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

02/12/2016 

10/2016 

109/2016 

Miss Kornyachath Yodapikul  

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

During September 10 - 27, 2013, Miss Kornyachath Yodapikul colluded or agreed with other principals to trade shares of Yong Thai Pubic Company Limited (YCI) in concealment to mislead the general public to believe that YCI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded YCI shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of YCI shares not consistent with the normal market conditions.  

123/2016
 

1,183,425.00  

 

2

02/12/2016 

10/2016 

108/2016 

Mr.Chanya Leerungruangporn  

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

During September 10 - 27, 2013, Mr.Chanya Leerungruangporn colluded or agreed with other principals to trade shares of Yong Thai Pubic Company Limited (YCI) in concealment to mislead the general public to believe that YCI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded YCI shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of YCI shares not consistent with the normal market conditions.  

123/2016
 

1,183,425.00  

 

3

02/12/2016 

10/2016 

107/2016 

Mr.Bhanurak Saengaram 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

During September 10 - 27, 2013, Mr.Bhanurak Saengaram colluded or agreed with other principals by using his trading account and/or trading accounts of abettors to trade shares of Yong Thai Pubic Company Limited (YCI) in concealment to mislead the general public to believe that YCI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded YCI shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of YCI shares not consistent with the normal market conditions.  

123/2016
 

1,183,425.00  

 

4

02/12/2016 

10/2016 

106/2016 

Mrs.Woranan Lertkulthum 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

During September 10 - 27, 2013, Mrs.Woranan Lertkulthum colluded or agreed with other principals by using her trading account and/or trading accounts of abettors to trade shares of Yong Thai Pubic Company Limited (YCI) in concealment to mislead the general public to believe that YCI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded YCI shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of YCI shares not consistent with the normal market conditions.  

123/2016
 

1,183,425.00  

 

5

02/12/2016 

10/2016 

105/2016 

Mr.Yanyong Intarasongkrog 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

During September 10 - 27, 2013, Mr.Yanyong Intarasongkrog colluded or agreed with other principals by using his trading account and/or trading accounts of abettors to trade shares of Yong Thai Pubic Company Limited (YCI) in concealment to mislead the general public to believe that YCI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded YCI shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of YCI shares not consistent with the normal market conditions.  

123/2016
 

1,183,425.00  

 

6

02/12/2016 

10/2016 

104/2016 

Miss Ornsiree Chinkamtornwong 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

Between May 19, 2014 and July 23, 2014, Miss Ornsiree Chinkamtornwong supported Mr.Assavin Chingumtornvong in selling 8,651,400 ordinary shares of Thai Industrial and Engineering Service Public Company Limited (?TIES?), through securities trading account of Miss Ornsiree. The sales were made in such a way that took advantage of others by using non-public information material to TIES share price concerning the operating results for the second quarter of 2014 contained a loss due to the cancellation of a TIES construction project. Mr.Assavin used such non-public information material to gain unfair benefits over other persons by virtue of his position as a Chairman of TIES. 

117/2016
 

333,333.33  

 

7

02/12/2016 

10/2016 

103/2016 

Mr.Assavin Chingumtornvong 

241 

SEC Act 

Between May 19, 2014 and July 23, 2014, Mr.Assavin Chingumtornvong has illegally sold 8,651,400 ordinary shares of Thai Industrial and Engineering Service Public Company Limited (?TIES?), through securities trading account of Miss Ornsiree Chinkamtornwong. The sales were made in such a way that took advantage of others by using non-public information material to TIES share price concerning the operating results for the second quarter of 2014 contained a loss due to the cancellation of a TIES construction project. Mr.Assavin used such non-public information material to gain unfair benefits over other persons by virtue of his position as a Chairman of TIES. 

