Office on December 15, 2015 and December 21, 2015 respectively. 

 

107,040.00  

 

211

23/12/2015 

11/2015 

88/2015 

Mr. Monchai Orawongpaisan 

300 

SEC Act 

Mr. Monchai Orawongpaisan, the Chief Executive Officer (Acting) responsible for the operation of Adamas Incorporation Public Company Limited (?ADAM?), shall be liable for ADAM?s failure to prepare and submit the annual registration statement for the year 2014 (Form 56-1, 2014) within the specified period. 

 

327,000.00  

 

212

23/12/2015 

11/2015 

88/2015 

Mr. Monchai Orawongpaisan 

300 

SEC Act 

Mr. Monchai Orawongpaisan, the Chief Executive Officer (Acting) responsible for the operation of Adamas Incorporation Public Company Limited (?ADAM?), shall be liable for ADAM?s failure to prepare and submit the annual report for the year 2014 (Form 56-2, 2014) within the specified period. 

 

323,400.00  

 

213

23/12/2015 

11/2015 

88/2015 

Mr. Monchai Orawongpaisan 

300 

SEC Act 

Mr. Monchai Orawongpaisan, the Chief Executive Officer (Acting) responsible for the operation of Adamas Incorporation Public Company Limited (?ADAM?), shall be liable for ADAM?s failure to prepare and submit the audited financial statements for the year 2014 within the specified period. 

 

346,200.00  

 

214

23/12/2015 

11/2015 

88/2015 

Mr. Monchai Orawongpaisan 

300 

SEC Act 

Mr. Monchai Orawongpaisan, the Chief Executive Officer (Acting) responsible for the operation of Adamas Incorporation Public Company Limited (?ADAM?), shall be liable for ADAM?s failure to prepare and submit the reviewed financial statements for Q1/2015 within the specified period. 

 

297,000.00  

 

215

23/12/2015 

11/2015 

88/2015 

Mr. Monchai Orawongpaisan 

300 

SEC Act 

Mr. Monchai Orawongpaisan, the Chief Executive Officer (Acting) responsible for the operation of Adamas Incorporation Public Company Limited (?ADAM?), shall be liable for ADAM?s failure to prepare and submit the reviewed financial statements for Q2/2015 within the specified period. 

 

187,800.00  

 

216

23/12/2015 

11/2015 

87/2015 

Adamas Incorporation Public Company Limited 

56 and 199 

SEC Act 

Adamas Incorporation Public Company Limited (?ADAM?), a securities issuer, failed to prepare and submit the annual registration statement for the year 2014 (Form 56-1, 2014) to the Stock Exchange of Thailand and the SEC Office within March 31, 2015. However, the annual registration statement for the year 2014 (Form 56-1, 2014) was later submitted to the SEC Office and the SET on October 27, 2015 and October 29, 2015 respectively. 

 

327,000.00  

 

217

23/12/2015 

11/2015 

87/2015 

Adamas Incorporation Public Company Limited 

56 and 199 

SEC Act 

Adamas Incorporation Public Company Limited (?ADAM?), a securities issuer, failed to prepare and submit the annual report for the year 2014 (Form 56-2, 2014) to the Stock Exchange of Thailand and the SEC Office within April 30, 2015. However, the annual report for the year 2014 (Form 56-2, 2014) was later submitted to the SEC Office and the SET on November 23, 2015 and December 1, 2015 respectively. 

 

323,400.00  

 

218

23/12/2015 

11/2015 

87/2015 

Adamas Incorporation Public Company Limited 

56 and 199 

SEC Act 

Adamas Incorporation Public Company Limited (?ADAM?), a securities issuer, failed to prepare and submit the audited financial statements for the year 2014 to the Stock Exchange of Thailand and the SEC Office within March 2, 2015. However, the financial statements were later submitted to the SET and the SEC Office on October 14, 2015 and October 15, 2015 respectively. 

 

346,200.00  

 

219

23/12/2015 

11/2015 

87/2015 

Adamas Incorporation Public Company Limited 

56 and 199 

SEC Act 

Adamas Incorporation Public Company Limited (?ADAM?), a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2015 to the Stock Exchange of Thailand and the SEC Office within May 15, 2015. However, the financial statements were later submitted to the SET and the SEC Office on November 16, 2015. 

 

445,500.00  

 

220

23/12/2015 

11/2015 

87/2015 

Adamas Incorporation Public Company Limited 

56 and 199 

SEC Act 

Adamas Incorporation Public Company Limited (?ADAM?), a securities issuer, failed to prepare and submit the reviewed financial statements for Q2/2015 to the Stock Exchange of Thailand and the SEC Office within August 14, 2015. However, the financial statements were later submitted to the SET and the SEC Office on November 16, 2015. 

 

281,700.00  

 

221

23/12/2015 

11/2015 

86/2015 

Mr. Kajonsit Singsansern 

300 

SEC Act 

Mr. Kajonsit Singsansern, the Chief Executive Officer responsible for the operation of Max Metal Corporation Public Company Limited (?MAX?), shall be liable for MAX?s failure to prepare and submit the reviewed financial statements for Q1/2015 within the specified period. 

 

83,400.00  

 

222

23/12/2015 

11/2015 

85/2015 

Max Metal Corporation Public Company Limited 

56 and 199 

SEC Act 

Max Metal Corporation Public Company Limited (?MAX?), a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2015 to the Stock Exchange of Thailand and the SEC Office within May 15, 2015. However, the financial statements were later submitted to the SET and the SEC Office on May 22, 2015. 

 

83,400.00  

 

223

23/12/2015 

11/2015 

84/2015 

Mr. Kanoksakdi Bhinsaeng 

300 

SEC Act 

Mr. Kanoksakdi Bhinsaeng, the Chief Executive Officer responsible for the operation of WP ENERGY Public Company Limited (?WP?), shall be liable for WP?s failure to prepare and submit the annual registration statement for the year 2014 (Form 56-1) within the specified period. 

 

32,700.00  

 

224

23/12/2015 

11/2015 

83/2015 

WP ENERGY Public Company Limited 

56 and 199 

SEC Act 

WP ENERGY Public Company Limited (?WP?), a securities issuer, failed to submit the annual registration statement for the year 2014 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The annual registration statement for the year 2014 (Form 56-1) was later submitted to the SET on April 9, 2015 and the SEC Office on April 24, 2015. 

 

32,700.00  

 

225

02/12/2015 

10/2015 

81/2015 

Mr. Akamin Nganthavee 

300 

SEC Act 

Mr. Akamin Nganthavee, the Chairman of Executive responsible for the operation of Circuit Electronic Industries Public Company Limited (?CIRKIT?) (now known as Venture Incorporation Public Company Limited (?VI?)), shall be liable for CIRKIT?s failure to prepare and submit the reviewed financial statements for Q2/2015 within the specified period. 

 

30,900.00  

 

226

02/12/2015 

10/2015 

80/2015 

Circuit Electronic Industries Public Company Limited 

56 and 199 

SEC Act 

Circuit Electronic Industries Public Company Limited (?CIRKIT?) (now known as Venture Incorporation Public Company Limited (?VI?)), a securities issuer, failed to prepare and submit the reviewed financial statements for Q2/2015 to the Stock Exchange of Thailand and the SEC Office within August 14, 2015. However, the financial statements were later submitted to the SET and the SEC Office on August 17, 2015. 

 

30,900.00  

 

227

18/11/2015 

9/2015 

69/2015 

Mr. Umpol Tuntha-Obas 

300 

SEC Act 

Mr. Umpol Tuntha-Obas, a Managing Director responsible for the operation of Thai Industrial and Engineering Service Public Company Limited (?T?), shall be liable for T?s failure to prepare and submit the annual registration statement for the year 2014 (Form 56-1, 2014) according to the rules and within the period specified by the Capital Market Supervisory Board. 

 

39,600.00  

 

228

18/11/2015 

9/2015 

69/2015 

Mr. Umpol Tuntha-Obas 

300 

SEC Act 

Mr. Umpol Tuntha-Obas, a Managing Director responsible for the operation of Thai Industrial and Engineering Service Public Company Limited (?T?), shall be liable for T?s failure to prepare and submit the audited financial statement for the year 2014 according to the rules and within the period specified by the Capital Market Supervisory Board. 

 

48,000.00  

 

229

18/11/2015 

9/2015 

68/2015 

Thai Industrial and Engineering Service Public Company Limited 

56 and 199 

SEC Act 

Thai Industrial and Engineering Service Public Company Limited (?T?), a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2015 to the Stock Exchange of Thailand and the SEC Office within May 15, 2015. However, the financial statements were later submitted to the SET and the SEC Office on July 14, 2015. 

 

147,000.00  

 

230

18/11/2015 

9/2015 

68/2015 

Thai Industrial and Engineering Service Public Company Limited 

56 and 199 

SEC Act 

Thai Industrial and Engineering Service Public Company Limited (?T?), a securities issuer, had a duty to submit the annual registration statement for the year 2014 (Form 56-1, 2014) to the Stock Exchange of Thailand and the SEC Office within March 31, 2015. On March 30, 2015, T submitted the inaccurate annual registration statement which did not comply with the Financial Reporting Standard No. 11 (Revised 2009) ? Construction Contracts, and the Financial Reporting Standard No. 24 (Revised 2012) ? Related Party Disclosures. Later, T submitted the rectified annual registration statement for the year 2014 (Form 56-1, 2014) on June 10, 2015 which was not within the period specified by the Capital Market Supervisory Board. 

 

51,900.00  

 

231

18/11/2015 

9/2015 

68/2015 

Thai Industrial and Engineering Service Public Company Limited 

56 and 199 

SEC Act 

Thai Industrial and Engineering Service Public Company Limited (?T?), a securities issuer, had a duty to submit the audited financial statement for the year 2014 to the Stock Exchange of Thailand and the SEC Office within March 2, 2015. On March 2, 2015, T submitted the inaccurate financial statement which did not comply with the Financial Reporting Standard No. 11 (Revised 2009) ? Construction Contracts, and the Financial Reporting Standard No. 24 (Revised 2012) ? Related Party Disclosures. Later, T submitted the rectified and audited financial statements for the year 2014 on June 8, 2015 which was not within the period specified by the Capital Market Supervisory Board. 

 

59,700.00  

 

232

18/11/2015 

9/2015 

67/2015 

Mr. Sermkhun Kunawong 

300 

SEC Act 

Mr. Sermkhun Kunawong, the Chief Executive Officer responsible for the operation of CMO Public Company Limited (?CMO?), shall be liable for CMO?s failure to prepare and submit the annual registration statement for the year 2014 (Form 56-1) within the specified period. 

 

45,600.00  

 

233

18/11/2015 

9/2015 

66/2015 

CMO Public Company Limited 

56 and 199 

SEC Act 

CMO Public Company Limited (?CMO?), a securities issuer, failed to submit the annual registration statement for the year 2014 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The annual registration statement for the year 2014 (Form 56-1) was later submitted to the SEC Office on April 7, 2015 and the SET on April 1, 2015. 

 

45,600.00  

 

234

18/11/2015 

9/2015 

65/2015 

Mr.Supachai Sukanjanaporn 

300 in conjunction with 56(3) 

SEC Act 

Mr.Supachai Sukanjanaporn, the chairman of executive committee responsible for the operation of Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), shall be liable for STHAI?s failure to prepare and submit the annual report for the year 2014 (Form 56-2) within the period specified. 

 

74,700.00  

 

235

18/11/2015 

9/2015 

65/2015 

Mr.Supachai Sukanjanaporn 

300 in conjunction with 56(4) 

SEC Act 

Mr.Supachai Sukanjanaporn, the chairman of executive committee responsible for the operation of Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), shall be liable for STHAI?s failure to prepare and the annual registration statement for the year 2014 (Form 56-1) within the period specified. 

 

34,200.00  

 

236

18/11/2015 

9/2015 

64/2015 

Shun Thai Rubber Gloves Industry Public Company Limited 

56(3) and 199 

SEC Act 

Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), a securities issuer, failed to submit the annual report for the year 2014 (Form 56-2) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The annual report for the year 2014 (Form 56-2) were later filed with the SET on May 14, 015 and the SEC Office on June 11,2015. 

 

42,750.00  

 

237

18/11/2015 

9/2015 

64/2015 

Shun Thai Rubber Gloves Industry Public Company Limited 

56(4) and 199 

SEC Act 

Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), a securities issuer, failed to submit the annual registration statement for the year 2014 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The annual registration statement for the year 2014 (Form 56-1) were later filed with the SEC Office on August 27, 2015 and the SET on August 31, 2015. 

 

93,375.00  

 

238

17/09/2015 

8/2015 

62/2015 

Mr.Chai Sophonpanich 

59 in conjunction with 199 

SEC Act 

Between October 3, 2014 and June 15, 2015, Mr.Chai Sophonpanich, the director of the Bangkok Life Assurance Public Company Limited (BLA), failed to prepare and disclose report on changes in his holding of BLA securities to the SEC Office within the period specified in the notification. 

 

225,000.00  

 

239

17/09/2015 

8/2015 

61/2015 

Assoc.Prof.Dr.Vilailuck Skulpakdee 

300 

SEC Act 

Assoc.Prof.Dr.Vilailuck Skulpakdee, the managing director responsible for the operation of Professional Waste Technology (1999) Public Company Limited (PRO), shall be liable for PRO?s failure to prepare and submit the annual registration statement for the year 2014 (Form 56-1) within the period. 

 

63,000.00  

 

240

17/09/2015 

8/2015 

61/2015 

Assoc.Prof.Dr.Vilailuck Skulpakdee 

300 

SEC Act 

Assoc.Prof.Dr.Vilailuck Skulpakdee, the managing director responsible for the operation of Professional Waste Technology (1999) Public Company Limited (PRO), shall be liable for PRO?s failure to prepare and submit the annual report for the year 2014 (Form 56-2) within the period. 

 

72,000.00  

 

241

17/09/2015 

8/2015 

61/2015 

Assoc.Prof.Dr.Vilailuck Skulpakdee 

300 

SEC Act 

Assoc.Prof.Dr.Vilailuck Skulpakdee, the managing director responsible for the operation of Professional Waste Technology (1999) Public Company Limited (PRO), shall be liable for PRO?s failure to prepare and submit the audited financial statements for the year 2014 within the period. 

 

49,200.00  

 

242

17/09/2015 

8/2015 

60/2015 

Professional Waste Technology (1999) Public Company Limited 

56(2) in conjunction with 199 

SEC Act 

Professional Waste Technology (1999) Public Company Limited (PRO), a securities issuer, failed to submit the audited financial statements for the year 2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The audited financial statements for the year 2014 were later filed with the SET on June 3, 2015 and the SEC Office on June 5, 2015. 

 

73,800.00  

 

243

17/09/2015 

8/2015 

60/2015 

Professional Waste Technology (1999) Public Company Limited 

56(3) and 199 

SEC Act 

Professional Waste Technology (1999) Public Company Limited(PRO), a securities issuer, failed to submit the annual report for the year 2014 (Form 56-2) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The annual report for the year 2014 (Form 56-2) were later filed with the SEC Office on August 18, 2015 and the SET on August 19, 2015. 

 

90,000.00  

 

244

17/09/2015 

8/2015 

60/2015 

Professional Waste Technology (1999) Public Company Limited 

56(4) and 199 

SEC Act 

Professional Waste Technology (1999) Public Company Limited(PRO), a securities issuer, failed to submit the annual registration statement for the year 2014 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The annual registration statement for the year 2014 (Form 56-1) were later filed with the SEC Office on August 18, 2015 and the SET on August 19, 2015. 

 

78,750.00  

 

245

17/09/2015 

8/2015 

59/2015 

Mr. Suraphol Rujikarnchana 

300 

SEC Act 

Mr. Suraphol Rujikarnchana, a managing director responsible for the operation of Dimet (Siam) Corporation Public Company Limited (DIMET), shall be liable for DIMET?s failure to prepare and submit the annual registration statement for the year 2014 (Form 56-1, 2014) within period. 

 

30,900.00  

 

246

17/09/2015 

8/2015 

58/2015 

Dimet (Siam) Public Company Limited 

56(4) and 199 

SEC Act 

Dimet (Siam) Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2014 (Form 56-1, 2014) to the SEC Office and the Stock Exchange of Thailand within September 30, 2014 as specified by the notification. The annual registration statements were later submitted to the SEC Office and the SET on October 3, 2014 and October 31, 2014 respectively. 

 

30,900.00  

 

247

24/07/2015 

6/2015 

52/2015 

Double A (1991) Public Company Limited 

56(2) 

SEC Act 

Double A (1991) Public Company Limited (AA), a securities issuer, failed to prepare and submit the audited financial statements for the year 2014 to the SEC Office and the SET within March 2, 2015. However, the financial report were later submitted to the SET and the SEC Office on March 31, 2015. 

 

109,800.00  

 

248

20/04/2015 

4/2015 

35/2015 

Mr. Swake Srisuchart 

300 

SEC Act 

Mr. Swake Srisuchart, a director responsible for the operation of Power Line Engineering Public Company Limited (PLE), shall be liable for PLE?s failure to prepare and submit the accurate financial statements for Q2/2014 ended 30 June 2014 within the period specified by the Capital Market Supervisory Board. 

 

78,000.00  

 

249

20/04/2015 

4/2015 

35/2015 

Mr. Swake Srisuchart 

300 

SEC Act 

Mr. Swake Srisuchart, a director responsible for the operation of Power Line Engineering Public Company Limited (PLE), shall be liable for PLE?s failure to prepare and submit the accurate financial statements for Q3/2014 ended 30 September 2014 within the period specified by the Capital Market Supervisory Board.  

 

50,100.00  

 

250

20/04/2015 

4/2015 

34/2015 

Power Line Engineering Public Company Limited 

56 and 199 

SEC Act 

Power Line Engineering Public Company Limited (PLE), a securities issuer, failed to prepare and submit the accurate financial statements for Q2/2014 ended 30 June 2014 to the SEC Office and the Stock Exchange of Thailand (the SET) on August 14, 2014. The financial statements which submitted on August 14, 2014 were not reviewed by a qualified auditor as specified in the notification of the Capital Market Supervisory Board. The rectified financial statements for Q2/2014 were later filed with the SET and the SEC Office on January 20, 2015 and January 21, 2015 respectively. 

 

78,000.00  

 

251

20/04/2015 

4/2015 

34/2015 

Power Line Engineering Public Company Limited 

56 and 199 

SEC Act 

Power Line Engineering Public Company Limited (PLE), a securities issuer, failed to prepare and submit the accurate financial statements for Q3/2014 ended 30 September 2014 to the SEC Office and the Stock Exchange of Thailand (the SET) by November 14, 2014. The financial statements were submitted on November 21, 2014 but were not reviewed by a qualified auditor as specified in the notification of the Capital Market Supervisory Board. The rectified financial statements for Q3/2014 were later filed with the SET and the SEC Office on January 20, 2015 and January 21, 2015 respectively. 

 

50,100.00  

 

252

20/04/2015 

4/2015 

33/2015 

Mr. Kreingkrai Letsirisamphan 

300 

SEC Act 

Mr. Kreingkrai Letsirisamphan, a director responsible for the operation of Professional Waste Technology (1999) Public Company Limited (PRO), shall be liable for PRO?s failure to prepare and submit the reviewed financial statements for Q3/2014 ended 30 September 2014 within the period specified by the Capital Market Supervisory Board. 

 

78,000.00  

 

253

20/04/2015 

4/2015 

32/2015 

Professional Waste Technology (1999) Public Company Limited 

56 and 199 

SEC Act 

Professional Waste Technology (1999) Public Company Limited (PRO), a securities issuer, failed to submit the reviewed financial statements for Q3/2014 ended 30 September 2014 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET on March 2, 2015. 

 

78,000.00  

 

254

10/03/2015 

3/2015 

31/2015 

Mr. Chirasak Chiyachantana 

300 

SEC Act 

Mr. Chirasak Chiyachantana, a director responsible for the operation of World Corporation Public Company Limited (WORLD), shall be liable for WORLD?s failure to prepare and submit the annual registration statement for the year 2014 (Form 56-1, 2014) according to the Capital Market Supervisory Board. 

 

141,000.00  

 

255

10/03/2015 

3/2015 

31/2015 

Mr. Chirasak Chiyachantana 

300 

SEC Act 

Mr. Chirasak Chiyachantana, a director responsible for the operation of World Corporation Public Company Limited (WORLD), shall be liable for WORLD?s failure to prepare and submit the copy of the annual report for the year 2014 (Form 56-2, 2014) according to the Capital Market Supervisory Board. 

 

136,200.00  

 

256

10/03/2015 

3/2015 

31/2015 

Mr. Chirasak Chiyachantana 

300 

SEC Act 

Mr. Chirasak Chiyachantana, a director responsible for the operation of World Corporation Public Company Limited (WORLD), shall be liable for WORLD?s failure to prepare and submit the financial statements for the year 2014 according to the Capital Market Supervisory Board. 

