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

18/10/2017 

9/2017 

79/2017 

Mr. Narin Usanawarong 

300 

SEC Act 

 

 

1,596,000.00  

 

2

18/10/2017 

9/2017 

78/2017 

Mr. Sakchai Thanaboonchai 

300 

SEC Act 

 

 

1,596,000.00  

 

3

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  

 

4

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  

 

5

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  

 

6

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  

 

7

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  

 

8

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  

 

9

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  

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.  

10

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  

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.  

11

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  

 

12

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  

 

13

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  

 

14

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  

 

15

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  

 

16

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  

 

17

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  

 

18

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  

 

19

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  

 

20

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  

 

21

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  

 

22

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  

 

23

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  

 

24

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  

 

25

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  

 

26

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  

 

27

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  

 

28

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  

 

29

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  

 

30

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  

 

31

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  

 

32

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  

 

33

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  

 

34

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  

 

35

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  

 

36

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  

 

37

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  

 

38

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  

 

39

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  

 

40

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  

 

41

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  

 

42

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  

 

43

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  

 

44

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  

 

45

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  

 

46

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  

 

47

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  

 

48

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  

 

49

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  

 

50

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  

 

51

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  

 

52

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  

 

53

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  

 

54

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  

 

55

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  

 

56

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  

 

57

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  

 

58

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  

 

59

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  

 

60

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  

 

61

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  

 

62

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  

 

63

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  

 

64

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  

 

65

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  

 

66

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  

 

67

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  

 

68

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  

 

69

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  

 

70

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  

 

71

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  

 

72

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  

 

73

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  

 

74

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  

 

75

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  

 

76

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  

 

77

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  

 

78

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  

 

79

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  

 

80

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  

 

81

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  

 

82

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  

 

83

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  

 

84

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  

 

85

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  

 

86

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  

 

87

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  

 

88

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  

 

89

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  

 

90

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  

 

91

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  

 

92

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  

 

93

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  

 

94

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  

 

95

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  

 

96

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  

 

97

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  

 

98

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  

 

99

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  

 

100

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  

 

101

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  

 

102

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  

 

103

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  

 

104

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  

 

105

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  

 

106

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  

 

107

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  

 

108

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  

 

109

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  

 

110

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.  

111

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.  

112

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.  

113

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  

 

114

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  

 

115

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  

 

116

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  

 

117

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  

 

118

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  

 

119

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  

 

120

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  

 

121

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  

 

122

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  

 

123

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  

 

124

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  

 

125

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  

 

126

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  

 

127

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  

 

128

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  

 

129

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  

 

130

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  

 

131

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  

 

132

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  

 

133

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  

 

134

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  

 

135

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  

 

136

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  

 

137

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  

 

138

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  

 

139

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  

 

140

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  

 

141

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  

 

142

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  

 

143

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  

 

144

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  

 

145

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  

 

146

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  

 

147

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  

 

148

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  

 

149

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  

 

150

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  

 

151

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  

 

152

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  

 

153

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  

 

154

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.  

155

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  

 

156

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  

 

157

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  

 

158

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  

 

159

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  

 

160

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  

 

161

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  

 

162

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  

 

163

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  

 

164

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  

 

165

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  

 

166

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  

 

167

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  

 

168

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  

 

169

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  

 

170

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  

 

171

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  

 

172

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  

 

173

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  

 

174

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  

 

175

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  

 

176

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  

 

177

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  

 

178

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  

 

179

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  

 

180

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  

 

181

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  

 

182

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  

 

183

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  

 

184

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  

 

185

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  

 

186

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  

 

187

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  

 

188

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  

 

189

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  

 

190

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  

 

191

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  

 

192

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  

 

193

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  

 

194

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  

 

195

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  

 

196

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  

 

197

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  

 

198

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  

 

199

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  

 

200

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  

 

201

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  

 

202

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  

 

203

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  

 

204

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  

 

205

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  

 

206

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  

 

207

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  

 

208

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  

 

209

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  

 

210

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  

 

211

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  

 

212

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  

 

213

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  

 

214

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  

 

215

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  

 

216

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  

 

217

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  

 

218

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  

 

219

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  

 

220

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  

 

221

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  

 

222

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  

 

223

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  

 

224

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  

 

225

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  

 

226

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  

 

227

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  

 

228

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  

 

229

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  

 

230

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  

 

231

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  

 

232

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  

 

233

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  

 

234

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  

 

235

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  

 

236

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  

 

237

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  

 

238

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  

 

239

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  

 

240

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  

 

241

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  

 

242

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  

 

243

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  

 

244

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  

 

245

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  

 

246

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  

 

247

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  

 

248

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  

 

249

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  

 

250

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  

 

251

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  

 

252

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  

 

253

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  

 

254

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  

 

255

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  

 