117/2016
 

4,333,480.50  

 

8

21/09/2016 

8/2016 

70/2016 

Mr. Rapi Pinijchob 

238 

SEC Act 

On November 23, 2014, Mr. Rapi Pinijchob, the former managing director, responsible for the operation of Rasa Property Development Public Company Limited (?RASA?), disclosed false statement or any other statement related to the joint venture of RASA with the intention to mislead the public concerning the facts relating to the financial condition, the business operation or the trading price of RASA shares. 

090/2016
 

500,000.00  

 

9

21/09/2016 

8/2016 

69/2016 

Mrs. Panadda Suntornsaratul 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

On April 11, 2014, Mrs. Panadda Suntornsaratul supported Miss Chanthani Thanompongchat purchasing 120,000 ordinary shares of Rasa Property Development Public Company Limited (?RASA?), through the accounts of Mrs. Panadda. The purchases were made in such a way that taking advantage of others by using non-public information material to RASA share price concerning the joint venture of RASA. Miss Chanthani used such non-public information material to gain unfair benefits over other persons by virtue of her position as a directors? secretary of RASA. 

 

333,333.33  

 

10

21/09/2016 

8/2016 

68/2016 

Miss Chanthani Thanompongchat 

241 

SEC Act 

On April 11, 2014, Miss. Chanthani Thanompongchat purchased 120,000 ordinary shares of Rasa Property Development Public Company Limited (?RASA?), through the accounts of Mrs. Panadda Suntornsaratul. The purchases were made in such a way that taking advantage of others by using non-public information material to RASA share price concerning the joint venture of RASA. Miss Chanthani used such non-public information material to gain unfair benefits over other persons by virtue of her position as a directors? secretary of RASA. Furthermore, Miss Chanthani invited Mr. Supoj Lertluthaporn and Mrs. Boonsom Lertluthaporn to purchase ordinary shares of RASA on April 11, 2014  

 

1,000,000.00  

 

11

26/07/2016 

6/2016 

38/2016 

Mr.Kerati Panichewa 

241 

SEC Act 

During 3-26 October 2012, Mr.Kerati Panichewa, senior executive of a company that was another TIP major shareholder, sold 576,000 shares of TIP through his account in such a way as to take advantage of other persons by using negative material non-public information concerning that TIP had to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. He obtained the material non-public information by virtue of his positions before such information became public on 30 October 2012. 

68/2016
 

6,802,843.75  

 

12

26/07/2016 

6/2016 

37/2016 

Mr.Natee Panichewa 

241 

SEC Act 

During 13-28 September 2012 and 17-25 October 2012, Mr.Natee Panichewa, director and chief executive officer of Thaisri Insurance Public Company Limited (Thaisri Insurance), ordered 1,561,600 of Dhipaya Insurance Public Company Limited (TIP) shares to be sold from the account of Thaisri Insurance in such a way as to take advantage of other persons by using negative material non-public information concerning that TIP had to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. He obtained the material non- public information by virtue of his positions before such information became public on 30 October 2012. 

68/2016
 

500,000.00  

 

13

26/07/2016 

6/2016 

36/2016 

Thaisri Insurance Public Company Limited 

241 

SEC Act 

During 13-28 September 2012 and 17-25 October 2012, Thaisri Insurance Public Company Limited (Thaisri Insurance), a major shareholder of Dhipaya Insurance Public Company Limited (TIP), sold 1,561,600 of TIP shares through its own account in such a way as to take advantage of other persons by using negative material non- public information concerning the fact that TIP had to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. Thaisri Insurance obtained the material non- public information by Mr.Natee Panichchewa, director and chief executive officer. 

68/2016
 

703,487.50  

 

14

26/07/2016 

6/2016 

35/2016 

Mr.Somporn Suebthawilkul 

241 

SEC Act 

On 28 August 2012 and 2 October 2012, Mr.Somporn Suebthawilkul, the managing director of Dhipaya Insurance Public Company Limited (TIP) sold 70,000 shares of TIP through his account in such a way as to take advantage of other persons by using negative material non- public information concerning the fact that TIP had to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. He obtained the material non- public information by virtue of his positions before such information became public on 30 October 2012. 