 

107,400.00  

 

257

10/03/2015 

3/2015 

30/2015 

World Corporation Public Company Limited 

56(2) in conjunction with 199 

SEC Act 

World Corporation Public Company Limited, a securities issuer, failed to submit the audited financial statements for the year 2014 ended May 31, 2014 to the SEC Office and the Stock Exchange of Thailand according to the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on October 27, 2014. 

 

107,400.00  

 

258

10/03/2015 

3/2015 

30/2015 

World Corporation Public Company Limited 

56(3) and 199 

SEC Act 

World Corporation Public Company Limited, a securities issuer, failed to submit the copy of the annual report for the year 2014 (Form 56-2, 2014) to the SEC Office according to the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office on November 20, 2014. 

 

136,200.00  

 

259

10/03/2015 

3/2015 

30/2015 

World Corporation Public Company Limited 

56(4) and 199 

SEC Act 

World Corporation Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2014 (Form 56-1, 2014) to the SEC Office and the Stock Exchange of Thailand according to the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on October 25, 2014. 

 

141,000.00  

 

260

10/03/2015 

3/2015 

27/2015 

Mr. Porameth Rungrongtanin 

300 

SEC Act 

Mr. Porameth Rungrongtanin, director / chief executive officer, responsible for the operation of Asset Bright Public Company Limited (ABC), shall be liable for ABC's failure to submit the accurate financial statements for Q2/ 2014 ended 30 June 2014 within the period specified by the Capital Market Supervisory Board. 

 

239,400.00  

 

261

10/03/2015 

3/2015 

27/2015 

Mr. Porameth Rungrongtanin 

300 

SEC Act 

Mr. Porameth Rungrongtanin, director / chief executive officer, responsible for the operation of Asset Bright Public Company Limited (ABC), shall be liable for ABC's failure to submit the accurate financial statements for Q3/ 2014 ended 30 September 2014 within the period specified by the Capital Market Supervisory Board. 

 

129,000.00  

 

262

10/03/2015 

3/2015 

27/2015 

Mr. Porameth Rungrongtanin 

300 

SEC Act 

Mr. Porameth Rungrongtanin, director / chief executive officer, responsible for the operation of Asset Bright Public Company Limited (ABC), shall be liable for ABC's failure to submit the accurate financial statements for Q1/ 2014 ended 31 March 2014 within the period specified by the Capital Market Supervisory Board. 

 

348,600.00  

 

263

10/03/2015 

3/2015 

26/2015 

Asset Bright Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Asset Bright Public Company Limited (ABC), a securities issuer, submitted the inaccurate financial statements for Q1/2014 to the Stock Exchange of Thailand and the SEC Office on May 14, 2014 and May 15, 2014 respectively. The financial statements did not comply with the Financial Reporting Standard No. 16 (Revised 2009) Property, Plant and Equipment standards. 

 

348,600.00  

 

264

10/03/2015 

3/2015 

26/2015 

Asset Bright Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Asset Bright Public Company Limited (ABC), a securities issuer, submitted the inaccurate financial statements for Q2/2014 to the Stock Exchange of Thailand and the SEC Office on August 13, 2014 and August 15, 2014 respectively. The financial statements did not comply with the Financial Reporting Standard No. 16 (Revised 2009) Property, Plant and Equipment standards. 

 

239,400.00  

 

265

10/03/2015 

3/2015 

26/2015 

Asset Bright Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Asset Bright Public Company Limited (ABC), a securities issuer, submitted the inaccurate financial statements for Q3/2014 to the Stock Exchange of Thailand (the SET) and the SEC Office on November 7, 2014 and November 10, 2014 respectively. The financial statements did not comply with the Financial Reporting Standard No. 16 (Revised 2009) Property, Plant and Equipment standards. The rectified financial statements were later filed with the SET and the SEC Office on December 29, 2014. 

 

129,000.00  

 

266

10/03/2015 

3/2015 

25/2015 

Miss Wen Lee Dai 

300 

SEC Act 

Miss Wen Lee Dai, a Chief Executive Officer responsible for the operation of Compass East Industry (Thailand) Public Company Limited (CEI), shall be liable for CEI?s failure to prepare and submit the reviewed financial statements for Q1/ 2015 within the period specified by the Capital Market Supervisory Board. 

 

277,500.00  

 

267

10/03/2015 

3/2015 

24/2015 

Compass East Industry (Thailand) Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Compass East Industry (Thailand) Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q1/ 2015 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

277,500.00  

 

268

10/03/2015 

3/2015 

23/2015 

Adamas Incorporation Public Company Limited 

56 and 199 

SEC Act 

Adamas Incorporation Public Company Limited (ADAM), a securities issuer, failed to submit the reviewed financial statements for Q3/2014 to the SEC Office and the SET within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on November 18, 2014 and November 19, 2014 respectively. 

 

47,400.00  

 

269

10/02/2015 

2/2015 

18/2015 

Mr. Chokedee Boon-Long 

300 

SEC Act 

Mr. Chokedee Boon-Long, a director responsible for the operation of TTL Industries Public Company Limited (TTL), shall be liable for TTL?s failure to prepare and submit the accurate financial statements for Q3/2014 ended June 30, 2014 specified by the Capital Market Supervisory Board. 

 

63,000.00  

 

270

10/02/2015 

2/2015 

17/2015 

TTL Industries Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

TTL Industries Public Company Limited (TTL) prepared and submitted the inaccurate financial statements for Q3/2014 ended June 30, 2014 to the SET and the SEC Office on August 14, 2014 and August 17, 2014 respectively. The financial statements did not comply with the Thai Accounting Standard no.36 (revised 2012), Impairment of Assets (TAS 36). The rectified financial statements for Q3/2014 were later filed with the SET and the SEC Office on December 1, 2014 and December 8, 2014 respectively.  

 

63,000.00  

 

271

10/02/2015 

2/2015 

16/2015 

Mr. Wijit Jiemwijitkul 

300 

SEC Act 

Mr. Wijit Jiemwijitkul, a chairman of executive committee responsible for the operation of Tongkah Harbour Public Company Limited (THL), shall be liable for THL?s failure to prepare and submit the financial report for the first half of the fiscal year period ended 30 June 2014 within the period specified by the Capital Market Supervisory Board. 

 

58,500.00  

 

272

10/02/2015 

2/2015 

15/2015 

Tongkah Harbour Public Company Limited  

56 and 199 

SEC Act 

Tongkah Harbour Public Company Limited (THL), a listed company which is posted SP and NC signs by the Stock Exchange of Thailand (the SET), failed to prepare and submit the financial report for the first half of the fiscal year period ended June 30, 2014 to the SEC Office and the SET within August 14, 2014. However, the financial report were later submitted to the SET and the SEC Office on November 17, 2014 and November 20, 2014 respectively. 

 

73,125.00  

 

273

10/02/2015 

2/2015 

14/2015 

Mr. Ben Taechaubol 

300 

SEC Act 

Mr. Ben Taechaubol, the managing director, responsible for the operation of Country Group Development Public Company Limited (CGD), shall be liable for CGD?s failure to prepare and submit the the audited financial statements for the year 2013 within the period specified by the Capital Market Supervisory Board. 

 

107,100.00  

 

274

10/02/2015 

2/2015 

13/2015 

Country Group Development Public Company Limited 

56 and 199 

SEC Act 

Country Group Development Public Company Limited (CGD), a securities issuer, submitted the inaccurate the audited financial statements for the year 2013 to the SEC Office and the SET on March 3, 2014. CGD failed to rotate an auditor, in the occurrence that the auditor has performed her duties on auditing or reviewing and expressed opinion on financial statement of CGD for five consecutive years. The rectified audited financial statements for the year 2013 was later filed with the SET and the SEC Office on November 12, 2014 and November 13, 2014 respectively. 

 

107,100.00  

 

275

10/02/2015 

2/2015 

12/2015 

Mr. Soraj Rojanabenjakul 

300 

SEC Act 

Mr. Soraj Rojanabenjakul, Managing Director responsible for the operation of Vintage Engineering Public Company Limited (VTE), failed to submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

223,200.00  

 

276

10/02/2015 

2/2015 

12/2015 

Mr. Soraj Rojanabenjakul 

300 

SEC Act 

Mr. Soraj Rojanabenjakul, Managing Director responsible for the operation of Vintage Engineering Public Company Limited (VTE), failed to submit the financial statements for Q1/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

251,100.00  

 

277

10/02/2015 

2/2015 

12/2015 

Mr. Soraj Rojanabenjakul 

300 

SEC Act 

Mr. Soraj Rojanabenjakul, Managing Director responsible for the operation of Vintage Engineering Public Company Limited (VTE), failed to submit the financial statements for Q2/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

169,200.00  

 

278

10/02/2015 

2/2015 

12/2015 

Mr. Soraj Rojanabenjakul 

300 

SEC Act 

Mr. Soraj Rojanabenjakul, Managing Director responsible for the operation of Vintage Engineering Public Company Limited (VTE), failed to submit the financial statements for Q3/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

87,300.00  

 

279

10/02/2015 

2/2015 

12/2015 

Mr. Soraj Rojanabenjakul 

300 

SEC Act 

Mr. Soraj Rojanabenjakul, Managing Director responsible for the operation of Vintage Engineering Public Company Limited (VTE), failed to submit the financial statements for year, 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

318,600.00  

 

280

10/02/2015 

2/2015 

11/2015 

Vintage Engineering Public Company Limited 

56 and 199 

SEC Act 

Vintage Engineering Public Company Limited (VTE), a securities issuer, failed to submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement were inaccurate report with the SEC Office and the SET on January 21, 2015. 

 

223,200.00  

 

281

10/02/2015 

2/2015 

11/2015 

Vintage Engineering Public Company Limited 

56 and 199 

SEC Act 

Vintage Engineering Public Company Limited (VTE), a securities issuer, failed to submit the financial statements for Q1/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were inaccurate report with the SEC Office on December 4, 2014 and the SET on December 8, 2014. 

 

251,100.00  

 

282

10/02/2015 

2/2015 

11/2015 

Vintage Engineering Public Company Limited 

56 and 199 

SEC Act 

Vintage Engineering Public Company Limited (VTE), a securities issuer, failed to submit the financial statements for Q2/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were inaccurate report with the SEC Office on December 4, 2014 and the SET on December 8, 2014. 

 

169,200.00  

 

283

10/02/2015 

2/2015 

11/2015 

Vintage Engineering Public Company Limited 

56 and 199 

SEC Act 

Vintage Engineering Public Company Limited (VTE), a securities issuer, failed to submit the financial statements for Q3/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were inaccurate report with the SEC Office on December 4, 2014 and the SET on December 8, 2014. 

 

87,300.00  

 

284

10/02/2015 

2/2015 

11/2015 

Vintage Engineering Public Company Limited 

56 and 199 

SEC Act 

Vintage Engineering Public Company Limited (VTE), a securities issuer, failed to submit the financial statements for the year 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were inaccurate report with the SEC Office on December 4, 2014 and the SET on December 8, 2014. 

 

318,600.00  

 

285

19/01/2015 

1/2015 

9/2015 

Mr. Narong Taychachaiwong 

300 

SEC Act 

Mr. Narong Taychachaiwong, a director responsible for the operation of Inter Far East Engineering Public Company Limited (IFEC), shall be liable for IFEC?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board. 

 

89,400.00  

 

286

19/01/2015 

1/2015 

8/2015 

Mr. Mongkol Mangkornkanok 

300 

SEC Act 

Mr. Mongkol Mangkornkanok, a executive director responsible for the operation of Thai Textile Industry Public Company Limited (TTI), shall be liable for TTI?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board.  

 

144,600.00  

 

287

19/01/2015 

1/2015 

7/2015 

Thai Textile Industry Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Thai Textile Industry Public Company Limited (TTI) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET on March 31, 2014. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis : MD&A and other information. The rectified annual registration statement for the year 2013 was later filed with the SEC Office and the SET on September 12, 2014 and December 17, 2014 respectively.  

 

144,600.00  

 

288

19/01/2015 

1/2015 

6/2015 

Mr. Nat (Natapong) Pinitpongskul 

300 

SEC Act 

Mr. Nat (Natapong) Pinitpongskul, a managing director responsible for the operation of Thai British Security Printing Public Company Limited (TBSP), shall be liable for TBSP?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board.  

 

71,400.00  

 

289

19/01/2015 

1/2015 

5/2015 

Thai British Security Printing Public Company Limited 

56(4) and 199 

SEC Act 

Thai British Security Printing Public Company Limited (TBSP) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET on March 31, 2014. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis : MD&A and other information. The rectified annual registration statement for the year 2013 was later filed with the SEC Office and the SET on August 15, 2014.  

 

71,400.00  

 

290

19/01/2015 

1/2015 

4/2015 

Mr. Chanchai Laoteppitaks 

300 

SEC Act 

Mr. Chanchai Laoteppitaks, a managing director responsible for the operation of Kiang Huat Sea Gull Trading Frozen Food Public Company Limited (CHOTI), shall be liable for CHOTI?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board.  

 

144,000.00  

 

291

19/01/2015 

1/2015 

3/2015 

Kiang Huat Sea Gull Trading Frozen Food Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Kiang Huat Sea Gull Trading Frozen Food Public Company Limited (CHOTI) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET on March 31, 2014. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis : MD&A and other information. The rectified annual registration statement for the year 2013 was later filed with the SEC Office and the SET on September 8, 2014 and September 25 respectively.  

 

144,000.00  

 

292

19/01/2015 

1/2015 

2/2015 

Mr. Prapas Pholpipattanaphong 

300 

SEC Act 

Mr. Prapas Pholpipattanaphong, a managing director responsible for the operation of Chiangmai Frozen Foods Public Company Limited (CM), shall be liable for CM?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board. 

 

78,600.00  

 

293

19/01/2015 

1/2015 

1/2015 

Chiangmai Frozen Foods Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Chiangmai Frozen Foods Public Company Limited (CM) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET on March 31, 2014. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis : MD&A and other information. The rectified annual registration statement for the year 2013 was later filed with the SEC Office and the SET on September 4, 2014. 

 

78,600.00  

 

294

23/12/2014 

13/2014 

137/2014 

M.R. Sasiprin Chandratat 

300 

SEC Act 

M.R. Sasiprin Chandratat, a director responsible for the operation of TT&T Public Company Limited (TT&T), shall be liable for TT&T?s failure to prepare and submit the reviewed financial statements for Q2/2014 within the period specified by the Capital Market Supervisory Board. 

 

30,300.00  

 

295

23/12/2014 

13/2014 

136/2014 

TT&T Public Company Limited 

56 and 199 

SEC Act 

TT&T Public Company Limited (TT&T), a securities issuer, failed to submit the reviewed financial statements for Q2/2014 to the SEC Office and the SET within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on August 15, 2014 and August 18, 2014 respectively. 

 

37,875.00  

 

296

23/12/2014 

13/2014 

135/2014 

Mr. Aree Poomsanoh 

300 

SEC Act 

Mr. Aree Poomsanoh, a director responsible for the operation of C.I.GROUP Public Company Limited (CIG), shall be liable for CIG?s failure to prepare and submit the reviewed financial statements for Q2/2014 within the period specified by the Capital Market Supervisory Board. 

 

82,200.00  

 

297

23/12/2014 

13/2014 

134/2014 

C.I.GROUP Public Company Limited 

56 and 199 

SEC Act 

C.I.GROUP Public Company Limited (CIG), a securities issuer, failed to submit the reviewed financial statements for Q2/2014 to the SEC Office and the SET within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on August 20, 2014 and August 21, 2014 respectively. 

 

82,200.00  

 

298

23/12/2014 

13/2014 

133/2014 

Mr. Arak Ratboriharn 

300 

SEC Act 

Mr. Arak Ratboriharn, a director responsible for the operation of Solution Corner (1998) Public Company Limited (SLC), shall be liable for SLC?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board. 

 

151,200.00  

 

299

23/12/2014 

13/2014 

132/2014 

Solution Corner (1998) Public Company Limited 

56(4) and 199 

SEC Act 

Solution Corner (1998) Public Company Limited (SLC) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET on March 31, 2014. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis : MD&A and other information. The rectified annual registration statement for the year 2013 was later filed with the SEC Office and the SET on September 23, 2014 and October 7, 2014 respectively. 

 

151,200.00  

 

300

23/12/2014 

13/2014 

131/2014 

Asia Corporate Development Public Company Limited 

56(4) and 199 

SEC Act 

Asia Corporate Development Public Company Limited (ACD) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SET and the SEC Office on March 31, 2014 and April 1, 2014 respectively. The annual registration statement did not disclose the information on Management Discussion and Analysis : MD&A and incompletely disclosed other information. The rectified annual registration statement for the year 2013 was later filed with the SET and the SEC Office on October 1, 2014 and October 9, 2014 respectively. 

 

226,500.00  

 

301

23/12/2014 

13/2014 

130/2014 

Mr. Katsumasa Sekiguchi 

300 

SEC Act 

Mr. Katsumasa Sekiguchi, a director responsible for the operation of Furukawa Metal (Thailand) Public Company Limited (FMT), shall be liable for FMT?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board. 

 

133,800.00  

 

302

23/12/2014 

13/2014 

129/2014 

Furukawa Metal (Thailand) Public Company Limited 

56(4) and 199 

SEC Act 

Furukawa Metal (Thailand) Public Company Limited (FMT) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET on March 27, 2014. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis : MD&A and other information. The rectified annual registration statement for the year 2013 was later filed with the SET and the SEC Office on August 21, 2014 and August 22, 2014 respectively. 

 

133,800.00  

 

303

23/12/2014 

13/2014 

128/2014 

Mrs. Chamnean Chokvathana 

300 

SEC Act 

Mrs. Chamnean Chokvathana, a director responsible for the operation of New Plus Knitting Public Company Limited (NPK), shall be liable for NPK?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board. 

 

159,600.00  

 

304

23/12/2014 

13/2014 

127/2014 

New Plus Knitting Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

New Plus Knitting Public Company Limited (NPK) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET on March 26, 2014 and March 31, 2014 respectively. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis : MD&A and other information. The rectified annual registration statement for the year 2013 was later filed with the SEC Office and the SET on October 2, 2014. 

 

159,600.00  

 

305

23/12/2014 

13/2014 

126/2014 

Miss Piengchai Harnpanich 

300 

SEC Act 

Miss Piengchai Harnpanich, a director responsible for the operation of Mandarin Hotel Public Company Limited (MANRIN), shall be liable for MANRIN?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board. 

 

290,400.00  

 

306

23/12/2014 

13/2014 

125/2014 

Mandarin Hotel Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Mandarin Hotel Public Company Limited (MANRIN) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET on March 31, 2014. The annual registration statement did not disclose the information on Management Discussion and Analysis : MD&A and incompletely disclosed other information. The rectified annual registration statement for the year 2013 was later filed with the SEC Office and the SET on December 11, 2014. 

 

290,400.00  

 

307

23/12/2014 

13/2014 

124/2014 

Inter Far East Engineering Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Inter Far East Engineering Public Company Limited (IFEC) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET on March 31, 2014. The annual registration statement disclosed the information incompliance with the specified form and incompletely disclosed the other information. The rectified annual registration statement for the year 2013 was later filed with the SEC Office and the SET on October 13, 2014. 

 

163,200.00  

 

308

23/12/2014 

13/2014 

123/2014 

Mr. Kazumine Torigoe 

300 

SEC Act 

Mr. Kazumine Torigoe, a director responsible for the operation of Thai Toray Textile Mills Public Company Limited (TTTM), shall be liable for TTTM?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board. 

 

85,800.00  

 

309

23/12/2014 

13/2014 

122/2014 

Thai Toray Textile Mills Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Thai Toray Textile Mills Public Company Limited (TTTM) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET on March 31, 2014. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis : MD&A and other information. The rectified annual registration statement for the year 2013 was later filed with the SEC Office and the SET on October 2, 2014. 

 

85,800.00  

 

310

23/12/2014 

13/2014 

121/2014 

Mr. Chokedee Boon-Long 

300 

SEC Act 

Mr. Chokedee Boon-Long, a director responsible for the operation of TTL Industries Public Company Limited (TTL), shall be liable for TTL?s failure to prepare and submit the accurate annual registration statement for the year 2013 (Form 56-1, 2013) specified by the Capital Market Supervisory Board. 

 

203,400.00  

 

311

23/12/2014 

13/2014 

120/2014 

TTL Industries Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

TTL Industries Public Company Limited (TTL) prepared and submitted the inaccurate annual registration statement for the year 2013 (Form 56-1, 2013) to the SET and the SEC Office on December 27, 2013 and January 2, 2014 respectively. The annual registration statement did not disclose the information on Management Discussion and Analysis : MD&A and incompletely disclosed other information. The rectified annual registration statement for the year 2013 was later filed with the SEC Office and the SET on September 16, 2014. 

 

203,400.00  

 

312

26/11/2014 

12/2014 

112/2014 

Mr. Michael Richard Loefler 

300 in conjunction with 56(1) 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G J STEEL Public Company Limited (GJS), failed to submit the reviewed financial statements for Q1/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office and the SET on Sep 5, 2014.  

 

63,900.00  

 

313

26/11/2014 

12/2014 

112/2014 

Mr. Michael Richard Loefler 

300 in conjunction with 56(1) 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G J STEEL Public Company Limited (GJS), failed to submit the reviewed financial statements for Q2/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office and the SET on Sep 12, 2014.  

