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

15/11/2017 

10/2017 

94/2017 

Miss Ornpaphat Chantarasaka 

300 

SEC Act 

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

 

500,000.00  

 

2

15/11/2017 

10/2017 

93/2017 

Marnfah Group Company Limited 

33 

SEC Act 

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

 

500,000.00  

 

3

15/11/2017 

10/2017 

92/2017 

Miss Kanyakorn Supakarnkacharoen 

300 

SEC Act 

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

 

1,530,000.00  

 

4

15/11/2017 

10/2017 

91/2017 

Lederer (Thailand) Company Limited 

33 

SEC Act 

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

 

1,530,000.00  

 

5

15/11/2017 

10/2017 

90/2017 

Miss Sugunya Sukjaroenkraisri 

300 

SEC Act 

Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (?ACAP?), shall be liable for ACAP?s failure to prepare and submit the accurate annual registration statement for the year 2016 (Form 56-1) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed. 

 

190,500.00  

 

6

15/11/2017 

10/2017 

90/2017 

Miss Sugunya Sukjaroenkraisri 

300 

SEC Act 

Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (?ACAP?), shall be liable for ACAP?s failure to prepare and submit the accurate annual report for the year 2016 (Form 56-2) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed. 

 

190,500.00  

 

7

15/11/2017 

10/2017 

90/2017 

Miss Sugunya Sukjaroenkraisri 

300 

SEC Act 

Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (?ACAP?), shall be liable for ACAP?s failure to prepare and submit the accurate financial statement for the year 2016 specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed. 

 

190,500.00  

 

8

15/11/2017 

10/2017 

89/2017 

Asia Capital Group Public Company Limited 

56 and 199 

SEC Act 

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

 

190,500.00  

 

9

15/11/2017 

10/2017 

89/2017 

Asia Capital Group Public Company Limited 

56 and 199 

SEC Act 

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

 

190,500.00  

 

10

15/11/2017 

10/2017 

89/2017 

Asia Capital Group Public Company Limited 

56 and 199 

SEC Act 

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

 

190,500.00  

 

11

15/11/2017 

10/2017 

88/2017 

Mr. Pratheep Theepakornsukkasem 

300 

SEC Act 

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

 

55,200.00  

 

12

15/11/2017 

10/2017 

87/2017 

Smart Concrete Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

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

 

55,200.00  

 

13

15/11/2017 

10/2017 

86/2017 

Mr. Chamnarn Pornpilailuck 

300 

SEC Act 

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

 

93,000.00  

 

14

15/11/2017 

10/2017 

85/2017 

Porn Prom Metal Public Company Limited 

56(1) 

SEC Act 

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

 

93,000.00  

 

15

15/11/2017 

10/2017 

84/2017 

Mr. Amorn Meemano 

300 

SEC Act 

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

 

185,400.00  

 

16

15/11/2017 

10/2017 

83/2017 

AJ Advance Technology Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

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

 

185,400.00  

 

17

18/10/2017 

9/2017 

79/2017 

Mr. Narin Usanawarong 

300 

SEC Act 

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

 

1,596,000.00  

 

18

18/10/2017 

9/2017 

78/2017 

Mr. Sakchai Thanaboonchai 

300 

SEC Act 

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

 

1,596,000.00  

 

19

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  

 

20

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  

 

21

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  

 

22

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  

 

23

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  

 

24

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  

 

25

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.  

26

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.  

27

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  

 

28

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  

 

29

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  

 

30

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  

 

31

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  

 

32

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  

 

33

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  

 

34

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  

 

35

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  

 

36

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  

 

37

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  

 

38

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  

 

39

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  

 

40

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  

 

41

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  

 

42

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  

 

43

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  

 

44

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  

 

45

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  

 

46

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  

 

47

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  

 

48

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  

 

49

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  

 

50

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  

 

51

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  

 

52

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  

 

53

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  

 

54

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  

 

55

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  

 

56

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  

 

57

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  

 

58

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  

 

59

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  

 

60

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  

 

61

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  

 

62

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  

 

63

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  

 

64

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  

 

65

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  

 

66

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  

 

67

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  

 

68

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  

 

69

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  

 

70

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  

 

71

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  

 

72

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  

 

73

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  

 

74

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  

 

75

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  

 

76

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  

 

77

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  

 

78

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  

 

79

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  

 

80

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  

 

81

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  

 

82

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  

 

83

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  

 

84

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  

 

85

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  

 

86

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  

 

87

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  

 

88

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  

 

89

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  

 

90

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  

 

91

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  

 

92

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  

 

93

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  

 

94

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  

 

95

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  

 

96

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  

 

97

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  

 

98

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  

 

99

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  

 

100

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  

 

101

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  

 

102

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  

 

103

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  

 

104

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  

 

105

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  

 

106

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  

 

107

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  

 

108

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  

 

109

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  

 

110

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  

 

111

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  

 

112

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  

 

113

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  

 

114

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  

 

115

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  

 

116

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  

 

117

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  

 

118

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  

 

119

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  

 

120

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  

 

121

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  

 

122

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  

 

123

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  

 

124

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  

 

125

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  

 

126

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.  