68/2016
 

612,500.00  

 

15

26/07/2016 

6/2016 

33/2016 

Mr. Sakorn Suksriwong 

241 

SEC Act 

Mr. Sakorn Suksriwong, at the time he was holding the position of director of BFIT Securities Public Company Limited (BSEC) (Now being voluntary delisted from the SET), the Vice President and Chief Executive Officer of Bangkok First Investment & Trust Public Company Limited (BFIT), solicited the other person to purchase BSEC shares between December 23, 2010 and January 6, 2011 before the information became publicly known on 18 January 2011. Such action was deemed taking an unfair advantage of other people by using positive material non- public information concerning the interest of OSK Investment Bank Berhad, Malaysia (OSKIB) in purchasing shares of BSEC from BFIT with the offer price significantly higher than the market price, thus requiring OSKIB make a tender offer for acquisition of all BSEC shares at the same price. 

67/2016
 

500,000.00  

 

16

28/06/2016 

5/2016 

30/2016 

Mr. Somchit Sabaibang 

Section 243 and Section 86 of Criminal Code 

SEC Act 

During January 9, 2013 - February 28, 2013, Mr. Somchit Sabaibang aided and abetted other persons to trade shares of Union Mosaic Industry Public Company Limited (?UMI?) and to clear such transactions through his securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. 

60/2016
 

37,507,703.30  

Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. 

17

28/06/2016 

5/2016 

29/2016 

Mr. Somchai Kongboon 

Section 243 and Section 86 of Criminal Code 

SEC Act 

During January 9, 2013 - February 28, 2013, Mr. Somchai Kongboon aided and abetted other persons to trade shares of Union Mosaic Industry Public Company Limited (?UMI?) and to clear such transactions through his securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. 

60/2016
 

37,507,703.30  

Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. 

18

28/06/2016 

5/2016 

28/2016 

Miss Phatharika Kongboon (current name : Miss Sirikorn Thongsarai) 

Section 243 and Section 86 of Criminal Code 

SEC Act 

During January 9, 2013 - February 28, 2013, Miss Phatharika Kongboon (current name : Miss Sirikorn Thongsarai) aided and abetted other persons to trade shares of Union Mosaic Industry Public Company Limited (?UMI?) and to clear such transactions through her securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. 

60/2016
 

37,507,703.30  

Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. 

19

28/06/2016 

5/2016 

27/2016 

Mr. Prasian Kongboon 

Section 243 and Section 86 of Criminal Code 

SEC Act 

During January 9, 2013 - February 28, 2013, Mr. Prasian Kongboon aided and abetted other persons to trade shares of Union Mosaic Industry Public Company Limited (?UMI?) and to clear such transactions through his securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. 

60/2016
 

37,507,703.30  

Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. 

20

28/06/2016 

5/2016 

26/2016 

Mr. Prabpol Singtong 

243 in conjunction with Section 83 of the Penal Code 

SEC Act 

During January 9, 2013 - February 28, 2013, Mr. Prabpol Singtong colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (?UMI?) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. 

60/2016
 

56,261,554.95  

Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. 

21

28/06/2016 

5/2016 

25/2016 

Mr. Chukiat Singthong 

243 in conjunction with Section 83 of the Penal Code 

SEC Act 

During January 9, 2013 - February 28, 2013, Mr. Chukiat Singthong colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (?UMI?) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. 

60/2016
 

56,261,554.95  

Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. 

22

28/06/2016 

5/2016 

24/2016 

Mrs. Kodchaphon Singtong 

243 in conjunction with Section 83 of the Penal Code 

SEC Act 

During January 9, 2013 - February 28, 2013, Mrs. Kodchaphon Singtong colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (?UMI?) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. 

60/2016
 

56,261,554.95  

Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. 