 

38,700.00  

 

314

26/11/2014 

12/2014 

111/2014 

G J STEEL Public Company Limited (GJS) 

56(1) 

SEC Act 

G J STEEL Public Company Limited (GJS), a securities issuer, failed to submit the reviewed financial statements for Q1/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office and the SET on Sep 5, 2014.  

 

79,875.00  

 

315

26/11/2014 

12/2014 

111/2014 

G J STEEL Public Company Limited  

56(1) 

SEC Act 

G J STEEL Public Company Limited (GJS), a securities issuer, failed to submit the reviewed financial statements for Q2/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office and the SET on Sep 12, 2014.  

 

48,375.00  

 

316

26/11/2014 

12/2014 

110/2014 

Mr. Michael Richard Loefler 

300 in conjunction with 56(1) 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G STEEL Public Company Limited (GSTEL), failed to submit the reviewed financial statements for Q2/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office and the SET on Sep 12, 2014. 

 

38,700.00  

 

317

26/11/2014 

12/2014 

110/2014 

Mr. Michael Richard Loefler 

300 in conjunction with 56(1) 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G STEEL Public Company Limited (GSTEL), failed to submit the reviewed financial statements for Q1/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office and the SET on Sep 5, 2014. 

 

63,900.00  

 

318

26/11/2014 

12/2014 

109/2014 

G STEEL Public Company Limited  

56(1) 

SEC Act 

G STEEL Public Company Limited (GSTEL), a securities issuer, failed to submit the reviewed financial statements for Q2/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office and the SET on Sep 12, 2014.  

 

48,375.00  

 

319

26/11/2014 

12/2014 

109/2014 

G STEEL Public Company Limited 

56(1) 

SEC Act 

G STEEL Public Company Limited (GSTEL), a securities issuer, failed to submit the reviewed financial statements for Q1/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office and the SET on Sep 5, 2014.  

 

79,875.00  

 

320

28/10/2014 

11/2014 

89/2014 

Miss Piengchai Harnpanich 

59 in conjunction with 199 

SEC Act 

Between October 29, 2013 and November 19, 2013, Miss Piengchai Harnpanich, the director of the Mandarin Hotel Public Company Limited (MANRIN), failed to prepare and disclose report on changes in her holding of MANRIN securities to the SEC Office within the period specified in the notification. 

 

203,000.00  

 

321

28/10/2014 

11/2014 

88/2014 

Mr. Aree Poomsanoh 

300 

SEC Act 

Mr. Aree Poomsanoh, a director responsible for the operation of C.I.GROUP Public Company Limited (CIG), shall be liable for CIG?s failure to prepare and submit the reviewed financial statements for Q1/2014 within the period specified by the Capital Market Supervisory Board. 

 

47,400.00  

 

322

28/10/2014 

11/2014 

87/2014 

C.I.GROUP Public Company Limited 

56 and 199 

SEC Act 

C.I.GROUP Public Company Limited (CIG), a securities issuer, failed to submit the reviewed financial statements for Q1/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office and the SET on May 19, 2014. 

 

47,400.00  

 

323

28/10/2014 

11/2014 

86/2014 

Mr. Naiyuan Chi 

300 

SEC Act 

Mr. Naiyuan Chi, a director responsible for the operation of M.C.S. Steel Public Company Limited (MCS), shall be liable for MCS?s failure to prepare and submit the reviewed financial statements for Q1/2014 within the period specified by the Capital Market Supervisory Board. 

 

137,700.00  

 

324

28/10/2014 

11/2014 

85/2014 

M.C.S. Steel Public Company Limited 

56 and 199 

SEC Act 

M.C.S. Steel Public Company Limited (MCS), a securities issuer, failed to submit the reviewed financial statements for Q1/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on May 29, 2014 and June 6, 2014 respectively. 

 

137,700.00  

 

325

28/10/2014 

11/2014 

84/2014 

Mr. Wutichai Leenabanchong 

300 

SEC Act 

Mr. Wutichai Leenabanchong, a director responsible for the operation of Capital Engineering Network Public Company Limited (CEN), shall be liable for CEN?s failure to prepare and submit the reviewed financial statements for Q1/2014 within the period specified by the Capital Market Supervisory Board. 

 

113,400.00  

 

326

28/10/2014 

11/2014 

83/2014 

Capital Engineering Network Public Company Limited 

56 and 199 

SEC Act 

Capital Engineering Network Public Company Limited (CEN), a securities issuer, failed to submit the reviewed financial statements for Q1/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on June 16, 2014. 

 

170,100.00  

 

327

28/10/2014 

11/2014 

82/2014 

Mr. Chainarong Chanpalangsri 

300 

SEC Act 

Mr. Chainarong Chanpalangsri, a director responsible for the operation of Thai Polycons Public Company Limited (TPOLY), shall be liable for TPOLY?s failure to prepare and submit the reviewed financial statements for Q1/2014 within the period specified by the Capital Market Supervisory Board. 

 

45,600.00  

 

328

28/10/2014 

11/2014 

81/2014 

Thai Polycons Public Company Limited 

56 and 199 

SEC Act 

Thai Polycons Public Company Limited (TPOLY), a securities issuer, failed to submit the reviewed financial statements for Q1/2014 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SEC Office and the SET on May 16, 2014. 

 

45,600.00  

 

329

20/08/2014 

9/2014 

78/2014 

Mr. Vichai Tantikulananta 

300 

SEC Act 

Mr. Vichai Tantikulananta, 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 annual registration statement for the year 2013 (Form 56-1, 2013) within the period specified by the Capital Market Supervisory Board. 

 

83,400.00  

 

330

20/08/2014 

9/2014 

78/2014 

Mr. Vichai Tantikulananta 

300 

SEC Act 

Mr. Vichai Tantikulananta, 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 audited financial statements for the year 2013 ended December, 2013 within the period specified by the Capital Market Supervisory Board. 

 

134,400.00  

 

331

20/08/2014 

9/2014 

78/2014 

Mr. Vichai Tantikulananta 

300 

SEC Act 

Mr. Vichai Tantikulananta, 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 Q4/ 2013 within the period specified by the Capital Market Supervisory Board. 

 

139,680.00  

 

332

20/08/2014 

9/2014 

77/2014 

L.V. Technology Public Company Limited 

56 and 199 

SEC Act 

L.V. Technology Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

83,400.00  

 

333

20/08/2014 

9/2014 

77/2014 

L.V. Technology Public Company Limited 

56 and 199 

SEC Act 

L.V. Technology Public Company Limited, a securities issuer, failed to submit the audited financial statements for the year 2013 ended December, 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

142,800.00  

 

334

20/08/2014 

9/2014 

77/2014 

L.V. Technology Public Company Limited 

56 and 199 

SEC Act 

L.V. Technology Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

148,410.00  

 

335

20/08/2014 

9/2014 

76/2014 

Mr. Michael Richard Loefler 

300 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G J STEEL Public Company Limited (GJS), shall be liable for GJS?s failure to prepare and submit the reviewed financial statements for Q4/2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

87,300.00  

 

336

20/08/2014 

9/2014 

76/2014 

Mr. Michael Richard Loefler 

300 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G J Steel Public Company Limited (GJS), shall be liable for GJS?s failure to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

84,900.00  

 

337

20/08/2014 

9/2014 

76/2014 

Mr. Michael Richard Loefler 

300 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G J Steel Public Company Limited (GJS), shall be liable for GJS?s failure to prepare and submit the annual report for the year 2013 (Form 56-2, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

75,900.00  

 

338

20/08/2014 

9/2014 

76/2014 

Mr. Michael Richard Loefler 

300 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G J Steel Public Company Limited (GJS), shall be liable for GJS?s failure to prepare and submit the audited financial statements for the year 2013 ended December 31, 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

84,000.00  

 

339

20/08/2014 

9/2014 

75/2014 

G J STEEL Public Company Limited 

56 and 199 

SEC Act 

G J STEEL Public Company Limited (GJS), a securities issuer , failed to submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

106,125.00  

 

340

20/08/2014 

9/2014 

75/2014 

G J STEEL Public Company Limited 

56 and 199 

SEC Act 

G J STEEL Public Company Limited (GJS), a securities issuer , failed to submit the annual report for the year 2013 (Form 56-2, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

94,875.00  

 

341

20/08/2014 

9/2014 

75/2014 

G J STEEL Public Company Limited 

56 and 199 

SEC Act 

G J STEEL Public Company Limited (GJS), a securities issuer, failed to submit the audited financial statements for the year 2013 ended December 31, 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

105,000.00  

 

342

20/08/2014 

9/2014 

75/2014 

G J STEEL Public Company Limited 

56 and 199 

SEC Act 

G J STEEL Public Company Limited (GJS), a securities issuer, failed to submit the reviewed financial statements for Q4/2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

109,125.00  

 

343

20/08/2014 

9/2014 

74/2014 

Mr. Michael Richard Loefler 

300 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G Steel Public Company Limited (GSTEL), shall be liable for GSTEL?s failure to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

84,900.00  

 

344

20/08/2014 

9/2014 

74/2014 

Mr. Michael Richard Loefler 

300 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G Steel Public Company Limited (GSTEL), shall be liable for GSTEL?s failure to prepare and submit the annual report for the year 2013 (Form 56-2, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

75,900.00  

 

345

20/08/2014 

9/2014 

74/2014 

Mr. Michael Richard Loefler 

300 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G Steel Public Company Limited (GSTEL), shall be liable for GSTEL?s failure to prepare and submit the audited financial statements for the year 2013 ended December 31, 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

84,000.00  

 

346

20/08/2014 

9/2014 

74/2014 

Mr. Michael Richard Loefler 

300 

SEC Act 

Mr. Michael Richard Loefler, Chief Excutive Officer responsible for the operation of G Steel Public Company Limited (GSTEL), shall be liable for GSTEL?s failure to prepare and submit the reviewed financial statements for Q4/2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

87,300.00  

 

347

20/08/2014 

9/2014 

73/2014 

G STEEL Public Company Limited 

56 and 199 

SEC Act 

G STEEL Public Company Limited (GSTEL), a securities issuer , failed to submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

106,125.00  

 

348

20/08/2014 

9/2014 

73/2014 

G STEEL Public Company Limited 

56 and 199 

SEC Act 

G STEEL Public Company Limited (GSTEL), a securities issuer , failed to submit the annual report for the year 2013 (Form 56-2, 2013) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

94,875.00  

 

349

20/08/2014 

9/2014 

73/2014 

G STEEL Public Company Limited 

56 and 199 

SEC Act 

G STEEL Public Company Limited (GSTEL), a securities issuer, failed to submit the audited financial statements for the year 2013 ended December 31, 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

105,000.00  

 

350

20/08/2014 

9/2014 

73/2014 

G STEEL Public Company Limited 

56 and 199 

SEC Act 

G STEEL Public Company Limited (GSTEL), a securities issuer, failed to submit the reviewed financial statements for Q4/2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

109,125.00  

 

351

20/08/2014 

9/2014 

72/2014 

Mr. Sukich Charanvas 

300 

SEC Act 

Mr. Sukich Charanvas, a director responsible for the operation of Charan Insurance Public Company Limited (CHARAN), shall be liable for CHARAN?s failure to prepare and submit the audited financial statements for the year 2013 ended December, 2013 within the period specified by the Capital Market Supervisory Board. 

 

47,400.00  

 

352

20/08/2014 

9/2014 

72/2014 

Mr. Sukich Charanvas 

300 

SEC Act 

Mr. Sukich Charanvas, a director responsible for the operation of Charan Insurance Public Company Limited (CHARAN), shall be liable for CHARAN?s failure to prepare and submit the reviewed financial statements for Q4/2013 within the period specified by the Capital Market Supervisory Board. 

 

93,000.00  

 

353

20/08/2014 

9/2014 

71/2014 

Charan Insurance Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Charan Insurance Public Company Limited (CHARAN), a listed company, failed to submit the reviewed financial statements for Q4/2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on March 4, 2014. 

 

93,000.00  

 

354

20/08/2014 

9/2014 

71/2014 

Charan Insurance Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

Charan Insurance Public Company Limited (CHARAN), a listed company, failed to submit the audited financial statements for the year 2013 ended December, 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on March 4, 2014. 

 

47,400.00  

 

355

20/08/2014 

9/2014 

70/2014 

Mr. Chainarong Chanpalangsri 

300 

SEC Act 

Mr. Chainarong Chanpalangsri, a director responsible for the operation of Thai Polycons Public Company Limited (TPOLY), shall be liable for TPOLY?s failure to prepare and submit the audited financial statements for the year 2013 ended December, 2013 within the period specified by the Capital Market Supervisory Board. 

 

106,200.00  

 

356

20/08/2014 

9/2014 

70/2014 

Mr. Chainarong Chanpalangsri 

300 

SEC Act 

Mr. Chainarong Chanpalangsri, a director responsible for the operation of Thai Polycons Public Company Limited (TPOLY), shall be liable for TPOLY?s failure to prepare and submit the reviewed financial statements for Q4/2013 within the period specified by the Capital Market Supervisory Board. 

 

119,400.00  

 

357

20/08/2014 

9/2014 

69/2014 

Thai Polycons Public Company Limited 

56 and 199 

SEC Act 

Thai Polycons Public Company Limited (TPOLY), a securities issuer, failed to submit the audited financial statements for the year 2013 ended December, 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on March 26, 2014 March 27, 2014 respectively. 

 

106,200.00  

 

358

20/08/2014 

9/2014 

69/2014 

Thai Polycons Public Company Limited 

56 and 199 

SEC Act 

Thai Polycons Public Company Limited (TPOLY), a securities issuer, failed to submit the reviewed financial statements for Q4/2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on March 26, 2014 March 27, 2014 respectively. 

 

119,400.00  

 

359

16/07/2014 

8/2014 

68/2014 

Mr. Ronasit Poomma 

300 

SEC Act 

Mr. Ronasit Poomma, a director responsible for the operation of Picnic Corporation Public Company Limited (PICNI), shall be liable for PICNI?s failure to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) within the period specified by the Capital Market Supervisory Board. 

 

71,550.00  

 

360

16/07/2014 

8/2014 

68/2014 

Mr. Ronasit Poomma 

300 

SEC Act 

Mr. Ronasit Poomma, a director responsible for the operation of Picnic Corporation Public Company Limited (PICNI), shall be liable for PICNI?s failure to prepare and submit the financial statements for the year 2013 ended December, 2013 within the period specified by the Capital Market Supervisory Board. 

 

58,500.00  

 

361

16/07/2014 

8/2014 

67/2014 

Picnic Corporation Public Company Limited 

56 and 199 

SEC Act 

Picnic Corporation Public Company Limited (PICNI), a securities issuer which is in the list of Non-Performing Group imposed by the Stock Exchange of Thailand (the SET), failed to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET within March 31, 2014. However, the Form 56-1, 2013 was later submitted to the SEC Office and the SET on May 28, 2014 and May 29, 2014 respectively. 

 

71,550.00  

 

362

16/07/2014 

8/2014 

67/2014 

Picnic Corporation Public Company Limited 

56 and 199 

SEC Act 

Picnic Corporation Public Company Limited (PICNI), a securities issuer which is in the list of Non-Performing Group imposed by the Stock Exchange of Thailand (the SET), failed to prepare and submit the financial statements for the year 2013 ended December, 2013 to the SEC Office and the SET within March 31, 2014. However, the financial statements were later submitted to the SET and the SEC Office on April 30, 2014 and May 2, 2014 respectively. 

 

58,500.00  

 

363

16/07/2014 

8/2014 

66/2014 

Miss Dai Wen Lee 

300 

SEC Act 

Miss Dai Wen Lee, a director responsible for the operation of Compass East Industry (Thailand) Public Company Limited (CEI), shall be liable for CEI?s failure to prepare and submit the reviewed financial statements for Q1/2014 within the period specified by the Capital Market Supervisory Board. 

 

46,800.00  

 

364

16/07/2014 

8/2014 

66/2014 

Miss Dai Wen Lee 

300 

SEC Act 

Miss Dai Wen Lee, a director responsible for the operation of Compass East Industry (Thailand) Public Company Limited (CEI), shall be liable for CEI?s failure to prepare and submit the reviewed financial statements for Q2/2014 within the period specified by the Capital Market Supervisory Board. 

 

168,600.00  

 

365

16/07/2014 

8/2014 

65/2014 

Compass East Industry (Thailand) Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Compass East Industry (Thailand) Public Company Limited (CEI), a securities issuer which the fiscal year ends on 31 July, failed to submit the reviewed financial statements for Q1/2014 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on December 19, 2013 and December 20, 2013 respectively. 

 

46,800.00  

 

366

16/07/2014 

8/2014 

65/2014 

Compass East Industry (Thailand) Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Compass East Industry (Thailand) Public Company Limited (CEI), a securities issuer which the fiscal year ends on 31 July, failed to submit the reviewed financial statements for Q2/2014 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the SEC Office on June 3, 2014 and June 4, 2014 respectively. 

 

168,600.00  

 

367

18/06/2014 

7/2014 

59/2014 

Mr. Thanit Thareratanavibool 

300 

SEC Act 

Mr. Thanit Thareratanavibool, the chief executive officer responsible for the operation of Internet Thailand Public Company Limited, shall be liable for AI?s failure to prepare and submit the accurate financial statements for the year 2013 within the period specified by the Capital Market Supervisory Board. 

 

31,500.00  

 

368

18/06/2014 

7/2014 

58/2014 

Asian Insulators Public Company Limited 

56 and 199 

SEC Act 

Asian Insulators Public Company Limited (AI), a securities issuer, submitted the inaccurate financial statements for the year 2013 to the SEC Office on February 17, 2014. The financial statements did not comply with the Accounting Standard. That is, the company realized the gain from selling the capital investment in its subsidiary and booked in the consolidated financial statements. The revision was to recognize the gain on disposal of investment in the subsidiary to equity attributable to shareholders of the parent in the consolidated financial statements. The rectified financial statements for the year 2013 were submitted to the Stock Exchange of Thailand on March 5, 2014 and the SEC Office on March 6, 2014. 

 

31,500.00  

 

369

18/06/2014 

7/2014 

57/2014 

Mr. Prasong Adulratananukul 

300 

SEC Act 

Mr. Prasong Adulratananukul, the chief executive officer responsible for the operation of P.C.S. Machine Group Holding Public Company Limited (PCSGH), shall be liable for PCSGH?s failure to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) within the period specified by the Capital Market Supervisory Board. 

 

45,600.00  

 

370

18/06/2014 

7/2014 

56/2014 

P.C.S. Machine Group Holding Public Company Limited 

56 and 199 

SEC Act 

P.C.S. Machine Group Holding Public Company Limited (PCSGH), a securities issuer, failed to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified by the Capital Market Supervisory Board. However, the Form 56-1, 2013 was later submitted to the SET and the SEC Office on April 1, 2014, and April 2, 2014 respectively. 

 

45,600.00  

 

371

18/06/2014 

7/2014 

55/2014 

Mr. Kiatichai Monsereenusorn 

300 

SEC Act 

Mr. Kiatichai Monsereenusorn, the managing director responsible for the operation of Kiattana Transport Public Company Limited (KIAT), shall be liable for KIAT?s failure to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) within the period specified by the Capital Market Supervisory Board. 

 

46,200.00  

 

372

18/06/2014 

7/2014 

54/2014 

Kiattana Transport Public Company Limited 

56 and 199 

SEC Act 

Kiattana Transport Public Company Limited (KIAT), a securities issuer, failed to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified by the Capital Market Supervisory Board. However, the Form 56-1, 2013 was later submitted to the SEC Office and the SET on April 2, 2014. 

 

46,200.00  

 

373

21/05/2014 

6/2014 

50/2014 

Mr. Prateep Leopairut 

300 in conjunction with 199 and 56(1) 

SEC Act 

Mr. Prateep Leopairut, a president responsible for the operation of Tpi Polene Public Company Limited (TPIPL), shall be liable for TPIPL?s failure to prepare and submit the accurate financial statements for Q3/ 2013 ended ended September 30, 2013 within the period specified by the Capital Market Supervisory Board. 

 

143,400.00  

 

374

21/05/2014 

6/2014 

49/2014 

Tpi Polene Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

Tpi Polene Public Company Limited (TPIPL), a securities issuer, submitted the inaccurate financial statements for Q3/ 2013 ended September 30, 2013 to the Stock Exchange of Thailand (the SET) and the SEC Office on November 14, 2013. The financial statements did not comply with the Financial Reporting Standard No. 10 (Revised 2552) Events after the Reporting Period. The rectified financial statements for Q3/ 2013 were later filed with the SET and the SEC Office on January 10, 2014 and January 13, 2014 respectively.  

 

143,400.00  

 

375

19/03/2014 

4/2014 

34/2014 

General Engineering Public Company Limited 

35 

SEC Act 

On June 10, 2013, General Engineering Public Company Limited (GEN) failed to comply with the rules, conditions, and procedures as specified in the notification of the Capital Market Supervisory Board. The offer for sale of the General Engineering Public Company Limited Existing Shareholders Warrants No.4 (GEN-W4), warrants to purchase the ordinary shares of GEN, and the issue of underlying shares did not comply with the notification which requires the numbers of ordinary shares to be sufficiently reserved for the exercise of GEN-W4 and the other warrants. 