127

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.  

128

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.  

129

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  

 

130

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  

 

131

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  

 

132

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  

 

133

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  

 

134

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  

 

135

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  

 

136

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  

 

137

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  

 

138

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  

 

139

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  

 

140

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  

 

141

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  

 

142

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  

 

143

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  

 

144

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  

 

145

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  

 

146

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  

 

147

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  

 

148

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  

 

149

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  

 

150

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  

 

151

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  

 

152

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  

 

153

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  

 

154

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  

 

155

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  

 

156

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  

 

157

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  

 

158

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  

 

159

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  

 

160

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  

 

161

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  

 

162

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  

 

163

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  

 

164

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  

 

165

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  

 

166

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  

 

167

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  

 

168

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  

 

169

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  

 

170

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.  

171

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  

 

172

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  

 

173

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  

 

174

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  

 

175

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  

 

176

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  

 

177

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  

 

178

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  

 

179

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  

 

180

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  

 

181

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  

 

182

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  

 

183

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  

 

184

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  

 

185

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  

 

186

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  

 

187

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  

 

188

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  

 

189

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  

 

190

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  

 

191

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  

 

192

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  

 

193

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  

 

194

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  

 

195

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  

 

196

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  

 

197

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  

 

198

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  

 

199

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  

 

200

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  

 

201

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  

 

202

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  

 

203

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  

 

204

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  

 

205

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  

 

206

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  

 

207

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  

 

208

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  

 

209

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  

 

210

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  

 

211

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  

 

212

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  

 

213

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  

 

214

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  

 

215

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  

 

216

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  

 

217

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  

 

218

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  

 

219

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  

 

220

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  

 

221

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  

 

222

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  

 

223

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  

 

224

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  

 

225

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  

 

226

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  

 

227

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  

 

228

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  

 

229

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  

 

230

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  

 

231

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  

 

232

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  

 

233

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  

 

234

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  

 

235

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  

 

236

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  

 

237

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  

 

238

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  

 

239

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  

 

240

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  

 

241

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  

 

242

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  

 

243

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  

 

244

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  

 

245

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  

 

246

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  

 

247

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  

 

248

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  

 

249

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  

 

250

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  

 

251

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  

 

252

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  

 

253

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  

 

254

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  

 

255

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  

 

256

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  

 

257

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  

 

258

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  

 

259

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  

 

260

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  

 

261

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  

 

262

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  

 

263

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  

 

264

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  

 

265

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  

 

266

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  

 

267

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  

 

268

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  

 

269

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  

 

270

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  

 

271

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  

 

272

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  

 

273

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  

 

274

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  

 

275

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  

 

276

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  

 

277

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  

 

278

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  

 

279

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  

 

280

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  

 

281

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  

 

282

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  

 

283

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  

 

284

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  

 

285

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  

 

286

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  

 

287

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  

 

288

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  

 

289

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  

 

290

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  

 

291

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  

 

292

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  

 

293

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  

 

294

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  

 

295

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  

 

296

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  

 

297

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  

 

298

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  

 

299

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  

 

300

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  

 

301

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  

 

302

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  

 

303

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  

 

304

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  

 

305

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  

 

306

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  

 

307

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  

 

308

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  

 

309

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  

 

310

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  

 

311

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  

 

312

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  

 

313

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  

 

314

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  

 

315

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  

 

316

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  

 

317

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  

 

318

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  

 

319

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  

 

320

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  

 

321

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  

 

322

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  

 

323

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  

 

324

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  

 

325

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  

 

326

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  

 

327

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  

 

328

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  

 

329

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  

 

330

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  

 

331

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  

 

332

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  

 

333

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  

 

334

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  

 

335

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  

 

336

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  

 

337

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  

 

338

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  

 

339

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  

 

340

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  

 

341

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  

 

342

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  

 

343

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  

 

344

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  

 

345

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  

 

346

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  

 

347

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  

 

348

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  

 

349

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  

 

350

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  

 

351

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  

 

352

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  

 

353

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  

 

354

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  

 

355

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  

 

356

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  

 

357

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  

 

358

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  

 

359

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  

 

360

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  

 

361

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  

 

362

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  

 

363

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  

 

364

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  

 

365

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  

 

366

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  

 

367

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  

 

368

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  

 

369

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  

 

370

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  

 

371

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  

 

372

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  

 

373

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  

 

374

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  

 

375

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  

 

376

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  

 

377

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  

 

378

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  

 

379

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  

 

380

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  

 

381

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  

 

382

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  

 

383

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  

 

384

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  

 

385

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  

 

386

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  

 

387

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  

 

388

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  

 

389

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. 