23

28/06/2016 

5/2016 

23/2016 

Mr. Promakran Srinarong 

243 in conjunction with Section 83 of the Penal Code 

SEC Act 

During January 9, 2013 - February 28, 2013, Mr. Promakran Srinarong colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (?UMI?) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. 

60/2016
 

56,261,554.95  

Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. 

24

28/06/2016 

5/2016 

22/2016 

Mr. Chalaem Semsarid 

243 in conjunction with Section 83 of the Penal Code 

SEC Act 

During January 9, 2013 - February 28, 2013, Mr. Chalam Samsarid colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (?UMI?) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. 

60/2016
 

72,186,747.45  

Failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint with the DSI for further legal proceedings on 14 July 2016. 

25

20/04/2016 

3/2016 

21/2016 

Mr. Charin Hansuebsai 

241 

SEC Act 

On November 11, 2014, Mr. Charin Hansuebsai (?Mr.Charin?) has illegally sold 147,000 shares of Pacific Pipe Public Company Limited (PAP) through securities trading account of the other. The selling was based on material non-public information concerning PAP?s operating net loss of 29.57 million baht significantly fell from Q3/2013 with the net loss of 114.57 million baht, a decrease of 74.19 percent and fell from Q2/2014 with the net loss of 80.54 million baht, a decrease of 63.29 percent. Mr. Charin used such material non-public information to gain unfair benefits over other persons by virtue of his position as an independent director of PAP. 

38/2016
 

500,000.00  

 

26

20/04/2016 

3/2016 

20/2016 

Mr. Chayanont Weerayuthkosol 

243(2) 

SEC Act 

Between April 28, 2014 and May 30, 2014, Mr. Chayanont Weerayuthkosol continuously traded 19,469,100 shares of Senko (Thailand) Public Company Limited resulting in trading such share which was not consistent with normal market conditions in order to lure general public to trade such share.  

37/2016
 

14,640,844.50  

 

27

16/03/2016 

2/2016 

14/2016 

Mr. Kriangkai Suriyawanakul 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

During August 7 - 8, 2012, Mr. Kriangkai Suriyawanakul aided and abetted Mr. Witoon Suriyawanakul in purchasing 125,000 ordinary shares of Siam Global House Public Company Limited (?GLOBAL?) through his securities trading account and clearing such transactions for Mr. Witoon?s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price. Mr. Witoon used non-public information concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. 

22/2016
 

333,333.33  

 

28

16/03/2016 

2/2016 

13/2016 

Mr. Apilas Suriyavanakul 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

During August 6 - 15, 2012, Mr. Apilas Suriyavanakul aided and abetted Mr. Witoon Suriyawanakul in purchasing 1,677,881 ordinary shares of Siam Global House Public Company Limited (?GLOBAL?) through the securities trading accounts of two persons and clearing such transactions for Mr. Witoon?s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price. Mr. Witoon used non-public information concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. 

22/2016
 

333,333.33  

 

29

16/03/2016 

2/2016 

12/2016 

Miss Kunnatee Suriyawanakul 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

During June 29, 2012 - August 23, 2012, Miss Kunnatee Suriyawanakul aided and abetted Mr. Witoon Suriyawanakul in purchasing 6,220,000 ordinary shares and 3,500,700 warrants of Siam Global House Public Company Limited (?GLOBAL?) through the securities trading accounts of four persons and clearing such transactions for Mr. Witoon?s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price. Mr. Witoon used non-public information concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. 

22/2016
 

333,333.33  

 

30

16/03/2016 

2/2016 

11/2016 

Mr. Witoon Suriyawanakul 

241 

SEC Act 

During June 29, 2012 - August 23, 2012, Mr. Witoon Suriyawanakul purchased 8,022,881 ordinary shares and 3,500,700 warrants of Siam Global House Public Company Limited (?GLOBAL?) through the securities trading accounts of six persons and gained benefits from such transactions. The purchases were made in such a way that taking advantage of others by using non-public information material to GLOBAL share price concerning the joint venture agreement between GLOBAL and SCG Distribution Company Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited. Mr. Witoon used such non-public information material to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. 