256

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  

 

257

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  

 

258

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  

 

259

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  

 

260

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  

 

261

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  

 

262

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  

 

263

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  

 

264

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  

 

265

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  

 

266

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  

 

267

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  

 

268

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  

 

269

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  

 

270

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  

 

271

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  

 

272

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  

 

273

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  

 

274

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  

 

275

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  

 

276

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  

 

277

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  

 

278

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  

 

279

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  

 

280

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  

 

281

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  

 

282

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  

 

283

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  

 

284

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  

 

285

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  

 

286

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  

 

287

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  

 

288

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  

 

289

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  

 

290

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  

 

291

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  

 

292

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  

 

293

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  

 

294

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  

 

295

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  

 

296

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  

 

297

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  

 

298

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  

 

299

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  

 

300

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  

 

301

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  

 

302

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  

 

303

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  

 

304

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  

 

305

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  

 

306

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  

 

307

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  

 

308

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  

 

309

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  

 

310

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  

 

311

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  

 

312

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  

 

313

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  

 

314

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  

 

315

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  

 

316

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  

 

317

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  

 

318

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  

 

319

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  

 

320

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  

 

321

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  

 

322

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  

 

323

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  

 

324

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  

 

325

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  

 

326

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  

 

327

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  

 

328

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  

 

329

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  

 

330

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  

 

331

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  

 

332

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  

 

333

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  

 

334

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  

 

335

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  

 

336

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  

 

337

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  

 

338

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  

 

339

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  

 

340

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  

 

341

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  

 

342

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  

 

343

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  

 

344

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  

 

345

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  

 

346

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  

 

347

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  

 

348

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  

 

349

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  

 

350

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  

 

351

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  

 

352

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  

 

353

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  

 

354

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  

 

355

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  

 

356

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  

 

357

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  

 

358

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  

 

359

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  

 

360

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  

 

361

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  

 

362

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  

 

363

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  

 

364

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  

 

365

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  

 

366

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  

 

367

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  

 

368

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  

 

369

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  

 

370

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  

 

371

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  

 

372

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  

 

373

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. 

374

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. 

375

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. 

376

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. 

377

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. 

378

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. 

379

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. 

380

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. 

381

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  

 

382

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  

 

383

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  

 

384

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  

 

385

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  

 

386

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  

 

387

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  

 

388

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  

 

389

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  

 

390

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  

 

391

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  

 

392

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  

 

393

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  

 

394

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  

 

395

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  

 

396

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  

 

397

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  

 

398

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  

 

399

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  

 

400

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  

 

401

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  

 

402

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  

 

403

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. 

404

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. 

405

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. 

406

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. 

407

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. 

408

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. 

409

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. 

410

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. 

411

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  

 

412

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  

 

413

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  

 

414

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  

 

415

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  

 

416

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  

 

417

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  

 

418

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  

 

419

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  

 

420

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  

 

421

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  

 

422

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  

 

423

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  

 

424

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  

 

425

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  

 

426

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  

 

427

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. 

428

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. 

429

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. 

430

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  

 

431

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  

 

432

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  

 

433

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  

 

434

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  

 

435

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  

 

436

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  

 

437

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  

 

438

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  

 

439

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  

 

440

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  

 

441

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  

 

442

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  

 

443

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  

 

444

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  

 

445

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  

 

446

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  

 

447

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. 

448

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. 

449

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. 

450

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. 

451

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  

 

452

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  

 

453

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  

 

454

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  

 

455

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  

 

456

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  

 

457

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  

 

458

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  

 

459

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  

 

460

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  

 

461

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  

 

462

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  

 

463

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  

 

464

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  

 

465

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  

 

466

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  

 

467

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  

 

468

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  

 

469

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  

 

470

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  

 

471

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  

 

472

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  

 

473

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  

 

474

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  

 

475

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. 

476

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. 

477

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  

 

478

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  

 

479

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  

 

480

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  

 

481

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  

 

482

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  

 

483

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. 

484

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  

 

485

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. 

486

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  

 

487

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  

 

488

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  

 

489

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  

 

490

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  

 

491

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  

 

492

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. 

493

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. 

494

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  

 

495

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  

 

496

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  

 

497

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  

 

498

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  

 

499

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  

 

500

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  

 

501

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  

 

502

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  

 

503

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  

 

504

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  

 

505

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  

 

506

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  

 

507

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  

 

508

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  

 

509

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  

 

510

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  

 

511

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  

 

512

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  

 

513

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  

 

514

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  

 

515

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  

 

516

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  

 

517

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  

 

518

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  

 

519

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  

 

520

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  

 

521

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  

 

522

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  

 

523

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  

 

524

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  

 

525

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  

 

526

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  

 

527

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  

 

528

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  

 

529

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. 

530

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. 