 

450,000.00  

 

376

22/01/2014 

1/2014 

18/2014 

Mr. Soraj Rojanabenjakul 

300 

SEC Act 

Mr. Soraj Rojanabenjakul, a managing director responsible for the operation of Vintage Engineering Public Company Limited (VTE), shall be liable for VTE?s failure to prepare and submit the accurate financial statements for Q1/ 2013 ended March 2013 within the period specified by the Capital Market Supervisory Board. 

 

70,200.00  

 

377

22/01/2014 

1/2014 

18/2014 

Mr. Soraj Rojanabenjakul 

300 

SEC Act 

Mr. Soraj Rojanabenjakul, a managing director responsible for the operation of Vintage Engineering Public Company Limited (VTE), shall be liable for VTE?s failure to prepare and submit the accurate financial statements for Q2/ 2013 ended June 2013 within the period specified by the Capital Market Supervisory Board. 

 

42,900.00  

 

378

22/01/2014 

1/2014 

18/2014 

Mr. Soraj Rojanabenjakul 

300 

SEC Act 

Mr. Soraj Rojanabenjakul, a managing director responsible for the operation of Vintage Engineering Public Company Limited (VTE), shall be liable for VTE?s failure to prepare and submit the accurate financial statements for the year 2012 within the period specified by the Capital Market Supervisory Board. 

 

104,100.00  

 

379

22/01/2014 

1/2014 

17/2014 

Vintage Engineering Public Company Limited 

56 and 199 

SEC Act 

Vintage Engineering Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for Q1/ 2013 ended March, 2013 to the Stock Exchange of Thailand and the SEC Office on May 15, 2013 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements were later filed with the SET on September 26, 2013. 

 

70,200.00  

 

380

22/01/2014 

1/2014 

17/2014 

Vintage Engineering Public Company Limited 

56 and 199 

SEC Act 

Vintage Engineering Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for Q2/ 2013 ended June, 2013 to the Stock Exchange of Thailand and the SEC Office on August 14, 2013 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements were later filed with the SET on September 26, 2013. 

 

42,900.00  

 

381

22/01/2014 

1/2014 

17/2014 

Vintage Engineering Public Company Limited 

56 and 199 

SEC Act 

Vintage Engineering Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for the year 2012 ended December, 2012 to the Stock Exchange of Thailand and the SEC Office on April 1, 2013 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements were later filed with the SET on December 4, 2013. 

 

104,100.00  

 

382

22/01/2014 

1/2014 

12/2014 

Mr. Chanachai Leenabanchong 

300 in conjunction with 56(1) 

SEC Act 

Mr. Chanachai Leenabanchong, a director responsible for the operation of EMC Public Company Limited (EMC), shall be liable for EMC?s failure to prepare and submit the reviewed financial statements for Q3/ 2013 within the period specified by the Capital Market Supervisory Board. 

 

76,200.00  

 

383

22/01/2014 

1/2014 

11/2014 

EMC Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

EMC Public Company Limited (EMC), a securities issuer, failed to submit the reviewed financial statements for Q3/ 2013 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on November 15, 2013. 

 

76,200.00  

 

384

22/01/2014 

1/2014 

10/2014 

Mr. Vichai Tantikulananta 

300 

SEC Act 

Mr. Vichai Tantikulananta, 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 Q3/ 2013 ended 30 September 2013 within the period specified by the Capital Market Supervisory Board. 

 

39,600.00  

 

385

22/01/2014 

1/2014 

9/2014 

L.V. Technology Public Company Limited 

56 and 199 

SEC Act 

L.V. Technology Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q3/ 2013 ended 30 September 2013 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on December 16, 2013 and September 17, 2013respectively. 

 

39,600.00  

 

386

22/01/2014 

1/2014 

8/2014 

Mrs. Morragot Kulatumyotin 

300 in conjunction with 56(4) 

SEC Act 

Mrs. Morragot Kulatumyotin, the managing director responsible for the operation of Internet Thailand Public Company Limited, shall be liable for INET?s failure to prepare and submit the accurate annual registration statements for the year 2012 (Form 56-1, 2012) within the period specified by the Capital Market Supervisory Board. 

 

90,900.00  

 

387

22/01/2014 

1/2014 

7/2014 

Internet Thailand Public Company Limited 

56(4) and 199 

SEC Act 

Internet Thailand Public Company Limited (INET), a securities issuer, submitted the inaccurate annual registration statement for the year 2012 (Form 56-1, 2012) to the SEC Office on 22 March, 2013 and the Stock Exchange of Thailand on 27 March, 2013. INET failed to disclose management discussion and analysis of the company (MD&A). The rectified Form 56-1, 2012 was later filed with the SEC on 21 October, 2013. 

 

90,900.00  

 

388

22/01/2014 

1/2014 

6/2014 

Mr.Sathit Tatawatorn 

300 in conjunction with 56(4) 

SEC Act 

Mr.Sathit Tatawatorn, the managing director responsible for the operation of Salee Industry Public Company Limited (SALEE), shall be liable for SALEE?s failure to prepare and submit the accurate annual registration statements for the year 2012 (Form 56-1, 2012) within the period specified by the Capital Market Supervisory Board. 

 

93,600.00  

 

389

22/01/2014 

1/2014 

5/2014 

Salee Industry Public Company Limited 

56(4) and 199 

SEC Act 

Salee Industry Public Company Limited (SALEE), a securities issuer, submitted the inaccurate annual registration statement for the year 2012 (Form 56-1, 2012) to the SEC Office on 29 March, 2013. SALEE failed to disclose management discussion and analysis of the company (MD&A). The rectified Form 56-1, 2012 was later filed with the SEC and the Stock Exchange of Thailand on 30 October, 2013. 

 

93,600.00  

 

390

22/01/2014 

1/2014 

4/2014 

Miss Paweena Laowiwatwong 

300 in conjunction with 56(4) 

SEC Act 

Miss Paweena Laowiwatwong, the managing director responsible for the operation of The Union Mosaic Industry Public Company Limited (UMI), shall be liable for UMI?s failure to prepare and submit the accurate annual registration statements for the year 2012 (Form 56-1, 2012) within the period specified by the Capital Market Supervisory Board. 

 

114,300.00  

 

391

22/01/2014 

1/2014 

3/2014 

The Union Mosaic Industry Public Company Limited 

56(4) and 199 

SEC Act 

The Union Mosaic Industry Public Company Limited (UMI), a securities issuer, submitted the inaccurate annual registration statement for the year 2012 (Form 56-1, 2012) to the SEC Office on 5 June, 2013. UMI failed to disclose management discussion and analysis of the company (MD&A). The rectified Form 56-1, 2012 was later filed with the SEC and the Stock Exchange of Thailand on 7 January, 2014. 

 

114,300.00  

 

392

22/01/2014 

1/2014 

2/2014 

Mr. Vitawat Pornkul 

300 in conjunction with 56(4) 

SEC Act 

Mr. Vitawat Pornkul, the managing director responsible for the operation of DCON PRODUCTS PUBLIC COMPANY LIMITED Limited (DCON), shall be liable for UMI?s failure to prepare and submit the accurate annual registration statements for the year 2012 (Form 56-1, 2012) within the period specified by the Capital Market Supervisory Board. 

 

108,600.00  

 

393

22/01/2014 

1/2014 

1/2014 

DCON PRODUCTS PUBLIC COMPANY LIMITED 

199 in conjunction with 56(4) 

SEC Act 

DCON PRODUCTS PUBLIC COMPANY LIMTIED,(DCON), a securities issuer, submitted the inaccurate annual registration statement for the year 2012 (Form 56-1, 2012) to the SEC Office on 29 March, 2013. DCON failed to disclose management discussion and analysis of the company (MD&A). The rectified Form 56-1, 2012 was later filed with the SEC on 19 December, 2013 

 

108,600.00  

 

394

27/11/2013 

7/2013 

74/2013 

Mr. Sumit Chanmatee 

59 

SEC Act 

Between November 27, 2012 and December 14, 2012, Mr. Sumit Chanmatee, the director of Rayong Purifier Public Company Limited (RPC), failed to prepare and disclose report on changes in his holding of RPC securities to the SEC Office within the period specified in the notification. 

 

236,500.00  

 

395

27/11/2013 

7/2013 

73/2013 

Mr. Wichit Prayoonwiwat 

300 

SEC Act 

Mr. Wichit Prayoonwiwat, the managing director responsible for the operation of Pan Asia Footwear Public Company Limited (PAF), failed to submit the reviewed financial statements for Q1/2013 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET July 15, 2013 and the SEC Office on July 16, 2013. 

 

72,450.00  

 

396

27/11/2013 

7/2013 

73/2013 

Mr. Wichit Prayoonwiwat 

300 

SEC Act 

Mr. Wichit Prayoonwiwat, the managing director responsible for the operation of Pan Asia Footwear Public Company Limited (PAF), failed to submit the reviewed financial statements for Q2/2013 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on September 13, 2013 and the SEC Office on September 16, 2013. 

 

58,500.00  

 

397

27/11/2013 

7/2013 

72/2013 

Pan Asia Footwear Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Pan Asia Footwear Public Company Limited (PAF), a listed company, failed to submit the reviewed financial statements for Q1/2013 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on July 15, 2013 and the SEC Office on July 16, 2013. 

 

77,280.00  

 

398

27/11/2013 

7/2013 

72/2013 

Pan Asia Footwear Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Pan Asia Footwear Public Company Limited (PAF), a listed company, failed to submit the reviewed financial statements for Q2/2013 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on September 13, 2013 and the SEC Office on September 16, 2013. 

 

62,400.00  

 

399

27/11/2013 

7/2013 

71/2013 

Mr. Vichai Tantikulananta 

300 

SEC Act 

Mr. Vichai Tantikulananta, 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/ 2013 ended 30 June 2013 within the period specified by the Capital Market Supervisory Board. 

 

56,700.00  

 

400

27/11/2013 

7/2013 

70/2013 

L.V. Technology Public Company Limited 

56 and 199 

SEC Act 

L.V. Technology Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q2/ 2013 ended 30 June 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on November 11, 2013. 

 

56,700.00  

 

401

27/11/2013 

7/2013 

69/2013 

Mrs. Apar Kewkacha 

300 

SEC Act 

Mrs. Apar Kewkacha, a director responsible for the operation of Safari World Public Company Limited (SAFARI), shall be liable for SAFARI?s failure to prepare and submit the financial statements for the six-month period ended 30 June 2013 within the period specified by the Capital Market Supervisory Board. 

 

51,600.00  

 

402

27/11/2013 

7/2013 

68/2013 

Safari World Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Safari World Public Company Limited (SAFARI), a listed company which is posted SP and NC signs by the Stock Exchange of Thailand (the SET) and has been removed its securities from the trading board and transferred to the Non-Performing Group (NPG), failed to prepare and submit the financial statements for the six-month period ended 30 June 2013 to the SEC Office and the SET within August 14, 2013. However, the financial statements were later submitted to the SET and the SEC Office on October 25, 2013. 

 

51,600.00  

 

403

27/11/2013 

7/2013 

67/2013 

Mr. Simon Morris Gerovich 

300 

SEC Act 

Mr. Simon Morris Gerovich, a director responsible for the operation of Evolution Capital Public Company Limited (E), shall be liable for E?s failure to prepare and submit the accurate annual registration statements for the year 2012 (Form 56-1, 2012) within the period specified by the Capital Market Supervisory Board. 

 

335,400.00  

 

404

27/11/2013 

7/2013 

67/2013 

Mr. Simon Morris Gerovich 

300 

SEC Act 

Mr. Simon Morris Gerovich, a director responsible for the operation of Evolution Capital Public Company Limited (E), shall be liable for E?s failure to prepare and submit the accurate financial statements for Q1/ 2013 ended March 31, 2013 within the period specified by the Capital Market Supervisory Board. 

 

184,200.00  

 

405

27/11/2013 

7/2013 

67/2013 

Mr. Simon Morris Gerovich 

300 

SEC Act 

Mr. Simon Morris Gerovich, a director responsible for the operation of Evolution Capital Public Company Limited (E), shall be liable for E?s failure to prepare and submit the accurate financial statements for the year 2012 within the period specified by the Capital Market Supervisory Board. 

 

237,000.00  

 

406

27/11/2013 

7/2013 

67/2013 

Mr. Simon Morris Gerovich 

300 

SEC Act 

Mr. Simon Morris Gerovich, a director responsible for the operation of Evolution Capital Public Company Limited (E), shall be liable for E?s failure to prepare and submit the copy of accurate annual report for the year 2012 (Form 56-2, 2012) specified by the Capital Market Supervisory Board. 

 

300,600.00  

 

407

27/11/2013 

7/2013 

66/2013 

Evolution Capital Public Company Limited 

56 and 199 

SEC Act 

Evolution Capital Public Company Limited (E), a securities issuer, prepared and submitted the inaccurate annual registration statements for the year 2012 (Form 56-1, 2012) to the SET and the SEC Office on March 29, 2013. The Form 56-1, 2012 disclosed incorrect information on the financial condition and the business operation of the company that did not comply with the Financial Reporting Standard No. 3 (Revised 2552)Business Combinations. The rectified Form 56-1, 2012 was later filed with the SEC Office and the SET on November 4, 2013. 

 

335,400.00  

 

408

27/11/2013 

7/2013 

66/2013 

Evolution Capital Public Company Limited 

56 and 199 

SEC Act 

Evolution Capital Public Company Limited (E), a securities issuer, prepared and submitted the inaccurate financial statements for Q1/ 2013 ended March 31, 2013 to the Stock Exchange of Thailand (the SET) and the SEC Office on May 15, 2013. The financial statements did not comply with the Financial Reporting Standard No. 3 (Revised 2552) Business Combinations. The rectified financial statements for Q1/ 2013 were later filed with the SET and the SEC Office on August 14, and August 15, 2013 respectively. 

 

184,200.00  

 

409

27/11/2013 

7/2013 

66/2013 

Evolution Capital Public Company Limited 

56 and 199 

SEC Act 

Evolution Capital Public Company Limited (E), a securities issuer, prepared and submitted the inaccurate financial statements for the year 2012 ended December, 2012 to the SET and the SEC Office on March 1, 2013. The financial statements did not comply with the Financial Reporting Standard No. 3 (Revised 2552) Business Combinations. The rectified financial statements for the year 2012 were later filed with the SET and the SEC Office on August 14, and August 15, 2013 respectively. 

 

237,000.00  

 

410

27/11/2013 

7/2013 

66/2013 

Evolution Capital Public Company Limited 

56 and 199 

SEC Act 

Evolution Capital Public Company Limited (E), a securities issuer, shall prepare and submit the copy of accurate annual report for the year 2012 (Form 56-2, 2012) to the SEC Office within April 30, 2013. E submitted the copy of inaccurate Form 56-2, 2012 to the SEC Office on March 21, 2013 which disclosed incorrect information on the financial condition and the business operation of the company that did not comply with the Financial Reporting Standard No. 3 (Revised 2552) Business Combinations. Later, the rectified information was filed with the SEC Office on November 4, 2013 in the annual registration statements for the year 2012 (Form 56-1, 2012). 

 

300,600.00  

 

411

27/11/2013 

7/2013 

65/2013 

Mr. Naiyuan Chi 

300 

SEC Act 

Mr. Naiyuan Chi, a director responsible for the operation of M.C.S. Steel Public Company Limited (MCS), shall be liable for MCS?s failure to prepare and submit the reviewed financial statements for Q1/ 2013 within the period specified by the Capital Market Supervisory Board. 

 

97,800.00  

 

412

27/11/2013 

7/2013 

64/2013 

M.C.S. Steel Public Company Limited 

56 and 199 

SEC Act 

M.C.S. Steel Public Company Limited (MCS), a securities issuer, failed to submit the reviewed financial statements for Q1/ 2013 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on June 3, 2013 and June 6, 2013 respectively. 

 

97,800.00  

 

413

27/11/2013 

7/2013 

63/2013 

Ms. Anyarint Keeratisakulsith 

300 

SEC Act 

Ms. Anyarint Keeratisakulsith, the Chief Executive Officer responsible for the operation of VGM Corporation Public Company Limited (VGM), shall be liable for VGM?s failure to prepare and submit the annual registration statement for the year 2012 (Form 56-1, 2012) within the period specified by the Capital Market Supervisory Board. 

 

11,400.00  

The company faced operational problem due to financial conditions. 

414

27/11/2013 

7/2013 

63/2013 

Ms. Anyarint Keeratisakulsith 

300 

SEC Act 

Ms. Anyarint Keeratisakulsith, the Chief Executive Officer responsible for the operation of VGM Corporation Public Company Limited (VGM), shall be liable for VGM?s failure to prepare and submit the audited financial statements for the year 2012 within the period specified by the Capital Market Supervisory Board. 

 

8,550.00  

The company faced operational problem due to financial conditions. 

415

27/11/2013 

7/2013 

63/2013 

Ms. Anyarint Keeratisakulsith 

300 

SEC Act 

Ms. Anyarint Keeratisakulsith, the Chief Executive Officer responsible for the operation of VGM Corporation Public Company Limited (VGM), shall be liable for VGM?s failure to prepare and submit the copy of annual report for the year 2012 (Form 56-2, 2012) to the SEC Office within the period specified by the Capital Market Supervisory Board. 

 

18,600.00  

The company faced operational problem due to financial conditions. 

416

27/11/2013 

7/2013 

63/2013 

Ms. Anyarint Keeratisakulsith 

300 

SEC Act 

Ms. Anyarint Keeratisakulsith, the Chief Executive Officer responsible for the operation of VGM Corporation Public Company Limited (VGM), shall be liable for VGM?s failure to prepare and submit the financial statements for the six-month period ended 30 June 2013 within the period specified by the Capital Market Supervisory Board. 

 

13,300.00  

The company faced operational problem due to financial conditions. 

417

27/11/2013 

7/2013 

62/2013 

VGM Corporation Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

VGM Corporation Public Company Limited (VGM), a listed company in Non Performing Group (NPG), failed to prepare and submit the audited financial statements for the year 2012 to the SEC Office and the Stock Exchange of Thailand (the SET) within April 1, 2013. However, the financial statements were later submitted to the SEC Office and the SET on June 11, 2013. 

 

8,550.00  

The company faced operational problem due to financial conditions. 

418

27/11/2013 

7/2013 

62/2013 

VGM Corporation Public Company Limited 

199 in conjunction with 56(3) 

SEC Act 

VGM Corporation Public Company Limited (VGM), a listed company in Non Performing Group (NPG), failed to prepare and submit the copy of annual report for the year 2012 (Form 56-2, 2012) to the SEC Office within April 30, 2013. 

 

18,600.00  

The company faced operational problem due to financial conditions. 

419

27/11/2013 

7/2013 

62/2013 

VGM Corporation Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

VGM Corporation Public Company Limited (VGM), a listed company in Non Performing Group (NPG), failed to prepare and submit the annual registration statement for the year 2012 (Form 56-1, 2012) to the SEC Office and the Stock Exchange of Thailand (the SET) within April 1, 2013. However, the Form 56-1, 2012 was later submitted to the SET and the SEC Office on August 7, 2013 and August 9, 2013 respectively. 

 

11,400.00  

The company faced operational problem due to financial conditions. 

420

27/11/2013 

7/2013 

62/2013 

VGM Corporation Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

VGM Corporation Public Company Limited (VGM), a listed company in Non Performing Group (NPG), failed to prepare and submit the financial statements for the six-month period ended 30 June 2013 to the SEC Office and the Stock Exchange of Thailand within August 14, 2013. 

 

13,300.00  

The company faced operational problem due to financial conditions. 

421

27/11/2013 

7/2013 

61/2013 

Mr. Sittichai Leeswadtrakul 

300 

SEC Act 

Mr. Sittichai Leeswadtrakul, the managing director responsible for the operation of Millcon Steel Public Company Limited (MILL), shall be liable for MILL?s failure to prepare and submit the annual registration statement for the year 2012 (Form 56-1, 2012) within the period specified by the Capital Market Supervisory Board. 

 

42,600.00  

 

422

27/11/2013 

7/2013 

61/2013 

Mr. Sittichai Leeswadtrakul 

300 

SEC Act 

Mr. Sittichai Leeswadtrakul, the managing director responsible for the operation of Millcon Steel Public Company Limited (MILL), shall be liable for MILL?s failure to prepare and submit the audited financial statement for the year 2012 within the period specified by the Capital Market Supervisory Board. 

 

35,100.00  

 

423

27/11/2013 

7/2013 

61/2013 

Mr. Sittichai Leeswadtrakul 

300 

SEC Act 

Mr. Sittichai Leeswadtrakul, the managing director responsible for the operation of Millcon Steel Public Company Limited (MILL), shall be liable for MILL?s failure to prepare and submit the copy of annual report for the year 2012 (Form 56-2, 2012) to the SEC Office within the period specified by the Capital Market Supervisory Board. 