22/2016
 

24,322,064.40  

 

31

16/03/2016 

2/2016 

10/2016 

Mr.Chai Sophonpanich 

241 

SEC Act 

Mr.Chai Sophonpanich (?Mr.Chai?) , then chairman and chief executive officer of Bangkok Insurance Public Company Limited ("BKI"), proposed a dividend payment plan for BKI shareholders at the ratio of five existing shares to two dividend shares, on top of the normal dividend payment plan for the operating performance of 2013. This was material information that would have supported an upward trend of the BKI share price. He disclosed such inside information to other persons who purchased BKI shares during February 24, 2014 - February 25, 2014 before the information became publicly known on February 28, 2014. Such action was deemed taking an unfair advantage of other people, and Chai gained benefits indirectly from such other persons? purchases of BKI shares. 

21/2016
 

500,000.00  

 

32

16/03/2016 

2/2016 

9/2016 

Mr. Pichet Boonyapakdee 

238 

SEC Act 

On November 23, 2014, Mr. Pichet Boonyapakdee, the former director, executive director and managing director of accounting and finance responsible for the operation of M-Link Asia Corporation Public Company Limited (?MLINK?), disclosed false statement by denying the news about MLINK?s capital increase to the Stock Exchange of Thailand with the intention to mislead the public concerning the facts relating to the financial condition or the trading price of MLINK shares. 

19/2016
 

500,000.00  

 

33

16/03/2016 

2/2016 

8/2016 

Mr. Somchai Chaisrichawla 

243(1) in conjunction with 244 and 243(2) 

SEC Act 

From September 13 to November 16, 2006, Mr. Somchai Chaisrichawla colluded with Miss Chaninan Luangwaykin in using Somchai?s and other persons? securities trading accounts to continuously trade shares of Asia Metal PLC (AMC) in concealment to mislead the public to believe that such shares were traded in great volume or that such share price was changed, causing the trading of such shares to be inconsistent with the normal market condition to lure the public into the trading.  

23/2016
 

500,000.00  

 

34

16/03/2016 

2/2016 

7/2016 

Mr. Somyos Anantaprayoon 

239 

SEC Act 

On October 27, 2014, Mr. Somyos Anantaprayoon, Chairman and Chief Executive Officer of WHA Corporation Public Company Limited (?WHA?) responsible for the operation of WHA and major shareholder of WHA, disseminate news about the negotiation of purchase deal with other listed company by giving interview to The Press which may cause any other person to understand that the prices of any securities will increase or decrease and WHA did not notify such negotiation to the Stock Exchange of Thailand. 

20/2016
 

500,000.00  

 

35

02/12/2015 

10/2015 

79/2015 

Miss Areeya Asvanund 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

On April 12 and 18, 2013, Miss Areeya Asvanund aided and abetted Mr. Athueck Asvanund in purchasing 6,000 shares of Siam Makro Public Company Limited (MAKRO) through her securities trading account in such a way that taking advantage of others by using positive material non- public information concerning negotiation which CPALL negotiated with SHV Netherland B.V. (SHV) to purchase 154,429,500 MAKRO shares or 64.35 percent of the total issued ordinary shares sold of MAKRO then held directly and indirectly by SHV, at 787 baht per share significantly higher than the market price, thus requiring CPALL make a tender offer for acquisition of all MAKRO shares at the same price. 