531

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  

 

532

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  

 

533

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  

 

534

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  

 

535

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  

 

536

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  

 

537

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  

 

538

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  

 

539

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  

 

540

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  

 

541

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  

 

542

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  

 

543

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  

 

544

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  

 

545

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  

 

546

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  

 

547

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  

 

548

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  

 

549

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  

 

550

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  

 

551

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  

 

552

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  

 

553

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  

 

554

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  

 

555

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  

 

556

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  

 

557

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  

 

558

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  

 

559

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  

 

560

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  

 

561

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  

 

562

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  

 

563

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  

 

564

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  

 

565

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  

 

566

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  

 

567

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  

 

568

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  

 

569

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  

 

570

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  

 

571

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  

 

572

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  

 

573

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  

 

574

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  

 

575

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  

 

576

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  

 

577

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  

 

578

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  

 

579

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  

 

580

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  

 

581

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  

 

582

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  

 

583

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  

 

584

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  

 

585

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  

 

586

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  

 

587

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  

 

588

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  

 

589

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  

 

590

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  

 

591

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  

 

592

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  

 

593

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  

 

594

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  

 

595

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  

 

596

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  

 

597

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  

 

598

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  

 

599

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  

 

600

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  

 

601

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  

 

602

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  

 

603

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  

 

604

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  

 

605

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  

 

606

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  

 

607

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  

 

608

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  

 

609

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  

 

610

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  

 

611

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  

 

612

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  

 

613

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  

 

614

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  

 

615

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  

 

616

24/11/2008 

7/2008 

35/2008 

Pol.Lt. Chan Manutham 

59 

SEC Act 

Between June 24, 2008 and July 3, 2008, Pol.Lt. Chan Manutham, the chairman of the board of Yuasa Battery (Thailand) Public Company Limited (YUASA), failed to prepare and disclose report to the SEC Office on changes in his holding of YUASA securities within the specified period. 

 

80,400.00  

 

617

14/10/2008 

6/2008 

33/2008 

Power-P Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Power-P Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/2007 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the SEC. The financial statements were later filed on April 30, 2008. 

 

62,875.00  

 

618

14/10/2008 

6/2008 

33/2008 

Power-P Public Company Limited 

199 in conjunction with 56(3) 

SEC Act 

Power-P 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 April 30, 2008. 

 

43,375.00  

 

619

14/10/2008 

6/2008 

33/2008 

Power-P Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Power-P 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 and the Stock Exchange of Thailand within the period specified in the notification of the SEC. The annual report was later filed on April 22, 2008. 

 

48,250.00  

 

620

14/10/2008 

6/2008 

32/2008 

K-Tech Construction Public Company Limited 

56(1) 

SEC Act 

K-TECH Construction Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q3/2007 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the SEC. The financial statements were later filed with the SET on May 9, 2008 and with the SEC Office on May 12, 2008. 

 

31,240.00  

 

621

14/10/2008 

6/2008 

32/2008 

K-Tech Construction Public Company Limited 

56(1) 

SEC Act 

K-TECH Construction Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/2007 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the SEC. The financial statements were later filed with the SET on April 9, 2008 and with the SEC Office on April 10, 2008. 

 

14,800.00  

 

622

14/10/2008 

6/2008 

32/2008 

K-Tech Construction Public Company Limited 

56(2) 

SEC Act 

K-TECH Construction Public Company Limited, a securities issuer, failed to submit the audited financial statements for the year 2007 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the SEC. The financial statements were later filed with the SET on April 9, 2008 and with the SEC Office on April 10, 2008. 

 

11,080.00  

 

623

14/10/2008 

6/2008 

32/2008 

K-Tech Construction Public Company Limited 

56(3) 

SEC Act 

K-TECH Construction Public Company Limited, a securities issuer, failed to submit the annual report for the year 2007 (Form 56-2, 2007) to the SEC Office and the Stock Exchange of Thailand (the SET) within April 21, 2008. The annual report was later filed on July 15, 2008. 

 

20,200.00  

 

624

14/10/2008 

6/2008 

32/2008 

K-Tech Construction Public Company Limited 

56(4) 

SEC Act 

K-TECH Construction 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 and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the SEC.. The annual registration statement was later filed on July 15, 2008. 

 

22,720.00  

 

625

14/10/2008 

6/2008 

31/2008 

Changmai Ram Medical Business Public Company Limited 

56(1) 

SEC Act 

Changmai Ram Medical Business Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q1/2008 to the SEC Office and the Stock Exchange of Thailand within May 15, 2008. The financial statements were later filed on June 2, 2008. 

 

46,750.00  

 

626

13/08/2008 

5/2008 

30/2008 

Abico Holding 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 2007 to the SEC Office and the Stock Exchange of Thailand within March 31, 2008. The financial statements were later filed on July 25, 2008. 