 

34,800.00  

 

424

27/11/2013 

7/2013 

61/2013 

Mr. Sittichai Leeswadtrakul 

300 

SEC Act 

Mr. Sittichai Leeswadtrakul, the managing director responsible for the operation of Millcon Steel Public Company Limited (MILL), shall be liable for MILL?s failure to prepare and submit the reviewed financial statements for Q4/2012 within the period specified by the Capital Market Supervisory Board. 

 

44,400.00  

 

425

27/11/2013 

7/2013 

60/2013 

Millcon Steel Public Company Limited 

56 and 199 

SEC Act 

Millcon Steel Public Company Limited (MILL), a securities issuer, failed to prepare and submit the annual registration statement for the year 2012 (Form 56-1, 2012) to the SEC Office and the Stock Exchange of Thailand (the SET) within April 1, 2013. However, the Form 56-1, 2012 was later submitted to the SEC Office and the SET on May 13, 2013. 

 

42,600.00  

 

426

27/11/2013 

7/2013 

60/2013 

Millcon Steel Public Company Limited 

56 and 199 

SEC Act 

Millcon Steel Public Company Limited (MILL), a securities issuer, failed to prepare and submit the audited financial statements for the year 2012 to the SEC Office and the Stock Exchange of Thailand (the SET) within April 1, 2013. However, the financial statements were later submitted to the SET and the SEC Office on April 18, 2013 and April 22, 2013 respectively. 

 

52,650.00  

 

427

27/11/2013 

7/2013 

60/2013 

Millcon Steel Public Company Limited 

56 and 199 

SEC Act 

Millcon Steel Public Company Limited (MILL), a securities issuer, failed to prepare and submit the copy of annual report for the year 2012 (Form 56-2, 2012) to the SEC Office within April 30, 2013. However, the Form 56-2, 2012 was later submitted to the SEC Office on May 16, 2013. 

 

34,800.00  

 

428

27/11/2013 

7/2013 

60/2013 

Millcon Steel Public Company Limited 

56 and 199 

SEC Act 

Millcon Steel Public Company Limited (MILL), a securities issuer, failed to prepare and submit the reviewed financial statements for Q4/2012 to the SEC Office and the Stock Exchange of Thailand (the SET) within March 1, 2013. However, the audited financial statements for the year 2012 were later submitted to the SET and the SEC Office (as a substitute for the financial statements for Q4/2012) on April 18, 2013 and April 22, 2013 respectively. 

 

66,600.00  

 

429

27/11/2013 

7/2013 

59/2013 

Miss Tanyaratt Iamsopana 

300 

SEC Act 

Miss Tanyaratt Iamsopana, the managing director responsible for the operation of The Bangkok Union Insurance Public Co., Ltd (BUI) , shall be liable for BUI?s failure to prepare and submit the reviewed financial statements for Q1/2013 within the period specified by the Capital Market Supervisory Board. 

 

132,600.00  

 

430

27/11/2013 

7/2013 

58/2013 

The Bangkok Union Insurance Public Co., Ltd 

199 in conjunction with 56(1) 

SEC Act 

The Bangkok Union Insurance Public Co., Ltd (BUI), a listed company, failed to prepare and submit the financial statements for Q1/ 2013 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements for Q1/2013 were later submitted to the SET and the SEC Office on 2 July 2013 

 

132,600.00  

 

431

27/11/2013 

7/2013 

57/2013 

Mr.Pulvith Dhanasubsombul 

300 

SEC Act 

Mr. Pulvith Dhanasubsombul, the managing director responsible for the operation of The Bangkok Nylon Public Co., Ltd (BNC) , shall be liable for BNC?s failure to prepare and submit the reviewed financial statements for Q1/2013 within the period specified by the Capital Market Supervisory Board. 

 

39,000.00  

 

432

27/11/2013 

7/2013 

57/2013 

Mr.Pulvith Dhanasubsombul 

300 

SEC Act 

Mr. Pulvith Dhanasubsombul, the managing director responsible for the operation of The Bangkok Nylon Public Co., Ltd (BNC) , shall be liable for BNC?s failure to prepare and submit the reviewed financial statements for Q2/2013 within the period specified by the Capital Market Supervisory Board. 

 

40,200.00  

 

433

27/11/2013 

7/2013 

56/2013 

The Bangkok Nylon Public Co., Ltd 

199 in conjunction with 56(1) 

SEC Act 

The Bangkok Nylon Public Co., Ltd (BNC), a listed company, failed to prepare and submit the financial statements for Q1/ 2013 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements for Q1/2013 were later submitted to the SET and the SEC Office on June 14, 2013 and June 17, 2013 respectively. 

 

39,000.00  

 

434

27/11/2013 

7/2013 

56/2013 

The Bangkok Nylon Public Co., Ltd 

199 in conjunction with 56(1) 

SEC Act 

The Bangkok Nylon Public Co., Ltd (BNC), a listed company, failed to prepare and submit the financial statements for Q2/ 2013 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements for Q2/2013 were later submitted to the SET and the SEC Office on September 17, 2013 and September 18, 2013 respectively. 

 

40,200.00  

 

435

28/10/2013 

6/2013 

53/2013 

L.V. Technology Public Company Limited 

56 and 199 

SEC Act 

L.V. Technology Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q1/ 2013 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on September 2, 2013. 

 

207,000.00  

 

436

28/10/2013 

6/2013 

52/2013 

Mr. Ronasit Poomma 

300 

SEC Act 

Mr. Ronasit Poomma, a director responsible for the operation of Picni Corporation Public Company Limited (PICNI), shall be liable for PICNI?s failure to prepare and submit the financial statements for the six-month period ended 30 June 2013 within the period specified by the Capital Market Supervisory Board. 

 

58,500.00  

 

437

28/10/2013 

6/2013 

51/2013 

Picnic Corporation Public Company Limited 

56 and 199 

SEC Act 

Picnic Corporation Public Company Limited (PICNI), a securities issuer which is proceeding the rehabilitation procedure under the Bankruptcy Law and is posted SP sign by the Stock Exchange of Thailand (the SET), failed to prepare and submit the financial statements for the six-month period ended 30 June 2013 to the SEC Office and the SET within August 14, 2013. However, the financial statements were later submitted to the SET and the SEC Office on September 13, and 17, 2013 respectively. 

 

58,500.00  

 

438

28/10/2013 

6/2013 

50/2013 

Capital Engineering Network Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Capital Engineering Network Public Company Limited (CEN), a listed company, prepared and submitted the inaccurate financial statements for Q1/ 2013 ended March 31, 2013 to the Stock Exchange of Thailand (the SET) and the SEC Office on May 14, and 15, 2013 respectively. The financial statements did not comply with the Thai Accounting Standard no.27, Consolidated and Separate Financial Statements (TAS 27). The rectified financial statements for Q1/ 2013 were later filed with the SEC Office and the SET on June 19, 2013. 

 

40,500.00  

 

439

28/10/2013 

6/2013 

50/2013 

Capital Engineering Network Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

Capital Engineering Network Public Company Limited (CEN), a listed company, prepared and submitted the inaccurate financial statements for the year 2012 ended December, 2012 to the SET and the SEC Office on March 1, and 4, 2013 respectively. The financial statements did not comply with the Thai Accounting Standard no.27, Consolidated and Separate Financial Statements (TAS 27). The rectified financial statements for the year 2012 were later filed with the SEC Office and the SET on June 19, 2013. 

 

53,700.00  

 

440

28/10/2013 

6/2013 

50/2013 

Capital Engineering Network Public Company Limited 

199 in conjunction with 56(3) 

SEC Act 

Capital Engineering Network Public Company Limited (CEN), a listed company, shall prepare and submit the copy of accurate annual report for the year 2012 (Form 56-2, 2012) to the SEC Office within April 30, 2013. CEN submitted the copy of inaccurate Form 56-2, 2012 to the SEC Office on April 10, 2013 which disclosed incorrect information on the financial condition and the business operation of the company that did not comply with the Thai Accounting Standard no.27, Consolidated and Separate Financial Statements (TAS 27). Later, the rectified information was filed with the SEC Office and the SET on August 30, 2013 in the annual registration statements for the year 2012 (Form 56-1, 2012). 

 

66,600.00  

 

441

28/10/2013 

6/2013 

50/2013 

Capital Engineering Network Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Capital Engineering Network Public Company Limited (CEN), a listed company, prepared and submitted the inaccurate annual registration statements for the year 2012 (Form 56-1, 2012) to the SET and the SEC Office on March 25, and 26, 2013 respectively. The Form 56-1, 2012 disclosed incorrect information on the financial condition and the business operation of the company that did not comply with the Thai Accounting Standard no.27, Consolidated and Separate Financial Statements (TAS 27). The rectified Form 56-1, 2012 was later filed with the SEC Office and the SET on August 30, 2013. 

 

75,300.00  

 

442

28/10/2013 

6/2013 

49/2013 

Boutique Newcity Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Boutique Newcity Public Company Limited (BTNC), a listed company, prepared and submitted the inaccurate financial statements for Q3/ 2012 ended September 30, 2012 to the SEC Office and the SET on November 14, 2012. The financial statements did not comply with the Thai Accounting Standard no.27, Consolidated and Separate Financial Statements (TAS 27). The rectified financial statements for Q3/ 2012 were later filed with the SEC Office and the SET on March 1, 2013. 

 

62,100.00  

 

443

13/09/2013 

5/2013 

40/2013 

Mr. Porkuan Kittisriswai 

300 

SEC Act 

Mr. Porkuan Kittisriswai, the managing director responsible for the operation of Shun Thai Rubber Gloves Industry Public Company Limited (STHAI) , failed to supervise STHAI to prepare and submit the annual registration statement for the year 2012 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56(4). 

 

79,500.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly complies with law and regulation within the period set forth by Settlement Committee. 

444

13/09/2013 

5/2013 

40/2013 

Mr. Porkuan Kittisriswai 

300 

SEC Act 

Mr. Porkuan Kittisriswai, the managing director responsible for the operation of Shun Thai Rubber Gloves Industry Public Company Limited (STHAI) , failed to supervise STHAI to prepare and submit the annual report for the year 2012 (Form 56-2) to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56(3). 

 

70,800.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly complies with law and regulation within the period set forth by Settlement Committee. 

445

13/09/2013 

5/2013 

40/2013 

Mr. Porkuan Kittisriswai 

300 

SEC Act 

Mr. Porkuan Kittisriswai, the managing director responsible for the operation of Shun Thai Rubber Gloves Industry Public Company Limited (STHAI) , failed to supervise STHAI to prepare and submit the audited financial statements for the year 2012 ended December 31, 2012 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56(2). 

 

79,500.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly complies with law and regulation within the period set forth by Settlement Committee. 

446

13/09/2013 

5/2013 

40/2013 

Mr. Porkuan Kittisriswai 

300 

SEC Act 

Mr. Porkuan Kittisriswai, the managing director responsible for the operation of Shun Thai Rubber Gloves Industry Public Company Limited (STHAI) , failed to supervise STHAI to prepare and submit the reviewed financial statements for Q4/2012 ended December 31, 2012 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56(1). 

 

93,300.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly complies with law and regulation within the period set forth by Settlement Committee. 

447

13/09/2013 

5/2013 

39/2013 

Shun Thai Rubber Gloves Industry Public Company Limited 

56(1) 

SEC Act 

Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), a securities issuer, failed to submit the reviewed financial statements for Q4/ 2012 ended December 31, 2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

93,300.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee. 

448

13/09/2013 

5/2013 

39/2013 

Shun Thai Rubber Gloves Industry Public Company Limited 

56(2) 

SEC Act 

Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), a securities issuer, failed to submit the audited financial statements for the year 2012 ended December 31, 2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

79,500.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly complies with law and regulation within the period set forth by Settlement Committee. 

449

13/09/2013 

5/2013 

39/2013 

Shun Thai Rubber Gloves Industry Public Company Limited 

56(3) 

SEC Act 

Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), a securities issuer, failed to submit the annual report for the year 2012 (Form 56-2) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

70,800.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly complies with law and regulation within the period set forth by Settlement Committee. 

450

13/09/2013 

5/2013 

39/2013 

Shun Thai Rubber Gloves Industry Public Company Limited 

56(4) 

SEC Act 

Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), a securities issuer, failed to submit the annual registration statement for the year 2012 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

79,500.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly complies with law and regulation within the period set forth by Settlement Committee. 

451

13/09/2013 

5/2013 

38/2013 

Mr. Wichit Prayoonwiwat 

300 

SEC Act 

Mr. Wichit Prayoonwiwat, the managing director responsible for the operation of Pan Asia Footwear Public Company Limited (PAF), failed to supervise PAF to submit the reviewed financial statements for Q4/2012 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET and the SEC Office on April 2, 2013. 

 

39,600.00  

 

452

13/09/2013 

5/2013 

37/2013 

Pan Asia Footwear Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Pan Asia Footwear Public Company Limited (PAF), a listed company, failed to submit the reviewed financial statements for Q4/2012 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET and the SEC Office on April 2, 2013. 

 

59,400.00  

 

453

20/06/2013 

4/2013 

32/2013 

Mr. Ronasit Poomma 

300 

SEC Act 

Mr. Ronasit Poomma, a director responsible for the operation of Picni Corporation Public Company Limited (PICNI), shall be liable for PICNI?s failure to prepare and submit the annual registration statement for the year 2012 (Form 56-1, 2012) within the period specified by the Capital Market Supervisory Board. 

 

38,400.00  

 

454

20/06/2013 

4/2013 

32/2013 

Mr. Ronasit Poomma 

300 

SEC Act 

Mr. Ronasit Poomma, a director responsible for the operation of Picni Corporation Public Company Limited (PICNI), shall be liable for PICNI?s failure to prepare and submit the audited financial statements for the year 2012 within the period specified by the Capital Market Supervisory Board. 

 

38,400.00  

 

455

20/06/2013 

4/2013 

31/2013 

Picnic Corporation Public Company Limited 

56(2) 

SEC Act 

Picni Corporation Public Company Limited (PICNI), a securities issuer, failed to prepare and submit the audited financial statement for the year 2012 to the SEC Office and the Stock Exchange of Thailand (the SET) within April 1, 2013. However, the financial statements were later submitted to the SET and the SEC Office on April 29, 2013 and April 30, 2013 respectively. 

 

48,000.00  

 

456

20/06/2013 

4/2013 

31/2013 

Picnic Corporation Public Company Limited 

56(4) 

SEC Act 

Picni Corporation Public Company Limited (PICNI), a securities issuer, failed to prepare and submit the annual registration statement for the year 2012 (Form 56-1, 2012) to the SEC Office and the Stock Exchange of Thailand (the SET) within April 1, 2013. However, the Form 56-1, 2012 was later submitted to the SET and the SEC Office on April 29, 2013 and April 30, 2013 respectively. 

 

48,000.00  

 

457

20/06/2013 

4/2013 

30/2013 

Shun Thai Rubber Gloves Industry Public Company Limited 

56(1) 

SEC Act 

Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), a securities issuer, failed to submit the financial statements for Q3/ 2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements for Q3/2012 were later filed with the SET and the SEC Office on 15 January 2013.  

 

48,600.00  

 

458

24/04/2013 

3/2013 

19/2013 

Mr. Jitkasem Ngamnil 

300 

SEC Act 

Mr. Jikasem Ngamnil, the managing director responsible for the operation of The International Engineering Public Company Limited (IEC), failed to supervise IEC to submit the reviewed financial statements for Q2/2012 within the specified period, resulting in the company?s violation of Section 56(1). 

 

150,600.00  

 

459

24/04/2013 

3/2013 

18/2013 

The International Engineering Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

The International Engineering Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q2/2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on October 16, 2012 and the SEC Office on October 17, 2012. 

 

150,600.00  

 

460

18/03/2013 

2/2013 

17/2013 

M-Link Asia Corporation Public Company Limited 

56(4) 

SEC Act 

M-Link Asia Corporation Public Company Limited (MLINK), a securities issuer, shall prepare and submit the accurate annual registration statements for the year 2011 (Form 56-1, 2011) to the SEC Office and the Stock Exchange of Thailand (the SET) within April 2, 2012. However, MLINK submitted the inaccurate Form 56-1, 2011 to the SEC Office and the SET on March 30, 2012 and April 2, 2012 respectively. The Form 56-1, 2011 disclosed incorrect information on the financial condition and the business operation of the company since MLINK prepared the Form 56-1, 2011 based on the information in the financial statements for the year 2011 that did not comply with the generally accepted accounting standards due to the understated amount of allowance for impairment of work in construction of assets for rent. The rectified Form 56-1, 2011 was later filed with the SEC Office on February 6, 2013 and with the SET on March 6, 2013. 

 

480,600.00  

 

461

18/03/2013 

2/2013 

16/2013 

Nep Realty And Industry Public Company Limited 

56(4) 

SEC Act 

Nep Realty and Industry Public Company Limited (NEP), a securities issuer, shall prepare and submit the accurate annual registration statements for the year 2011 (Form 56-1, 2011) to the SEC Office and the Stock Exchange of Thailand (the SET) within April 2, 2012. However, NEP submitted the inaccurate Form 56-1, 2011 to the SEC Office on March 21, 2012. The Form 56-1, 2011 disclosed incorrect information on the financial condition and the business operation of the company since NEP prepared the Form 56-1, 2011 based on the information in the financial statements for the year 2011 that did not comply with the International Financial Reporting Standards No. 2 ?Share - Based Payment? due to failure to record benefits to directors and employee as expenses in the statement of comprehensive income. The rectified Form 56-1, 2011 was later filed with the SET on March 12, 2013 and with the SEC Office on March 13, 2013. 

 

133,200.00  

 

462

18/03/2013 

2/2013 

16/2013 

Nep Realty and Industry Public Company Limited 

56(2) 

SEC Act 

Nep Realty and Industry Public Company Limited (NEP), a securities issuer, shall prepare and submit the accurate financial statements for the year 2011 to the SEC Office and the Stock Exchange of Thailand (the SET) within April 2, 2012. However, NEP submitted the inaccurate financial statements for the year 2011 to the SEC Office on February 29, 2012. The financial statements did not comply with the International Financial Reporting Standards No. 2 ?Share - Based Payment? due to failure to record benefits to directors and employees as expenses in the statement of comprehensive income and to record the share-based payment reserve under shareholders? equity. The rectified financial statements were later filed with the SET on February 20, 2013 and with the SEC Office on February 22, 2013.  

 

127,200.00  

 

463

27/02/2013 

1/2013 

9/2013 

M-Link Asia Corporation Public Company Limited 

56(1) 

SEC Act 

M-Link Asia Corporation Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q3/2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on December 27, 2012.  

 

126,600.00  

 

464

27/02/2013 

1/2013 

9/2013 

M-Link Asia Corporation Public Company Limited 

56(1) 

SEC Act 

M-Link Asia Corporation Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q1/2012 to the Stock Exchange of Thailand and the SEC Office on May 15, 2012 and May 16, 2012 respectively. The financial statements did not comply with the generally accepted accounting standards. 

 

346,200.00  

 

465

27/02/2013 

1/2013 

9/2013 

M-Link Asia Corporation Public Company Limited 

56(1) 

SEC Act 

M-Link Asia Corporation Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q2/2012 to the Stock Exchange of Thailand and the SEC Office on August 14, 2012 and August 15, 2012 respectively. The financial statements did not comply with the generally accepted accounting standards. 

 

237,000.00  

 

466

27/02/2013 

1/2013 

9/2013 

M-Link Asia Corporation Public Company Limited 

56(2) 

SEC Act 

M-Link Asia Corporation Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the year 2011 to the Stock Exchange of Thailand (the SET) and the SEC Office on February 15, 2012 and February 16, 2012 respectively. The financial statements did not comply with the generally accepted accounting standards. The rectified financial statements were later filed with the SET on December 26, 2012 and with the SEC Office on December 27, 2012. 

 

396,600.00  

 

467

27/02/2013 

1/2013 

8/2013 

Mr. Kriengkrai lertsirisamphan 

300 

SEC Act 

Mr. Kriengkrai lertsirisamphan, the chairman of the executive committee (acting) and the managing director (acting) responsible for the operation of Professional Waste Technology (1999) Public Company Limited (PRO), failed to supervise PRO to prepare and submit the financial statements for Q2/2012 to the SEC Office within the specified period, resulting in the company?s violation of Section 56(1). 

 

233,550.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly complies with law and regulation within the period set forth by Settlement Committee. 

468

27/02/2013 

1/2013 

7/2013 

Professional Waste Technology (1999) Public Company Limited 

56(1) 

SEC Act 

Professional Waste Technology (1999) Public Company Limited (PRO), a securities issuer, failed to submit the financial statements for Q1/2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

301,050.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee. 

469

27/02/2013 

1/2013 

7/2013 

Professional Waste Technology (1999) Public Company Limited 

56(1) 

SEC Act 

Professional Waste Technology (1999) Public Company Limited (PRO), a securities issuer, failed to submit the financial statements for Q2/2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

233,550.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee. 