131/2015
 

333,333.33  

 

36

02/12/2015 

10/2015 

78/2015 

Mr. Somsak Chiarawisithkul 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

On April 19, 2013, Mr. Somsak Chiarawisithkul aided and abetted Mr. Pittaya Jearavisitkul in purchasing 7,500 shares of Siam Makro Public Company Limited (MAKRO) through his securities trading account in such a way that taking advantage of others by using positive material non- public information concerning negotiation which CPALL negotiated with SHV Netherland B.V. (SHV) to purchase 154,429,500 MAKRO shares or 64.35 percent of the total issued ordinary shares sold of MAKRO then held directly and indirectly by SHV, at 787 baht per share significantly higher than the market price, thus requiring CPALL make a tender offer for acquisition of all MAKRO shares at the same price. 

131/2015
 

333,333.33  

 

37

02/12/2015 

10/2015 

77/2015 

Mr. Athueck Asvanund 

241 

SEC Act 

On April 12 and 18, 2013, Mr. Athueck Asvanund purchased 6,000 shares of MAKRO through the trading account of Miss Areeya Asvanund in such a way as to take advantage of other persons by using positive material non- public information concerning negotiation which CPALL negotiated with SHV Netherland B.V. (SHV) to purchase 154,429,500 MAKRO shares or 64.35 percent of the total issued ordinary shares sold of MAKRO then held directly and indirectly by SHV, at 787 baht per share significantly higher than the market price, thus requiring CPALL make a tender offer for acquisition of all MAKRO shares at the same price. He obtained the material non- public information being chief legal official of purchase team participating in negotiation with SHV before such information became public on April 23, 2013. 

131/2015
 

1,407,000.00  

 

38

02/12/2015 

10/2015 

76/2015 

Mr. Pittaya Jearavisitkul 

241 

SEC Act 

On April 19, 2013, Mr. Pittaya Jearavisitkul, the director and deputy chief executive officer of CP All Public Company Limited (CPALL), purchased 7,500 shares of Siam Makro Public Company Limited (MAKRO) through the trading account of Mr. Somsak Chiarawisithkul in such a way as to take advantage of other persons by using positive material non- public information concerning negotiation which CPALL negotiated with SHV Netherland B.V. (SHV) to purchase 154,429,500 MAKRO shares or 64.35 percent of the total issued ordinary shares sold of MAKRO then held directly and indirectly by SHV, at 787 baht per share significantly higher than the market price, thus requiring CPALL make a tender offer for acquisition of all MAKRO shares at the same price. He obtained the material non- public information by virtue of his positions before such information became public on April 23, 2013.  

131/2015
 

979,500.00  

 

39

02/12/2015 

10/2015 

75/2015 

Mr. Piyawat Titasattavorakul 

241 

SEC Act 

On April 17, 2013, Mr. Piyawat Titasattavorakul, the director and managing director of CP All Public Company Limited (CPALL), purchased 5,000 shares of Siam Makro Public Company Limited (MAKRO) through his account in such a way as to take advantage of other persons by using positive material non- public information concerning negotiation which CPALL negotiated with SHV Netherland B.V. (SHV) to purchase 154,429,500 MAKRO shares or 64.35 percent of the total issued ordinary shares sold of MAKRO then held directly and indirectly by SHV, at 787 baht per share significantly higher than the market price, thus requiring CPALL make a tender offer for acquisition of all MAKRO shares at the same price. He obtained the material non- public information by virtue of his positions before such information became public on April 23, 2013.  

131/2015
 

725,000.00  

 

40

02/12/2015 

10/2015 

74/2015 

Mr. Korsak Chairasmisak 

241 

SEC Act 

On April 10, 2013, Mr. Korsak Chairasmisak , the vice chairman and chief executive officer of CP All Public Company Limited (CPALL), purchased 118,300 shares of Siam Makro Public Company Limited (MAKRO) through his account in such a way as to take advantage of other persons by using positive material non- public information concerning negotiation which CPALL negotiated with SHV Netherland B.V. (SHV) to purchase 154,429,500 MAKRO shares or 64.35 percent of the total issued ordinary shares sold of MAKRO then held directly and indirectly by SHV, at 787 baht per share significantly higher than the market price, thus requiring CPALL make a tender offer for acquisition of all MAKRO shares at the same price. He obtained the material non- public information by virtue of his positions before such information became public on April 23, 2013.  