 

23,920.00  

 

627

13/08/2008 

5/2008 

30/2008 

Abico Holding Public Company Limited 

199 in conjunction with 56(4) 

SEC Act 

Abico Holdings Public Company Limited, a listed company, failed to submit the financial statements for the six-month period ended June 30, 2007 to the SEC Office and the Stock Exchange of Thailand within August 14, 2007. The financial statements were later filed on July 25, 2008. 

 

51,520.00  

 

628

13/08/2008 

5/2008 

29/2008 

Mr. Sirichai Rasameechan 

59 

SEC Act 

Mr. Sirichai Rasameechan, the director of Ascon Construction Plc. (ASCON) and Samart corporation Public Company Limited (SAMART), failed to prepare and disclose report to the SEC office on changes in his holding of ASCON shares and SAMART shares on August 20 - 21, 2007 and August 27, 2007 within the specified period. 

8/2009
 

201,625.00  

 

629

13/08/2008 

5/2008 

27/2008 

Siam General Factoring Public Company Limited 

56(1) 

SEC Act 

Siam General Factoring Public Company Limited, a securities issuer, failed to submit the reviewed financial statements for Q4/2007 to the SEC Office and the Stock Exchange of Thailand (the SET) within the period specified in the notification of the SEC. The financial statements were later filed with on March 10, 2008. 

 

16,800.00  

 

630

13/08/2008 

5/2008 

26/2008 

Sun Wood Industries Public Company Limited 

56(1) 

SEC Act 

Sun Wood Industries Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q3/2007 to the SEC Office and the Stock Exchange of Thailand (the SET) within November 14, 2007. The financial statements were later filed with the SET on March 18, 2008 and with the SEC on March 19, 2008. 

 

86,875.00  

 

631

08/04/2008 

3/2008 

14/2008 

Sun Wood Industries Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Sun Wood Industries Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q1/2007 to the SEC Office and the Stock Exchange of Thailand (the SET) within May 15, 2007. The financial statements were later filed with the SET on November 8, 2008 and with the SEC on November 9, 2008. 

 

106,375.00  

 

632

08/04/2008 

3/2008 

14/2008 

Sun Wood Industries Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Sun Wood Industries Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q2/2007 to the SEC Office and the Stock Exchange of Thailand (the SET) within August 14, 2007. The financial statements were later filed with the SET on February 1, 2008 and with the SEC on February 4, 2008. 

 

104,125.00  

 

633

08/04/2008 

3/2008 

13/2008 

Universal Starch Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Universal Starch Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q2/2007 to the SEC Office and the Stock Exchange of Thailand within August 14,2007.The financial statement was later filed on December 25, 2007. 

 

38,940.00  

 

634

08/04/2008 

3/2008 

13/2008 

Universal Starch Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

Universal Starch Public Company Limited, a listed company, failed to submit the reviewed financial statements for Q3/2007 to the SEC Office and the Stock Exchange of Thailand within November 14,2007. The financial statement was later filed on December 25, 2007. 

 

22,380.00  

 

635

12/02/2008 

2/2008 

6/2008 

Chai Watana Tannery Group Public Co., Ltd. 

56(1) 

SEC Act 

Chai Watana Tannery Group Public Co., Ltd. failed to file the reviewed financial statement as of the second quarter of year 2007 (ending 30 June 2007) with the SEC by 45 days after the end of the quarter. The financial statement was later filed on 19 October 2007. 

 

64,750.00  

 

636

12/02/2008 

2/2008 

5/2008 

Mr. Roberto Cardano 

300 in conjunction with 56(4) 

SEC Act 

Failure to act of Mr. Roberts Cardano, managing director of Canadoil Asia Co., Ltd. led to the untimely submission of Canadoil Asia Co., Ltd.?s annual statement 2006 (Form 56-1) with the SEC. 

 

33,400.00  

 

637

12/02/2008 

2/2008 

4/2008 

Canadoil Asia Co., Ltd. 

56(4) 

SEC Act 

Canadoil Asia Co., Ltd .is a limited company that offered to sale debt securities to public in May 2005. The company, therefore, is obliged under Section 56(4) of the SEA to file an annual statement (Form 56-1) with the SEC thereafter. Canadoil Asia Co., Ltd. failed to file the annual statement 2006, ending 31 December 2006 (Form 56-1) with the SEC within 60 days after ending of the accounting period. The Form 56-1 was submitted by the company on 30 April 2007. 

 

33,400.00  

 

637 items


The Securities and Exchange Commission, Thailand
333/3 Vibhavadi-Rangsit Road, Chomphon , Chatuchak Bangkok 10900, Thailand
Tel. +66 2033 9999 Fax. +66 2033 9660
e-mail : info@sec.or.th
Copyright www.sec.or.th 2013 Privacy Policy | Disclaimer | Site Map