470

27/02/2013 

1/2013 

7/2013 

Professional Waste Technology (1999) Public Company Limited 

56(2) 

SEC Act 

Professional Waste Technology (1999) Public Company Limited (PRO), a securities issuer, submitted the inaccurate financial statements for the year 2011 to the SEC Office and the Stock Exchange of Thailand (the SET). The auditor?s report stated that the auditor was unable to express an opinion on the financial statements due to the limitation on auditing by the company?s executives. The financial statements were later filed with the SET and the SEC Office on 12 December 2012. 

 

231,750.00  

 

471

27/02/2013 

1/2013 

7/2013 

Professional Waste Technology (1999) Public Company Limited 

56(4) 

SEC Act 

Professional Waste Technology (1999) Public Company Limited (PRO), a securities issuer, submitted the inaccurate annual registration statement for the year 2011 (Form 56-1, 2011) to the SEC Office and the Stock Exchange of Thailand (the SET). This was because the auditor?s report stated that auditor unable to express an opinion on the financial statements due to the limitation on auditing by the company?s executives. The Form 56-1, 2011 was later filed with the SET on 18 December 2012 and the SEC Office on 19 December 2012. 

 

237,150.00  

 

472

27/02/2013 

1/2013 

6/2013 

Mill Con Steel Industries Public Company Limited 

56(1) 

SEC Act 

Mill Con Steel Industries Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q2/2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on August 27, 2012. 

 

56,625.00  

 

473

27/02/2013 

1/2013 

5/2013 

Thai Unique Coil Public Company Limited 

56(1) 

SEC Act 

Thai Unique Coil Public Company Limited (TUCC), a securities issuer, submitted the inaccurate financial statements for Q1/2012 to the SEC Office and the Stock Exchange of Thailand (the SET). The auditor?s report stated that the auditor was unable to express and did not express opinion on such financial statements indicating that the records of allowances for possible losses on collection of short-term loan to subsidiary and trade accounts receivables were inadequate and not in compliance with the generally accepted accounting standards. The financial statements for Q1/2012 were later filed with the SET and the SEC Office on 3 July, 2012.  

 

66,900.00  

 

474

27/02/2013 

1/2013 

4/2013 

Mr. Wichit Prayoonwiwat 

300 

SEC Act 

Mr. Wichit Prayoonwiwat, the managing director responsible for the operation of Pan Asia Footwear Public Company Limited (PAF), failed to supervise PAF to prepare and submit the financial statements for Q2/2012 to the SEC Office within the specified period. The financial statements for Q2/2012 were later filed with the SET on August 21, 2012 and the SEC Office on August 22, 2012, resulting in the company?s violation of Section 56(1). 

 

62,550.00  

 

475

27/02/2013 

1/2013 

3/2013 

Pan Asia Footwear Public Company Limited  

199 in conjunction with 56(1) 

SEC Act 

Pan Asia Footwear Public Company Limited (PAF), a listed company, failed to submit the financial statements for Q2/2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements for Q2/ 2012 were later filed with the SET on August 21, 2012 and the SEC Office on August 22, 2012. 

 

62,550.00  

 

476

27/02/2013 

1/2013 

3/2013 

Pan Asia Footwear Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Pan Asia Footwear Public Company Limited (PAF), a listed company, failed to submit the financial statements for Q1/2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements for Q1/2012 were later filed with the SET on August 21, 2012 and the SEC Office on August 22, 2012. 

 

144,450.00  

 

477

27/02/2013 

1/2013 

2/2013 

Mr. Donald Ian Mcbain 

300 

SEC Act 

Mr. Donald Ian Mcbain, responsible for the operation of K-TECH Construction Public Company Limited (KTECH), failed to supervise KTECH to prepare and submit the reviewed financial statements for the six-month period ended June 30, 2012 to the SEC Office within the specified period, resulting in the company?s violation of section 56.  

 

53,550.00  

 

478

27/02/2013 

1/2013 

1/2013 

K-TECH Construction Public Company Limited 

56(4) 

SEC Act 

K-TECH Construction Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the six-month period ended June 30, 2012 to the SEC Office and the Stock Exchange of Thailand. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements were later filed on September 27, 2012. 

 

53,550.00  

 

479

19/12/2012 

7/2012 

51/2012 

Mr. Prin Chirathivat 

59 in conjunction with 199 

SEC Act 

Between December 19, 2011 and August 6, 2012, Mr. Prin Chirathivat, the director of Robinson Department Store Public Company Limited (ROBINS), failed to prepare and disclose report on changes in his holding of ROBINS securities to the SEC Office within the period specified in the notification. 

 

207,250.00  

 

480

19/12/2012 

7/2012 

51/2012 

Mr. Prin Chirathivat 

59 

SEC Act 

Between March 19, 2012 and August 6, 2012, Mr. Prin Chirathivat, the director of Central Pattana Public Company Limited (CPN), failed to prepare and disclose report on changes in his holding of CPN securities to the SEC Office within the period specified in the notification. 

 

140,500.00  

 

481

04/12/2012 

6/2012 

48/2012 

Tongkah Harbour Public Company Limited 

58(3) 

SEC Act 

Tongkah Harbour Public Company Limited (THL) failed to submit the special audit to the SEC Office and the Stock Exchange of Thailand within the period specified in The SEC ordered. On November 9, 2011, The SEC ordered THL to arrange a special audit with regard to the company?s internal control, appropriateness of connected transactions and asset management, conducted by an SEC-approved auditor working for one of the big four audit firms. The suspicious grounds for such audit are: (1) the placement of THL assets as collateral for stay of legal execution against related company, (2) high-interest rate loan agreement with related company, (3) other transactions with related company, (4) THL asset management, and (5) THL internal control. According to the order of The SEC, THL must submit the report of the special audit to the SEC within December 9, 2011 and disseminate it to the public via the Stock Exchange of Thailand (SET)?s electronic system. However, The special audit was later filed with the SET on October 30, 2012 and with the SEC on November 1, 2012. 

 

49,120.00  

 

482

16/10/2012 

5/2012 

39/2012 

Mr. Jitkasem Ngamnil 

300 

SEC Act 

Mr. Jikasem Ngamnil, the managing director responsible for the operation of The International Engineering Public Company Limited (IEC), a listed company, failed to submit the reviewed financial statements for Q1/2012 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on June 29, 2012 and the SEC Office on July 2, 2012. 

 

129,000.00  

 

483

16/10/2012 

5/2012 

38/2012 

The International Engineering Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

The International Engineering Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q1/2012 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on June 29, 2012 and the SEC Office on July 2, 2012. 

 

129,000.00  

 

484

16/10/2012 

5/2012 

37/2012 

Thai Mitsuwa Public Company Limited 

56(1) 

SEC Act 

Thai Mitsuwa Public Company Limited, a securities company, failed to submit the reviewed financial statements for Q4/2011 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on June 29, 2012 and the SEC Office on July 2, 2012. 

 

111,000.00  

 

485

16/10/2012 

5/2012 

36/2012 

Abico Holdings Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

Abico Holdings Public Company Limited, a listed company, submitted the inaccurate financial statements for the year 2011 to the SEC Office and the Stock Exchange of Thailand (the SET). The audit report stated that auditor gave adverse opinion on the financial statements due to the limitation on examination by the company?s executives. The financial statements were later filed with the SET and the SEC Office on May 23, 2012. 

 

47,250.00  

 

486

16/10/2012 

5/2012 

36/2012 

Abico Holdings Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Abico Holdings Public Company Limited, a securities issuer, submitted the inaccurate annual registration statement for the year 2011 (Form 56-1, 2011) to the SEC Office and the Stock Exchange of Thailand (the SET). The audit report stated that auditor gave adverse opinion on the financial statements for the year 2011 due to the limitation on examination by the company?s executives. The Form 56-1, 2011 was later filed with the SET and the SEC Office on May 23, 2012. 

 

47,250.00  

 

487

16/10/2012 

5/2012 

35/2012 

Mr. Thaveesak Vayakornvichitr 

300 

SEC Act 

Mr. Thaveesak Vavakornvichitr, the chairman and executive chairman responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the annual registration statement for the year 2011 (Form 56-1, 2011) to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company's violation of section 56(4). 

 

122,400.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee. 

488

16/10/2012 

5/2012 

35/2012 

Mr. Thaveesak Vayakornvichitr 

300 

SEC Act 

Mr. Thaveesak Vavakornvichitr, the chairman and executive chairman responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the audited financial statements for the year 2011 ended December 31, 2011 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company's violation of section 56(2). 

 

130,560.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee. 

489

16/10/2012 

5/2012 

34/2012 

Sun Wood Industries Public Company Limited 

56(2) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the audited financial statements for the year 2011 ended December 31, 2011 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

130,560.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee. 

490

16/10/2012 

5/2012 

34/2012 

Sun Wood Industries Public Company Limited 

56(4) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the the annual registration statement for the year 2011 (Form 56-1, 2011) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

122,400.00  

The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly complies with laws and regulations within the period set forth by the Settlement Committee. 

491

16/10/2012 

5/2012 

33/2012 

Bliss-Tel Public Company Limited 

56(1) 

SEC Act 

Bliss-tel Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/2011 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on March 27, 2012 and the SEC Office on March 28, 2012. 

 

120,825.00  

 

492

20/08/2012 

4/2012 

27/2012 

General Engineering Public Company Limited 

56(2) 

SEC Act 

General Engineering Public Company Limited (GEN), a securities issuer, submitted the inaccurate financial statements for the year 2011 to the SEC Office and the Stock Exchange of Thailand. That is, the audit report stating that auditor gave adverse opinion on the financial statement due to the limitation on examination by the company?s executives regarding the company?s misuse of proceeds received from increase of capital by investing in common shares and warrants of P Plus P Plc. The proceeds used to invest in the securities also exceeded the amount approved by GEN executive board, causing the company to suffer a 265 million baht loss. Serious weakness in GEN?s internal control relating to the securities investment exceeding the approved amount was also detected by the auditor causing the auditor unable to verify the correctness and completeness of the investment transaction. The company provided the report of internal audit control in securities cycle completed by the auditor and clarified information against this report on April 26, 2012. 

 

143,400.00  

 

493

20/08/2012 

4/2012 

26/2012 

The International Engineering Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

The International Engineering Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q4/2011 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with The SEC Office and the SET on March 27, 2012  

 

107,400.00  

 

494

20/08/2012 

4/2012 

25/2012 

Pan Asia Footwear Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Pan Asia Footwear Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q3/2011 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on May 4, 2011 and the SEC Office on May 8, 2011.  

 

81,900.00  

 

495

20/08/2012 

4/2012 

25/2012 

Pan Asia Footwear Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Pan Asia Footwear Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q4/2011 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on May 4, 2011 and the SEC Office on May 10, 2011.  

 

49,500.00  

 

496

20/08/2012 

4/2012 

25/2012 

Pan Asia Footwear Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

Pan Asia Footwear Public Company Limited, a listed company, failed to submit the financial statements for the year 2011 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on May 4, 2011 and the SEC Office on May 10, 2011.  

 

48,000.00  

 

497

16/03/2012 

3/2012 

22/2012 

Mr. Manhop Maneekajornwong 

300 

SEC Act 

Mr. Manhop Maneekajornwong, the managing director responsible for the operation of Bliss-Tel Public Company Limited (BLISS), failed to supervise BLISS to prepare and submit the reviewed financial statements for Q2/ 2011to the SEC Office within the specified period, resulting in the company?s violation of section 56(1). 

 

220,950.00  

 

498

16/03/2012 

3/2012 

21/2012 

Bliss-Tel Public Company Limited 

56(1) 

SEC Act 

Bliss-Tel Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q2/ 2011 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on February 14, 2012 and with the SEC Office on February 15, 2012.  

 

220,950.00  

 

499

16/03/2012 

3/2012 

21/2012 

Bliss-Tel Public Company Limited 

56(1) 

SEC Act 

Bliss-Tel Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q3/ 2011 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

176,850.00  

 

500

16/03/2012 

3/2012 

21/2012 

Bliss-Tel Public Company Limited 

56(2) 

SEC Act 

Bliss-Tel Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand. That is, the auditor was unable to express an opinion on the financial statements because the scope of auditing was limited by the management of Bliss-Tel Public Company Limited.  

 

385,650.00  

 

501

16/03/2012 

3/2012 

20/2012 

P Plus P Public Company Limited 

56(1) 

SEC Act 

P Plus P Public Company Limited (PLUS) a securities issuer submitted the inaccurate financial statements for Q3/ 2011 to the SEC Office and the Stock Exchange of Thailand (the SET). That is the information disclosure of the financial statements did not comply with the International Accounting Standard No. 27 ?Consolidated and Separate Financial Statements?. The rectified financial statements were later filed with the SET on January 30 2012 and with the SEC Office on February 1 2012. 

 

167,400.00  

 

502

16/03/2012 

3/2012 

19/2012 

Mr. NG WAI CHOI 

300 

SEC Act 

Mr. NG WAI CHOI, the managing director responsible for the operation of Tongkah Harbour Public Company Limited (THL), failed to supervise THL to prepare and submit the accurate financial statements for Q1/ 2011 to the SEC Office within the specified period, resulting in the company?s violation of section 56. 

 

259,650.00  

 

503

16/03/2012 

3/2012 

19/2012 

Mr. NG WAI CHOI 

300 

SEC Act 

Mr. NG WAI CHOI, the managing director responsible for the operation of Tongkah Harbour Public Company Limited (THL), failed to supervise THL to prepare and submit the reviewed financial statements for Q2/ 2011 to the SEC Office within the specified period, resulting in the company?s violation of section 56. 

 

179,550.00  

 

504

16/03/2012 

3/2012 

19/2012 

Mr. NG WAI CHOI 

300 

SEC Act 

Mr. NG WAI CHOI, the managing director responsible for the operation of Tongkah Harbour Public Company Limited (THL), failed to supervise THL to prepare and submit the reviewed financial statements for Q3/ 2011 to the SEC Office within the specified period, resulting in the company?s violation of section 56. 

 

97,650.00  

 

505

16/03/2012 

3/2012 

18/2012 

Tongkah Harbour Public Company Limited 

56(1) 

SEC Act 

Tongkah Harbour Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q2/ 2011 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on December 30, 2011. 

 

179,550.00  

 

506

16/03/2012 

3/2012 

18/2012 

Tongkah Harbour Public Company Limited 

56(1) 

SEC Act 

Tongkah Harbour Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q3/ 2011 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on December 30, 2011. 

 

97,650.00  

 

507

16/03/2012 

3/2012 

18/2012 

Tongkah Harbour Public Company Limited 

56(1) 

SEC Act 

Tongkah Harbour Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q1/ 2011 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard. The rectified financial statements were later filed on December 30, 2011. 

 

259,650.00  

 

508

16/02/2012 

2/2012 

16/2012 

Krisdamahanakorn Public Company Limited 

56(1) 

SEC Act 

Krisdamahanakorn Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q1/ 2011 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard No. 16 ?Property, Plant and Equipment? and the International Accounting Standard No. 18 ?Revenue?. The rectified financial statements were later filed on August 31, 2011. 

 

57,300.00  

 

509

16/02/2012 

2/2012 

16/2012 

Krisdamahanakorn Public Company Limited 

56(2) 

SEC Act 

Krisdamahanakorn Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard No. 16 ?Property, Plant and Equipment? and the International Accounting Standard No. 18 ?Revenue?. The rectified financial statements were later filed on August 31, 2011. 

 

81,000.00  

 

510

16/02/2012 

2/2012 

15/2012 

Mr. Thaveesak Vayakornvichitr 

300 

SEC Act 

Mr. Thaveesak Vavakornvichitr, the chairman and executive chairman responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the accurate financial statements for the six-month period ended June 30, 2011 to the SEC Office and the Stock Exchange of Thailand (the SET) within the specified period, resulting in the company's violation of section 56(4). 

 

127,200.00  

 

511

16/02/2012 

2/2012 

14/2012 

Sun Wood Industries Public Company Limited 

56(4) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the financial statements for the six-month periond ended June 30, 2011 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of The Capital Market Supervisory Board. 

 

127,200.00  

 

512

16/02/2012 

2/2012 

13/2012 

Mrs. Churairat Bonython 

300 

SEC Act 

Mrs. Churairat Bonython, the chairman and the executive chairman responsible for the operation of Scan Global Public Company Limited (SCAN), failed to supervise SCAN to prepare and submit the accurate financial statements for the year 2010 to the SEC Office within the specified period, resulting in the company?s violation of section 56(2). 

 

290,250.00  

 

513

16/02/2012 

2/2012 

13/2012 

Mrs. Churairat Bonython 

300 

SEC Act 

Mrs. Churairat Bonython, the chairman and the executive chairman responsible for the operation of Scan Global Public Company Limited (SCAN), failed to supervise SCAN to prepare and submit the annual registration statements for the year 2010 (Form 56-1, 2010) to the SEC Office within the specified period, resulting in the company?s violation of section 56(4). 

 

324,450.00  

 

514

16/02/2012 

2/2012 

13/2012 

Mrs. Churairat Bonython 

300 

SEC Act 

Mrs. Churairat Bonython, the chairman and the executive chairman responsible for the operation of Scan Global Public Company Limited (SCAN), failed to supervise SCAN to prepare and submit the annual report for the year 2010 (Form 56-2, 2010) to the SEC Office within the specified period, resulting in the company?s violation of section 56(3). 

 

285,750.00  

 

515

16/02/2012 

2/2012 

13/2012 

Mrs. Churairat Bonython 

300 

SEC Act 

Mrs. Churairat Bonython, the chairman and the executive chairman responsible for the operation of Scan Global Public Company Limited (SCAN), failed to supervise SCAN to prepare and submit the reviewed financial statements for Q1/ 2011 to the SEC Office within the specified period, resulting in the company?s violation of section 56(1).  

 

302,850.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly comply with law and regulation within the period set forth by Settlement Committee. 

516

16/02/2012 

2/2012 

12/2012 

Scan Global Public Company Limited 

56(1) 

SEC Act 

Scan Global Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q1/ 2011 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board.  

 

302,850.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly comply with law and regulation within the period set forth by Settlement Committee. 

517

16/02/2012 

2/2012 

12/2012 

Scan Global Public Company Limited 

56(1) 

SEC Act 

Scan Global Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2010 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SEC Office and the SET on December 16, 2011. 

 

475,875.00  

 

518

16/02/2012 

2/2012 

12/2012 

Scan Global Public Company Limited 

56(2) 

SEC Act 

Scan Global Public Company Limited, a securities issuer, failed to submit the financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SEC Office and the SET on December 16, 2011.  

 

435,375.00  

 

519

16/02/2012 

2/2012 

12/2012 

Scan Global Public Company Limited 

56(3) 

SEC Act 

Scan Global Public Company Limited, a securities issuer, failed to submit the annual report for the year 2010 (Form 56-2, 2010) to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. The annual report was later filed with the SEC Office on January 3, 2012. 

 

285,750.00  

 

520

16/02/2012 

2/2012 

12/2012 

Scan Global Public Company Limited 

56(4) 

SEC Act 

Scan Global Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2010 (Form 56-1, 2010) to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement were later filed with the SEC Office on January 13, 2012 and with the SET on January 23, 2012. 

 

324,450.00  

 

521

16/02/2012 

2/2012 

11/2012 

Mr. Krit Sutjaritkun 

300 

SEC Act 

Mr. Krit Sutjaritkun, the managing director responsible for the operation of SMC Power Public Company Limited (SMC), failed to supervise SMC to prepare and submit the annual registration statements for the year 2010 (Form 56-1, 2010) to the SEC Office within the specified period, resulting in the company?s violation of section 199 & Section 56(4). 

 

324,450.00  

 

522

16/02/2012 

2/2012 

11/2012 

Mr. Krit Sutjaritkun 

300 

SEC Act 

Mr. Krit Sutjaritkun, the managing director responsible for the operation of SMC Power Public Company Limited (SMC), failed to supervise SMC to prepare and submit the financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 199 & Section 56(2). 

 

292,950.00  

 

523

16/02/2012 

2/2012 

11/2012 

Mr. Krit Sutjaritkun 

300 

SEC Act 

Mr. Krit Sutjaritkun, the managing director responsible for the operation of SMC Power Public Company Limited (SMC), failed to supervise SMC to prepare and submit the reviewed financial statements for Q1/ 2011 to the SEC Office within the specified period, resulting in the company?s violation of section 199 & Section 56(1). 

 

302,850.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly comply with law and regulation within the period set forth by Settlement Committee. 

524

16/02/2012 

2/2012 

11/2012 

Mr. Krit Sutjaritkun 

300 

SEC Act 

Mr. Krit Sutjaritkun, the managing director responsible for the operation of SMC Power Public Company Limited (SMC), failed to supervise SMC to prepare and submit the annual report for the year 2010 (Form 56-2, 2010) to the SEC Office within the specified period, resulting in the company?s violation of section 199 & Section 56(3). 

 

301,050.00  

 

525

16/02/2012 

2/2012 

10/2012 

SMC Power Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

SMC Power Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q1/ 2011 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board.  

 

378,562.50  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly comply with law and regulation within the period set forth by Settlement Committee. 

526

16/02/2012 

2/2012 

10/2012 

SMC Power Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

SMC Power Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q4/ 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SEC Office and the SET on December 19, 2011.  