131/2015
 

30,228,000.00  

 

41

18/11/2015 

9/2015 

72/2015 

Miss Woratharn Uahvilaijit 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Miss Woratharn Uahvilaijit aided and abetted other persons to trade shares of Pylon Public Company Limited (?PYLON?) on continual basis and in concealment to mislead the general public to believe that PYLON shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of PYLON shares not consistent with the normal market conditions. 

 

333,333.33  

 

42

18/11/2015 

9/2015 

71/2015 

Mr. Noparat Jongyin 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between February 2, 2012 and May 15, 2012, Mr. Noparat Jongyin colluded or agreed with other principals to trade shares of Pylon Public Company Limited (?PYLON?) in concealment to mislead the general public to believe that PYLON shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded PYLON shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of PYLON shares not consistent with the normal market conditions. 

 

500,000.00  

 

43

18/11/2015 

9/2015 

70/2015 

Mr. Bordin Sangarayakul 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between February 2, 2012 and May 15, 2012, Mr. Bordin Sangarayakul colluded or agreed with other principals to trade shares of Pylon Public Company Limited (?PYLON?) in concealment to mislead the general public to believe that PYLON shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded PYLON shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of PYLON shares not consistent with the normal market conditions. 

 

5,870,805.00  

 

44

17/09/2015 

8/2015 

63/2015 

Mr. Ratanachai Phatinavin 

241 

SEC Act 

Between February 24, 2014 and February 28, 2014, Mr. Ratanachai Phatinavin has illegally bought 9,000,000 shares of Eastern Star Real Estate Public Company Limited (ESTAR) through another person?s securities trading account. The buying was based on material non-public information concerning ESTAR?s net profit at the end of year 2013. The net profit was Baht 148.04 million which significantly increased from previous year Baht 270.61 million, an increase of 220.78 percent. Mr. Ratanachai used such material non-public information to gain unfair benefits over other persons by virtue of his position as a Chief Executive Officer of ESTAR. 

102/2015
 

2,820,000.00  

 

45

20/08/2015 

7/2015 

57/2015 

Mr. Paiboon Thong-ra-ar 

241 

SEC Act 

Between October 16, 2013 and October 18, 2013, Mr. Paiboon Thong-ra-ar has illegally sold 5,950,000 shares of EMC Public Company Limited (EMC) and 8,900,000 units of warrants of EMC Public Company Limited (EMC-W3) through securities trading account of another person. The selling was based on material non-public information concerning EMC?s operating net loss of 1,179.10 million baht in comparison with the net loss of 30.80 million baht in the previous quarter. Mr. Paiboon used such material non-public information to gain unfair benefits over other persons by virtue of his position as a Managing Director-Engineering of EMC. 

097/2015
 

6,028,563.75  

 

46

11/06/2015 

5/2015 

51/2015 

Miss Vallaya Vongpatarakul 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 18, 2008 and October 9, 2008, Miss Vallaya Vongpatarakul colluded or agreed with other principals to trade shares of Thaiyuanmetal Pubic Company Limited (TYM) (now known as The Steel Pubic Company Limited (THE)) in concealment to mislead the general public to believe that TYM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded TYM shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of TYM shares not consistent with the normal market conditions. 

73/2015
 

1,718,816.18  

 

47

11/06/2015 

5/2015 

50/2015 

Mr. Boonchoke Santuchpanit 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 18, 2008 and October 9, 2008, Mr. Boonchoke Santuchpanit (now known as Mr. Boonchoke Thiratarakorn) colluded or agreed with other principals to trade shares of Thaiyuanmetal Pubic Company Limited (TYM) (now known as The Steel Pubic Company Limited (THE)) in concealment to mislead the general public to believe that TYM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded TYM shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of TYM shares not consistent with the normal market conditions. 