390

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. 

391

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. 

392

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. 

393

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. 

394

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. 

395

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. 

396

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. 

397

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  

 

398

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  

 

399

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  

 

400

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  

 

401

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  

 

402

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  

 

403

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  

 

404

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  

 

405

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  

 

406

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  

 

407

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  

 

408

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  

 

409

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  

 

410

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  

 

411

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  

 

412

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  

 

413

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  

 

414

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  

 

415

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  

 

416

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  

 

417

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  

 

418

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  

 

419

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. 

420

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. 

421

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. 

422

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. 

423

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. 

424

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. 

425

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. 

426

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. 

427

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  

 

428

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  

 

429

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  

 

430

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  

 

431

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  

 

432

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  

 

433

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  

 

434

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  

 

435

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  

 

436

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  

 

437

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  

 

438

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  

 

439

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  

 

440

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  

 

441

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  

 

442

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  

 

443

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. 

444

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. 

445

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. 

446

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  

 

447

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  

 

448

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  

 

449

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  

 

450

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  

 

451

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  

 

452

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  

 

453

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  

 

454

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  

 

455

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  

 

456

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  

 

457

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  

 

458

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  

 

459

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  

 

460

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  

 

461

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  

 

462

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  

 

463

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. 

464

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. 

465

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. 

466

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. 

467

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  

 

468

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  

 

469

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  

 

470

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  

 

471

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  

 

472

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  

 

473

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  

 

474

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  

 

475

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  

 

476

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  

 

477

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  

 

478

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  

 

479

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  

 

480

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  

 

481

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  

 

482

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  

 

483

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  

 

484

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  

 

485

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  

 

486

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  

 

487

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  

 

488

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  

 

489

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  

 

490

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  

 

491

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. 

492

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. 

493

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  

 

494

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  

 

495

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  

 

496

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  

 

497

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  

 

498

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  

 

499

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. 

500

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  

 

501

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. 

502

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  

 

503

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  

 

504

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  

 

505

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  

 

506

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  

 

507

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  

 

508

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. 

509

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. 

510

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  

 

511

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  

 

512

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  

 

513

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  

 

514

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  

 

515

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  

 

516

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  

 

517

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  

 

518

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  

 

519

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  

 

520

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  

 

521

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  

 

522

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  

 

523

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  

 

524

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  

 

525

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  

 

526

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  

 

527

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  

 

528

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  

 

529

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  

 

530

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  

 

531

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  

 

532

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  

 

533

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  

 

534

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  

 

535

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  

 

536

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  

 

537

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  

 

538

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  

 

539

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  

 

540

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  

 

541

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  

 

542

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  

 

543

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  

 

544

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  

 

545

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. 

546

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. 

547

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  

 

548

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  

 

549

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  

 

550

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  

 

551

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  

 

552

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  

 

553

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  

 

554

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  

 

555

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  

 

556

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  

 

557

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  

 

558

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  

 

559

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  

 

560

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  

 

561

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  

 

562

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  

 

563

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  

 

564

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  

 

565

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  

 

566

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  

 

567

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  

 

568

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  

 

569

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  

 

570

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  

 

571

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  

 

572

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  

 

573

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  

 

574

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  

 

575

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  

 

576

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  

 

577

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  

 

578

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  

 

579

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  

 

580

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  

 

581

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  

 

582

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  

 

583

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  

 

584

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  

 

585

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  

 

586

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  

 

587

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  

 

588

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  

 

589

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  

 

590

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  

 

591

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  

 

592

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  

 

593

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  

 

594

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  

 

595

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  

 

596

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  

 

597

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  

 

598

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  

 

599

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  

 

600

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  

 

601

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  

 

602

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  

 

603

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  

 

604

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  

 

605

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  

 

606

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  

 

607

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  

 

608

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  

 

609

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  

 

610

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  

 

611

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  

 

612

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  

 

613

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  

 

614

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  

 

615

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  

 

616

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  

 

617

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  

 

618

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  

 

619

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  

 

620

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  

 

621

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  

 

622

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  

 

623

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  

 

624

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  

 

625

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  

 

626

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  

 

627

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  

 

628

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  

 

629

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  

 

630

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  

 

631

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  

 

632

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  

 

633

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  

 

634

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  

 

635

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  

 

636

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  

 

637

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  

 

638

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  

 

639

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  

 

640

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  

 

641

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  

 

642

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  

 

643

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  

 

644

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  

 

645

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  

 

646

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  

 

647

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  

 

648

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  

 

649

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  

 

650

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  

 

651

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  

 

652

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  

 

653

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  

 

653 items


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