 

479,925.00  

 

527

16/02/2012 

2/2012 

10/2012 

SMC Power Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

SMC Power Public Company Limited, a listed company, failed to submit the financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SEC Office and the SET on December 19, 2011. 

 

439,425.00  

 

528

16/02/2012 

2/2012 

10/2012 

SMC Power Public Company Limited 

199 in conjunction with 56(3) 

SEC Act 

SMC Power Public Company Limited, a listed company, failed to submit the annual report for the year 2010 (Form 56-2, 2010) to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. The annual report was later filed with the SEC Office on January 30, 2012. 

 

301,050.00  

 

529

16/02/2012 

2/2012 

10/2012 

SMC Power Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

SMC Power Public Company Limited, a listed company, failed to submit the annual registration statement for the year 2010 (Form 56-1, 2010) to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement was later filed with the SEC Office on January 20, 2012 and with the SET on January 23, 2012. 

 

324,450.00  

 

530

16/02/2012 

2/2012 

9/2012 

Siamgas and Petrochemicals Public Company Limited 

56(1) 

SEC Act 

Siamgas and Petrochemicals Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q1/ 2011 to the SEC Office and the Stock Exchange of Thailand. The rectified financial statements were later filed on 15 November 2011. 

 

86,100.00  

 

531

16/02/2012 

2/2012 

9/2012 

Siamgas and Petrochemicals Public Company Limited 

56(2) 

SEC Act 

Siamgas and Petrochemicals Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand. The rectified financial statements were later filed on 15 November 2011 

 

108,000.00  

 

532

16/02/2012 

2/2012 

8/2012 

Mr. Palits Phanpanit 

300 

SEC Act 

Mr. Palits Phanpanit, the managing director responsible for the operation of Yarnapund Public Company Limited (YNP), failed to supervise YNP to prepare and submit the reviewed financial statements for Q2/ 2011 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56. 

 

297,000.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly comply with law and regulation within the period set forth by Settlement Committee. 

533

16/02/2012 

2/2012 

7/2012 

Yarnapund Public Company Limited 

56(1) 

SEC Act 

Yarnapund Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q2/ 2011 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

371,250.00  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly comply with law and regulation within the period set forth by Settlement Committee. 

534

16/02/2012 

2/2012 

6/2012 

Mr. Donald Ian Mcbain 

300 

SEC Act 

Mr. Donald Ian Mcbain, responsible for the operation of K-TECH Construction Public Company Limited (KTECH), failed to supervise KTECH to prepare and submit the reviewed financial statements for the six-month period ended June 30, 2011 to the SEC Office within the specified period, resulting in the company?s violation of section 56. 

 

103,500.00  

 

535

16/02/2012 

2/2012 

5/2012 

Mr. Porntat Amatavivadhana 

300 

SEC Act 

Mr. Porntat Amatavivadhana, responsible for the operation of K-TECH Construction Public Company Limited (KTECH), failed to supervise KTECH to prepare and submit the reviewed financial statements for the six-month period ended June 30, 2011 to the SEC Office within the specified period, resulting in the company?s violation of section 56. 

 

103,500.00  

 

536

16/02/2012 

2/2012 

4/2012 

K-TECH Construction Public Company Limited 

56(4) 

SEC Act 

K-TECH Construction Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the six-month period ended June 30, 2011 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements were later filed on January 17, 2012. 

 

103,500.00  

 

537

05/01/2012 

1/2012 

3/2012 

Tongkah Harbour Public Company Limited 

56(1) 

SEC Act 

Tongkah Harbour Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2010 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on on June 10, 2011. 

 

147,150.00  

 

538

05/01/2012 

1/2012 

3/2012 

Tongkah Harbour Public Company Limited 

56(2) 

SEC Act 

Tongkah Harbour Public Company Limited, a securities issuer, submitted the inaccurate audited financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard. The rectified financial statements were later filed on November 29, 2011. 

 

274,950.00  

 

539

05/01/2012 

1/2012 

3/2012 

Tongkah Harbour Public Company Limited 

56(3) 

SEC Act 

Tongkah Harbour Public Company Limited, a securities issuer, failed to submit the annual report for the year 2010 (Form 56-2, 2010) to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. The annual report was later filed on January 9, 2012. 

 

283,950.00  

 

540

05/01/2012 

1/2012 

3/2012 

Tongkah Harbour Public Company Limited 

56(4) 

SEC Act 

Tongkah Harbour Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2010 (Form 56-1, 2010) to the SEC Office and the Stock Exchange of Thailand (SET) within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement was later filed on January 9, 2012. 

 

311,850.00  

 

541

24/11/2011 

7/2011 

75/2011 

G J Steel Public Company Limited 

56(1) 

SEC Act 

G J Steel Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on March 7, 2011 and with the SEC Office on March 8, 2011. 

 

63,375.00  

 

542

24/11/2011 

7/2011 

74/2011 

G Steel Public Company Limited 

56(1) 

SEC Act 

G Steel Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on March 7, 2011 and with the SEC Office on March 8, 2011. 

 

63,375.00  

 

543

24/11/2011 

7/2011 

73/2011 

Bliss-Tel Public Company Limited 

56(1) 

SEC Act 

Bliss-Tel Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q1/ 2011 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. 

 

142,375.00  

 

544

24/11/2011 

7/2011 

72/2011 

Chuo Senko (Thailand) Public Company Limited 

56(2) 

SEC Act 

Chuo Senko (Thailand) Public Company Limited (CHUO), a securities issuer, submitted the inaccurate financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand (the SET). That is, the auditor was unable to express an opinion on the financial statements because the scope of auditing was limited by the management of CHUO. The rectified financial statements were later filed with the SET on April 1, 2011 and with the SEC Office on April 4, 2011. 

 

51,625.00  

 

545

24/11/2011 

7/2011 

71/2011 

Mr. Thaveesak Vavakornvichitr  

300 in conjunction with 56(4) 

SEC Act 

Mr. Thaveesak Vavakornvichitr, the chairman and the executive chairman responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the accurate annual registration statement for the year 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the specified period, resulting in the company's violation of section 56(4). 

 

27,050.00  

 

546

24/11/2011 

7/2011 

71/2011 

Mr. Thaveesak Vavakornvichitr 

300 in conjunction with 56(2) 

SEC Act 

Mr. Thaveesak Vavakornvichitr, the chairman and the executive chairman responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the accurate financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the specified period, resulting in the company's violation of section 56(2). 

 

34,624.00  

 

547

24/11/2011 

7/2011 

70/2011 

Sun Wood Industries Public Company Limited 

56(2) 

SEC Act 

Sun Wood Industries Public Company Limited, a listed company, failed to submit the audited financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of The Capital Market Supervisory Board. The financial statements were later filed with the SET on July 6, 2011 and with the SEC Office on July 7, 2011. 

 

34,624.00  

 

548

24/11/2011 

7/2011 

70/2011 

Sun Wood Industries Public Company Limited 

56(4) 

SEC Act 

Sun Wood Industries Public Company Limited, a listed company, failed to submit the annual registration statement for the year 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of The Capital Market Supervisory Board. The annual registration statement was later filed within the SET on July 6, 2011 and with the SEC Office on July 7, 2011 

 

27,050.00  

 

549

15/08/2011 

6/2011 

61/2011 

Mr.Ongart Thumrongsakunvong 

59 

SEC Act 

Between August 16, 2010 and January 7, 2011, Mr.Ongart Thumrongsakunvong, the cheif executive director of Interhides Public Company Limited (IHL), failed to prepare and disclose report on changes in his holding of IHL securities to the SEC Office within the period specified in the notification. 

 

988,181.25  

 

550

15/08/2011 

6/2011 

60/2011 

TT&T Public Company Limited 

56(1) 

SEC Act 

TT&T Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2010 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on April 8, 2011 and the SEC Office on April 12, 2011. 

 

54,250.00  

 

551

15/08/2011 

6/2011 

60/2011 

TT&T Public Company Limited 

56(2) 

SEC Act 

TT&T Public Company Limited, a securities issuer, failed to submit the financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on April 8, 2011 and the SEC Office on April 12, 2011. 

 

43,000.00  

 

552

15/08/2011 

6/2011 

60/2011 

TT&T Public Company Limited 

56(4) 

SEC Act 

TT&T Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2010 (Form 56-1, 2010) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement was later filed with the SEC Office on May 26, 2011 and the SET on May 31, 2011.. 

 

62,875.00  

 

553

30/06/2011 

5/2011 

57/2011 

Mill Con Steel Industries Public Company Limited 

56(1) 

SEC Act 

Mill Con Steel Industries Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q2/ 2010 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard No. 27 ?Consolidated and Separate Financial Statements?. The rectified financial statements were later filed on March 10, 2011. 

 

35,440.00  

 

554

30/06/2011 

5/2011 

57/2011 

Mill Con Steel Industries Public Company Limited 

56(1) 

SEC Act 

Mill Con Steel Industries Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q3/ 2010 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard No. 27 ?Consolidated and Separate Financial Statements?. The rectified financial statements were later filed on March 10, 2011. 

 

23,920.00  

 

555

30/06/2011 

5/2011 

56/2011 

Thai-German Products Public Company Limited 

56(1) 

SEC Act 

Thai-German Products Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q1/ 2011 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on May 23, 2011 and the SEC Office on May 24, 2011.  

 

41,875.00  

 

556

30/06/2011 

5/2011 

56/2011 

Thai-German Products Public Company Limited 

56(1) 

SEC Act 

Thai-German Products Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2010 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on May 23, 2011 and the SEC Office on May 24, 2011.  

 

71,125.00  

 

557

30/06/2011 

5/2011 

56/2011 

Thai-German Products Public Company Limited 

56(2) 

SEC Act 

Thai-German Products Public Company Limited, a securities issuer, failed to submit the financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on May 23, 2011 and the SEC Office on May 24, 2011.  

 

59,875.00  

 

558

30/06/2011 

5/2011 

56/2011 

Thai-German Products Public Company Limited 

56(4) 

SEC Act 

Thai-German Products Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2010 (Form 56-1, 2010) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement were later filed with the SET on May 23, 2011 and the SEC Office on May 24, 2011.  

 

59,875.00  

 

559

30/06/2011 

5/2011 

55/2011 

Mrs. Oravan Panitkulwat 

300 in conjunction with 56(1) 

SEC Act 

Mrs. Oravan Panitkulwat, the managing director responsible for the operation of Nippon Pack (Thailand) Public Company Limited (NIPPON), failed to supervise NIPPON to prepare and submit the reviewed financial statements for Q2/ 2010 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56. 

 

129,625.00  

 

560

30/06/2011 

5/2011 

55/2011 

Mrs. Oravan Panitkulwat 

300 in conjunction with 56(1) 

SEC Act 

Mrs. Oravan Panitkulwat, the managing director responsible for the operation of Nippon Pack (Thailand) Public Company Limited (NIPPON), failed to supervise NIPPON to prepare and submit the reviewed financial statements for Q3/ 2010 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56. 

 

95,500.00  

 

561

30/06/2011 

5/2011 

55/2011 

Mrs. Oravan Panitkulwat 

300 in conjunction with 56(1) 

SEC Act 

Mrs. Oravan Panitkulwat, the managing director responsible for the operation of Nippon Pack (Thailand) Public Company Limited (NIPPON), failed to supervise NIPPON to prepare and submit the reviewed financial statements for Q4/ 2010 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56. 

 

55,750.00  

 

562

30/06/2011 

5/2011 

55/2011 

Mrs. Oravan Panitkulwat 

300 in conjunction with 56(2) 

SEC Act 

Mrs. Oravan Panitkulwat, the managing director responsible for the operation of Nippon Pack (Thailand) Public Company Limited (NIPPON), failed to supervise NIPPON to prepare and submit the audited financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56. 

 

44,500.00  

 

563

30/06/2011 

5/2011 

55/2011 

Mrs. Oravan Panitkulwat 

300 in conjunction with 56(4) 

SEC Act 

Mrs. Oravan Panitkulwat, the managing director responsible for the operation of Nippon Pack (Thailand) Public Company Limited (NIPPON), failed to supervise NIPPON to prepare and submit the annual registration statement for the year 2010 (Form 56-1, 2010) to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56. 

 

42,625.00  

 

564

30/06/2011 

5/2011 

54/2011 

Nippon Pack (Thailand) Public Company Limited 

56(1) 

SEC Act 

Nippon Pack (Thailand) Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q2/ 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on April 12, 2011 and with the SEC Office on April 27, 2011. 

 

129,625.00  

 

565

30/06/2011 

5/2011 

54/2011 

Nippon Pack (Thailand) Public Company Limited 

56(1) 

SEC Act 

Nippon Pack (Thailand) Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q3/ 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on April 12, 2011 and with the SEC Office on April 27, 2011. 

 

95,500.00  

 

566

30/06/2011 

5/2011 

54/2011 

Nippon Pack (Thailand) Public Company Limited 

56(1) 

SEC Act 

Nippon Pack (Thailand) Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on April 12, 2011 and with the SEC Office on April 27, 2011. 

 

83,625.00  

 

567

30/06/2011 

5/2011 

54/2011 

Nippon Pack (Thailand) Public Company Limited 

56(2) 

SEC Act 

Nippon Pack (Thailand) Public Company Limited, a securities issuer, failed to submit the audited financial statements for the year 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on April 12, 2011 and with the SEC Office on April 27, 2011. 

 

66,750.00  

 

568

30/06/2011 

5/2011 

54/2011 

Nippon Pack (Thailand) Public Company Limited 

56(4) 

SEC Act 

Nippon Pack (Thailand) Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2010 (Form 56-1, 2010) to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement was later filed with the SET on April 7, 2010 and with the SEC Office on April 27, 2010. 

 

63,937.50  

 

569

30/06/2011 

5/2011 

53/2011 

Scan Global Public Company Limited 

56(1) 

SEC Act 

Scan Global Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q3/ 2010 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board.  

 

187,687.50  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly comply with law and regulation within the period set forth by Settlement Committee. 

570

30/06/2011 

5/2011 

52/2011 

SMC POWER Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

SMC Power Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q3/ 2010 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board.  

 

187,687.50  

The amount of fines does not include daily fines starting from the day following settlement date to the day the company properly comply with law and regulation within the period set forth by Settlement Committee. 

571

26/05/2011 

4/2011 

42/2011 

Mr. Pattanapong Tanumathaya 

300 in conjunction with 56(1) 

SEC Act 

Mr. Pattanapong Tanumathaya, the chief executive officer and director responsible for the operation of Ascon Construction Public Company Limited (ASCON), failed to supervise ASCON to prepare and submit the reviewed financial statements for Q3/ 2010 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56. 

 

95,125.00  

 

572

26/05/2011 

4/2011 

41/2011 

Ascon Construction Public Company Limited 

56(1) 

SEC Act 

Ascon Construction Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q3/ 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on April 11, 2011 and with the SEC Office on April 12, 2011. 

 

142,687.50  

 

573

26/05/2011 

4/2011 

40/2011 

Circuit Electronic Industries Public Company Limited 

56(4) 

SEC Act 

Circuit Electronic Industries Public Company Limited, a securities issuer, failed to submit financial statements for the six-month period ended June 30, 2010 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on December 8, 2010. 

 

83,125.00  

 

574

24/03/2011 

3/2011 

30/2011 

United Securities Public Company Limited 

65 

SEC Act 

Between 2 March 2010 and 29 July 2010, United Securities Public Company Limited, a listed company, offer for sale to the public short-term bill of exchange of which the registration statement and the draft prospectus had not been filed with the SEC Office. 

 

500,000.00  

 

575

24/03/2011 

3/2011 

29/2011 

Thai Central Chemical Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Thai Central Chemical Public Company Limited, a listed company, submitted the inaccurate annual registration statement for the year 2009 (Form 56-1, 2009) to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the annual registration statement did not comply with the notification of the Capital Market Supervisory Board. The rectified annual registration statement was later filed on March 24, 2011. 

 

174,250.00  

 

576

24/03/2011 

3/2011 

28/2011 

Ascon Construction Public Company Limited 

56(1) 

SEC Act 

Ascon Construction Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q2/ 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on September 10, 2010. 

 

74,062.50  

 

577

24/03/2011 

3/2011 

27/2011 

Mr. Chyut Tititrongpop 

300 in conjunction with 56(4) 

SEC Act 

Mr. Chyut Tititrongpop, responsible for the operation of Picnic Corporation Public Company Limited (PICNI), failed to supervise PICNI to prepare and submit the six-month period ended June 30, 2010 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56. 

 

30,640.00  

 

578

24/03/2011 

3/2011 

26/2011 

Picnic Corporation Public Company Limited 

56(4) 

SEC Act 

Picnic Corporation Public Company Limited, a securities issuer, failed to submit the financial statements for the six-month period ended June 30, 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on February 4, 2011. 

 

45,960.00  

 

579

24/03/2011 

3/2011 

25/2011 

Mr. Donald Ian Mcbain 

300 in conjunction with 56(4) 

SEC Act 

Mr. Donald Ian Mcbain, responsible for the operation of K-TECH Construction Public Company Limited (KTECH), failed to supervise KTECH to prepare and submit the reviewed financial statements for the six-month period ended June 30, 2010 to the SEC Office within the specified period, resulting in the company?s violation of section 56. 

 

47,040.00  

 

580

24/03/2011 

3/2011 

24/2011 

Mr. Porntat Amatavivadhana 

300 in conjunction with 56(4) 

SEC Act 

Mr. Porntat Amatavivadhana, responsible for the operation of K-TECH Construction Public Company Limited (KTECH), failed to supervise KTECH to prepare and submit the reviewed financial statements for the six-month period ended June 30, 2010 to the SEC Office within the specified period, resulting in the company?s violation of section 56. 

 

47,040.00  

 

581

24/03/2011 

3/2011 

23/2011 

K-TECH Construction Public Company Limited 

56(4) 

SEC Act 

K-TECH Construction Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the six-month period ended June 30, 2010 to the SEC Office and the Stock Exchange of Thailand (the SET). That is, the information disclosure of the financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements were later filed with the SEC Office on February 8, 2011 and with the SET on February 10, 2011. 

 

47,040.00  

 

582

17/02/2011 

2/2011 

12/2011 

Mr. Thaveesak Vayakornvichitr 

300 in conjunction with 56(4) 

SEC Act 

Mr. Thaveesak Vavakornvichitr, the chairman and executive chairman responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the accurate financial statements for the six-month period ended June 30, 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the specified period, resulting in the company's violation of section 56(4). 

 

40,576.00  

 

583

17/02/2011 

2/2011 

11/2011 

SUN WOOD INDUSTRIES PUBLIC COMPANY LIMITED 

56(4) 

SEC Act 

SUN WOOD INDUSTRIES PUBLIC COMPANY LIMITED, a securities issuer, failed to sumit the financial statements for the six-month period ended June 30, 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statment were later filed with the SET on December 22, 2010 and with the SEC Office on December 27, 2010. 

 

40,576.00  

 

584

17/02/2011 

2/2011 

10/2011 

Mr.Somchit Bosereewong 

300 in conjunction with 56(1) 

SEC Act 

Mr.Somchit Bosereewong, the chief executive officer responsible for the operation of Singha Paratech Public Company Limited (SINGHA), failed to supervise SINGHA to prepare and submit the reviewed financial statements for Q1/ 2010 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56. 

 

74,125.00  

 

585

17/02/2011 

2/2011 

9/2011 

SINGHA PARATECH PUBLIC COMPANY LIMITED 

56(1) 

SEC Act 

Singha Paratech Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q1/ 2010 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on August 16, 2010. 

 

74,125.00  

 

586

17/02/2011 

2/2011 

9/2011 

SINGHA PARATECH PUBLIC COMPANY LIMITED 

56(1) 

SEC Act 

Singha Paratech Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2009 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on August 16, 2010. 

 

102,625.00  

 

587

17/02/2011 

2/2011 

9/2011 

SINGHA PARATECH PUBLIC COMPANY LIMITED 

56(2) 

SEC Act 

Singha Paratech Public Company Limited, a securities issuer, failed to submit the audited financial statements for the year 2009 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on August 16, 2010. 

 

91,750.00  

 

588

17/02/2011 

2/2011 

9/2011 

SINGHA PARATECH PUBLIC COMPANY LIMITED 

56(3) 

SEC Act 

Singha Paratech Public Company Limited, a securities issuer, failed to submit the annual report for the year 2009 (Form 56-2, 2009) to the SEC within the period specified in the notification of the Capital Market Supervisory Board. The annual report was later filed on September 13, 2010. 

 

91,000.00  

 

589

17/02/2011 

2/2011 

9/2011 

SINGHA PARATECH PUBLIC COMPANY LIMITED 

56(4) 

SEC Act 

Singha Paratech Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2009 (Form 56-1, 2009) to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement was later filed with the SET on September 13, 2010 and with the SEC Office on September 14, 2010. 

 

102,250.00  

 

590

19/01/2011 

1/2011 

4/2011 

G J Steel Public Company Limited 

56(3) 

SEC Act 

G J Steel Public Company Limited, a securities issuer, failed to submit the annual report for the year 2009 (Form 56-2, 2009) to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. The annual report was later filed on November 24, 2010. 

 

118,375.00  

 

591

19/01/2011 

1/2011 

4/2011 

G J Steel Public Company Limited 

56(4) 

SEC Act 

G J Steel Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2009 (Form 56-1, 2009) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement was later filed on November 25, 2010. 

 

129,625.00  

 

592

19/01/2011 

1/2011 

3/2011 

G Steel Public Company Limited 

56(3) 

SEC Act 

G Steel Public Company Limited, a securities issuer, failed to submit the annual report for the year 2009 (Form 56-2, 2009) to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. The annual report was later filed on November 24, 2010. 

 

118,000.00  

 

593

19/01/2011 

1/2011 

3/2011 

G Steel Public Company Limited 

56(4) 

SEC Act 

G Steel Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2009 (Form 56-1, 2009) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement was later filed on November 24, 2010. 

 

129,250.00  

 

594

19/01/2011 

1/2011 

2/2011 

Picnic Corporation Public Company Limited 

56(1) 

SEC Act 

Picnic Corporation Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4 2009 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on August 2, 2010. 

 

97,375.00  

 

595

19/01/2011 

1/2011 

2/2011 

Picnic Corporation Public Company Limited 

56(2) 

SEC Act 

Picnic Corporation Public Company Limited, a securities issuer, failed to submit the audited financial statements for the year 2009 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on August 2, 2010. 

 

86,500.00  

 

596

19/01/2011 

1/2011 

2/2011 

Picnic Corporation Public Company Limited 

56(4) 

SEC Act 

Picnic Corporation Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2009 (Form 56-1, 2009) to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement was later filed with the SEC Office on November 12, 2010 and with the SET on December 3, 2010. 

 

132,625.00  

 

597

19/01/2011 

1/2011 

1/2011 

Nippon Pact (Thailand) Public Company Limited 

56(3) 

SEC Act 

Nippon Pact (Thailand) Public Company Limited, a securities issuer, submitted the inaccurate annual report for the year 2009 (Form 56-2, 2009) to the SEC Office. That is, the information disclosure of the annual report did not comply with the notification of the Capital Market Supervisory Board. The rectified annual report was later filed on December 07, 2010. 

 

122,875.00  

 

598

19/01/2011 

1/2011 

1/2011 

Nippon Pact (Thailand) Public Company Limited 

56(4) 

SEC Act 

Nippon Pact (Thailand) Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2009 (Form 56-1, 2009) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement was later filed on December 20, 2010. 

 

139,000.00  

 

599

22/12/2010 

10/2010 

56/2010 

Nippon Pact (Thailand) Public Company Limited 

56 

SEC Act 

Nippon Pact (Thailand) Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2009 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on November 18, 2010. 

 

137,875.00  

 

600

22/12/2010 

10/2010 

56/2010 

Nippon Pact (Thailand) Public Company Limited 

56 

SEC Act 

Nippon Pact (Thailand) Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the year 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the Framework for the Preparation and Presentation of Financial Statements and the International Accounting Standard. The rectified financial statements were later filed on November 18, 2010. 

 

127,000.00  

 

601

16/11/2010 

9/2010 

49/2010 

G J Steel Public Company Limited 

56(1) 

SEC Act 

G J Steel Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q1/2010 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the Framework for the Preparation and Presentation of Financial Statements and the International Accounting Standard. The rectified financial statements were later filed on August 17, 2010. 

 

74,500.00  

 

602

16/11/2010 

9/2010 

49/2010 

G J Steel Public Company Limited 

56(1) 

SEC Act 

G J Steel Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q3/ 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the Framework for the Preparation and Presentation of Financial Statements and the International Accounting Standard. The rectified financial statements were later filed on September 27, 2010. 

 

158,125.00  

 

603

16/11/2010 

9/2010 

49/2010 

G J Steel Public Company Limited 

56(2) 

SEC Act 

G J Steel Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the year 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the Framework for the Preparation and Presentation of Financial Statements and the International Accounting Standard. The rectified financial statements were later filed on September 27, 2010. 

 

118,750.00  

 

604

16/11/2010 

9/2010 

48/2010 

G Steel Public Company Limited 

56(1) 

SEC Act 

G Steel Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q1/2010 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the Framework for the Preparation and Presentation of Financial Statements and the International Accounting Standard. The rectified financial statements were later filed on September 27, 2010. 

 

75,250.00  

 

605

16/11/2010 

9/2010 

48/2010 

G Steel Public Company Limited 

56(1) 

SEC Act 

G Steel Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q2/2010 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the Framework for the Preparation and Presentation of Financial Statements and the International Accounting Standard. The rectified financial statements were later filed on August 19, 2010. 

 

41,125.00  

 

606

16/11/2010 

9/2010 

48/2010 

G Steel Public Company Limited 

56(1) 

SEC Act 

G Steel Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q3/ 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the Framework for the Preparation and Presentation of Financial Statements and the International Accounting Standard. The rectified financial statements were later filed on August 19, 2010. 

 

158,125.00  

 

607

16/11/2010 

9/2010 

48/2010 

G Steel Public Company Limited 

56(2) 

SEC Act 

G Steel Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the year 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the Framework for the Preparation and Presentation of Financial Statements and the International Accounting Standard. The rectified financial statements were later filed on September 27, 2010. 

 

118,750.00  

 

608

16/11/2010 

9/2010 

47/2010 

Thai Property Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Thai Property Public Company Limited, a listed company, failed to submit the financial statements for the six-month period ended June 30, 2010 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on September 30, 2010 and with the SEC on October 1, 2010. 

 

34,650.00  

 

609

16/11/2010 

9/2010 

46/2010 

Absolute Impact Public Company Limited 

56(1) 

SEC Act 

Absolute Impact Public Company Limited, a securities issuer, failed to sumit the reviewed financial statements for Q4/2009 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statment were later filed with the SET on March 26, 2010 and with the SEC Office on March 29, 2010. 

 

49,000.00  

 

610

22/07/2010 

6/2010 

38/2010 

Distar Electric Corporation Public Company Limited 

56(1) 

SEC Act 

Distar Electric Corporation Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2009 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on April 28, 2010. 

 

61,375.00  

 

611

22/07/2010 

6/2010 

38/2010 

Distar Electric Corporation Public Company Limited 

56(2) 

SEC Act 

Distar Electric Corporation Public Company Limited, a securities issuer, submitted the inaccurate audited financial statements for the year 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard. The rectified financial statements were later filed on April 28, 2010. 

 

53,125.00  

 

612

22/07/2010 

6/2010 

37/2010 

Mr. Donald Ian Mcbain 

300 in conjunction with 56(4) 

SEC Act 

Mr. Donald Ian Mcbain, responsible for the operation of K-TECH Construction Public Company Limited (KTECH), failed to supervise KTECH to prepare and submit the reviewed financial statements for the six-month period ended June 30, 2009 to the SEC Office within the specified period, resulting in the company?s violation of section 56. 

 

48,400.00  

 

613

22/07/2010 

6/2010 

36/2010 

Mr. Porntat Amatavivadhana 

300 in conjunction with 56(4) 

SEC Act 

Mr. Porntat Amatavivadhana, responsible for the operation of K-TECH Construction Public Company Limited (KTECH), failed to supervise KTECH to prepare and submit the reviewed financial statements for the six-month period ended June 30, 2009 to the SEC Office within the specified period, resulting in the company?s violation of section 56.  

 

48,400.00  

 

614

22/07/2010 

6/2010 

35/2010 

K-Tech Construction Public Company Limited 

56(4) 

SEC Act 

K-TECH Construction Public Company Limited, a securities issuer, submitted the inaccurate financial statements for the six-month period ended June 30, 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements were later filed on June 30, 2010. 

 

72,600.00  

 

615

16/06/2010 

5/2010 

31/2010 

ASCON Construction Public Company Limited 

56(1) 

SEC Act 

ASCON Construction Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/ 2009 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on March 30, 2010 and with the SEC Office on March 31, 2010. 

 

50,500.00  

 

616

16/06/2010 

5/2010 

30/2010 

Mr. Thaveesak Vayakornvichitr 

300 in conjunction with 56(4) 

SEC Act 

Mr. Thaveesak Vayakornvichitr, the chief executive officer responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the financial statements for the six-month period ended June 30, 2009 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56(4). 

 

74,936.00  

 

617

16/06/2010 

5/2010 

29/2010 

Sun Wood Industries Public Company Limited 

56(4) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the financial statements for the six-month period ended June 30, 2009 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on May 25, 2010 and with the SEC Office on May 27, 2010. 

 

74,936.00  

 

618

11/05/2010 

4/2010 

27/2010 

Yarnapund Public Company Limited 

56(1) 

SEC Act 

Yarnapund Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q1/ 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard. 

 

175,750.00  

 

619

21/04/2010 

3/2010 

26/2010 

Mr. Pattanapong Tanumathaya 

59 

SEC Act 

Between January 9, 2006 and January 25, 2007, Mr. Pattanapong Tanumathaya, the chief executive officer of ASCON CONSTRUCTION PUBLIC COMPANY LIMITED (ASCON) failed to file a report of changes in his holding of ASCON shares to the SEC within three business days after the date he entered into 12 transactions through trading accounts of five other persons. 

 

303,250.00  

 

620

21/04/2010 

3/2010 

18/2010 

Siam General Factoring Public Company Limited  

56(1) 

SEC Act 

Siam General Factoring Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q1/ 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard. The rectified financial statements were later filed on December 15, 2009. 

 

67,125.00  

 

621

21/04/2010 

3/2010 

18/2010 

Siam General Factoring Public Company Limited 

56(1) 

SEC Act 

Siam General Factoring Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q2/ 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard. The rectified financial statements were later filed on December 15, 2009. 

 

46,425.00  

 

622

21/04/2010 

3/2010 

18/2010 

Siam General Factoring Public Company Limited 

56(1) 

SEC Act 

Siam General Factoring Public Company Limited, a securities issuer, submitted the inaccurate financial statements for Q3/ 2009 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the International Accounting Standard. The rectified financial statements were later filed on December 15, 2009. 

 

25,275.00  

 

623

21/04/2010 

3/2010 

17/2010 

Scandinavian Leasing Public Company Limited 

56(1) 

SEC Act 

Scandinavian Leasing Public Company Limited, failed to submit the reviewed financial statements for Q3/ 2009 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on January 15, 2010. 

 

62,500.00  

 

624

21/04/2010 

3/2010 

16/2010 

Thai Property Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Thai Property Public Company Limited, a listed company, failed to submit the financial statements for the six-month period end June 30, 2009 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on October, 2009. 

 

42,144.00  

 

625

21/04/2010 

3/2010 

15/2010 

SMC Motors Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

SMC Power Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q3/ 2009 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET and the SEC Office on January 15, 2010. 

 

100,000.00  

 

626

09/03/2010 

2/2010 

7/2010 

Eternal Energy Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Eternal Energy Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q3/ 2009 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET and the SEC Office on December 8, 2009. 

 

48,250.00  

 

627

12/01/2010 

1/2010 

2/2010 

Mr. Thaveesak Vayakornvichitr 

300 in conjunction with 56(2) 

SEC Act 

Mr. Thaveesak Vayakornvichitr, the chief executive officer responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the financial statements for the year 2008 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56(2). 

 

40,020.00  

 

628

12/01/2010 

1/2010 

2/2010 

Mr. Thaveesak Vayakornvichitr 

300 in conjunction with 56(4) 

SEC Act 

Mr. Thaveesak Vayakornvichitr, the chief executive officer responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the annual registration statement for the year 2008 (Form 56-1, 2008) to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56(4). 

 

40,560.00  

 

629

12/01/2010 

1/2010 

1/2010 

Sun Wood Industries Public Company Limited 

56(2) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the financial statements for the year 2008 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on August 17, 2009 and with the SEC Office on August 20, 2009. 

 

46,690.00  

 

630

12/01/2010 

1/2010 

1/2010 

Sun Wood Industries Public Company Limited 

56(4) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2008 (Form 56-1, 2008) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The annual statement was later on August 20, 2009. 

 

47,320.00  

 

631

28/10/2009 

8/2009 

52/2009 

Agripure Holdings Public Company Limited 

56(1) 

SEC Act 

Agripure Holdings Public Company Limited, a securities issuer, failed to submit the financial statements for Q3/2008 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on March 25, 2009 and with the SEC Office on March 26, 2009. 

 

89,125.00  

 

632

28/10/2009 

8/2009 

52/2009 

Agripure Holdings Public Company Limited 

56(1) 

SEC Act 

Agripure Holdings Public Company Limited, a securities issuer, failed to submit the financial statements for Q4/2008 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on March 25, 2009 and with the SEC Office on March 26, 2009. 

 

48,625.00  

 

633

28/10/2009 

8/2009 

51/2009 

SMC Motors Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

SMC Power Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q4/ 2008 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET and the SEC Office on March 25, 2009. 

 

48,625.00  

 

634

11/08/2009 

7/2009 

45/2009 

Abico Holdings Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

Abico Holdings Public Company Limited, a listed company, failed to submit the audited financial statements for the year 2008 to the SEC Office and the Stock Exchange of Thailand within March 31,2009.The financial statements were later filed on May 28, 2009. 

 

16,960.00  

 

635

11/08/2009 

7/2009 

45/2009 

Abico Holdings Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Abico Holdings Public Company Limited, a listed company, failed to submit the annual registration statement for the year 2008 to the SEC Office and the Stock Exchange of Thailand (the SET) within March 31,2009.The annual registration statement was later filed on May 28, 2009. 

 

16,960.00  

 

636

11/08/2009 

7/2009 

44/2009 

Thai Property Public Company Limited 

199 in conjunction with 56(2) 

SEC Act 

Thai Property Public Company Limited, a listed company, failed to submit the financial statements for the year 2008 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET on April 29, 2009 and with the SEC Office on April 30, 2009. 

 

20,220.00  

 

637

11/08/2009 

7/2009 

44/2009 

Thai Property Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Thai Property Public Company Limited, a listed company, failed to submit the annual registration statement for the year 2008 (Form 56-1, 2008) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The annual registration statement was later filed on April 30, 2009. 

 

20,400.00  

 

638

14/07/2009 

6/2009 

40/2009 

Mr. Thaveesak Vayakornvichitr 

300 in conjunction with 56(4) 

SEC Act 

Mr. Thaveesak Vayakornvichitr, responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the financial statements for the six-month period ended June 30, 2008 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company?s violation of section 56(4). 

 

46,000.00  

 

639

14/07/2009 

6/2009 

39/2009 

Sun Wood Industries Public Company Limited 

56(4) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the financial statements for the six-month period ended June 30, 2008 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed on June 10, 2009. 

 

73,600.00  

 

640

12/05/2009 

4/2009 

31/2009 

Thai Property Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Thai Property Public Company Limited , a listed company, failed to submit the reviewed financial statements for Q2/ 2008 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET and the SEC Office on January 30, 2009.  

 

27,780.00  

 

641

12/05/2009 

4/2009 

31/2009 

Thai Property Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Thai Property Public Company Limited , a listed company, failed to submit the reviewed financial statements for Q3/ 2008 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET and the SEC Office on January 30, 2009.  

 

28,860.00  

 

642

12/05/2009 

4/2009 

30/2009 

Mr. Thaveesak Vayakornvichitr 

300 in conjunction with 56(1) 

SEC Act 

Mr. Thaveesak Vayakornvichitr, the chief executive officer responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the financial statements for Q1/2008 to the SEC Office within the specified period, resulting in the company?s violation of section 56(1). 

 

41,080.00  

 

643

12/05/2009 

4/2009 

29/2009 

Sun Wood Industries Public Company Limited 

56(1) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the financial statements for Q1/2008 to the SEC Office within the period specified in the notification of the SEC. The financial statements were later filed on January 29, 2009. 

 

61,620.00  

 

644

10/03/2009 

3/2009 

24/2009 

Mr. Chamni Janchai 

59 

SEC Act 

Mr. Chamni Janchai as Director of STP & I Plc. (STPI), Agro Industrial Machinery Plc. (AMAC) and chairman of Thai Capital Corporation Plc. (TCC), failed to prepare and disclose report to the SEC office on changes in his holding of STPI shares, STPI - warrant1, AMAC shares and TCC shares that he had purchased through two of person?s account within the period specified in the notification of the Securities and Exchange Commission Advisory Board. 

 

1,999,807.26  

 

645

10/03/2009 

3/2009 

23/2009 

Natural Park Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Natural Park Public Company Limited, a listed company, failed to submit the financial statements for Q3/2008 to the SEC Office and the Stock Exchange of Thailand within the specified period. The financial statements were later filed on January 7, 2009. 

 

60,250.00  

 

646

10/03/2009 

3/2009 

22/2009 

SMC Motors Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

SMC Power Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q3/ 2008 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later filed with the SET and the SEC Office on December 4, 2008. 

 

47,500.00  

 

647

13/01/2009 

1/2009 

3/2009 

Mr. Yongyuth Ngamkaiwan 

59 

SEC Act 

Mr. Yongyuth Ngamkaiwan, the chief executive officer and director of Thai Unique Coil Center Public Company Limited (TUCC) failed to file a report of changes in his holding of TUCC shares to the SEC within three business days after the date he transferred, bought, and sold out his shares. Details of the violation were as follows (1) On 10 June 2008 he transferred 15,000,000 TUCC shares from his own account, but he filed a report (Form 59-2) to the SEC on 23 June 2008; (2) On 9 July 2008 he bought 150,000 TUCC shares, but he filed a report (Form 59-2) to the SEC on 8 August 2008; (3) On 10 July 2008 he sold 6,679,000 TUCC shares from his own account, but he filed a report (Form 59-2) to the SEC on 8 August 2008; (4) On 15 July 2008 he bought 359,100 TUCC shares and sold 350,000 TUCC shares from his own account, but he filed a report (Form 59-2) to the SEC on 8 August 2008; (5) On 21 July 2008 he transferred 8,000,000 TUCC shares from his own account, but he filed a report (Form 59-2) to the SEC on 8 August 2008; and (6) On 29 July 2008 he bought 300,000 TUCC shares, but he filed a report (Form 59-2) to the SEC on 8 August 2008. 

 

142,400.00  

 

648

13/01/2009 

1/2009 

2/2009 

Mr. Thaveesak Vayakornvichitr 

300 in conjunction with 56(1) 

SEC Act 

Mr. Thaveesak Vayakornvichitr, the chief executive officer responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the financial statements for Q4/2007 to the SEC Office within the period specified in the notification of the SEC, resulting in the company?s violation of section 56(1). 

 

39,400.00  

 

649

13/01/2009 

1/2009 

2/2009 

Mr. Thaveesak Vayakornvichitr 

300 in conjunction with 56(2) 

SEC Act 

Mr. Thaveesak Vayakornvichitr, the chief executive officer responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the financial statements for the year 2007 to the SEC Office within the period specified in the notification of the SEC, resulting in the company?s violation of section 56(2). 

 

35,680.00  

 

650

13/01/2009 

1/2009 

2/2009 

Mr. Thaveesak Vayakornvichitr 

300 in conjunction with 56(3) 

SEC Act 

Mr. Thaveesak Vayakornvichitr, the chief executive officer responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the annual report for the year 2007 (Form 56-2, 2007) to the SEC Office within the period specified in the notification of the SEC, resulting in the company?s violation of section 56(3). 

 

36,040.00  

 

651

13/01/2009 

1/2009 

2/2009 

Mr. Thaveesak Vayakornvichitr 

300 in conjunction with 56(4) 

SEC Act 

Mr. Thaveesak Vayakornvichitr, the chief executive officer responsible for the operation of Sun Wood Industries Public Company Limited (SUN), failed to supervise SUN to prepare and submit the annual registration statement for the year 2007 (Form 56-1, 2007) to the SEC Office within the period specified in the notification of the SEC, resulting in the company?s violation of section 56(4). 

 

38,560.00  

 

652

13/01/2009 

1/2009 

1/2009 

Sun Wood Industries Public Company Limited 

56(1) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the financial statements for Q4/2007 to the SEC Office within the specified period. The financial statements were later filed with on October 31, 2008. 

 

39,400.00  

 

653

13/01/2009 

1/2009 

1/2009 

Sun Wood Industries Public Company Limited 

56(2) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the financial statements for the year 2007 to the SEC Office within the period specified in the notification of the SEC. The financial statements were later filed on October 31, 2008. 

 

35,680.00  

 

654

13/01/2009 

1/2009 

1/2009 

Sun Wood Industries Public Company Limited 

56(3) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the annual report for the year 2007 (Form 56-2, 2007) to the SEC Office within the period specified in the notification of the SEC. The annual report was later filed on November 24, 2008. 

 

36,040.00  

 

655

13/01/2009 

1/2009 

1/2009 

Sun Wood Industries Public Company Limited 

56(4) 

SEC Act 

Sun Wood Industries Public Company Limited, a securities issuer, failed to submit the annual registration statement for the year 2007 (Form 56-1, 2007) to the SEC Office within the period specified in the notification of the SEC. The annual statement was later filed on November 24, 2008. 

 

38,560.00  

 

655 items


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