73/2015
 

1,718,816.18  

 

48

11/06/2015 

5/2015 

49/2015 

Mr. Boonchai Jirapongtrakul 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 18, 2008 and October 9, 2008, Mr. Boonchai Jirapongtrakul colluded or agreed with other principals to trade shares of Thaiyuanmetal Pubic Company Limited (TYM) (now known as The Steel Pubic Company Limited (THE)) in concealment to mislead the general public to believe that TYM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded TYM shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of TYM shares not consistent with the normal market conditions. 

73/2015
 

1,718,816.18  

 

49

11/06/2015 

5/2015 

48/2015 

Mr. Boon Prasitsamrit 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 18, 2008 and October 9, 2008, Mr. Boon Prasitsamrit colluded or agreed with other principals to trade shares of Thaiyuanmetal Pubic Company Limited (TYM) (now known as The Steel Pubic Company Limited (THE)) in concealment to mislead the general public to believe that TYM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded TYM shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of TYM shares not consistent with the normal market conditions. 

73/2015
 

1,718,816.18  

 

50

11/06/2015 

5/2015 

47/2015 

Mr. Pichai Kovitkanit 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 18, 2008 and October 9, 2008, Mr. Pichai Kovitkanit colluded or agreed with other principals to trade shares of Thaiyuanmetal Pubic Company Limited (TYM) (now known as The Steel Pubic Company Limited (THE)) in concealment to mislead the general public to believe that TYM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded TYM shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of TYM shares not consistent with the normal market conditions. 

73/2015
 

1,718,816.18  

 

51

11/06/2015 

5/2015 

46/2015 

Miss Luckkana Sae-Lee 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 18, 2008 and October 9, 2008, Miss Luckkana Sae-Lee (formerly known as Miss Premsinee Thanawongsak and now known as Miss Wimonpak Chorenthaninchon) colluded or agreed with other principals to trade shares of Thaiyuanmetal Pubic Company Limited (TYM) (now known as The Steel Pubic Company Limited (THE)) in concealment to mislead the general public to believe that TYM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded TYM shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of TYM shares not consistent with the normal market conditions. 

73/2015
 

1,718,816.18  

 

52

11/06/2015 

5/2015 

45/2015 

Miss Pattanuch Wangpornpra 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 18, 2008 and October 9, 2008, Miss Pattanuch Wangpornpra colluded or agreed with other principals to trade shares of Thaiyuanmetal Pubic Company Limited (TYM) (now known as The Steel Pubic Company Limited (THE)) in concealment to mislead the general public to believe that TYM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded TYM shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of TYM shares not consistent with the normal market conditions. 

73/2015
 

1,718,816.18  

 

53

11/06/2015 

5/2015 

44/2015 

Mr. Prasong Kiatkamolkul 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 18, 2008 and October 9, 2008, Mr. Prasong Kiatkamolkul colluded or agreed with other principals to trade shares of Thaiyuanmetal Pubic Company Limited (TYM) (now known as The Steel Pubic Company Limited (THE)) in concealment to mislead the general public to believe that TYM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, he continuously traded TYM shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of TYM shares not consistent with the normal market conditions. 

73/2015
 

1,718,816.18  

 

54

11/06/2015 

5/2015 

43/2015 

Miss Duangruethai Veerasilapaleart 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 18, 2008 and October 9, 2008, Miss Duangruethai Veerasilapaleart colluded or agreed with other principals to trade shares of Thaiyuanmetal Pubic Company Limited (TYM) (now known as The Steel Pubic Company Limited (THE)) in concealment to mislead the general public to believe that TYM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded TYM shared to lure the general public to purchase or sell such shares which resulted in the purchase or sale of TYM shares not consistent with the normal market conditions. 

73/2015
 

1,718,816.18  

 

55

20/04/2015 

4/2015 

37/2015 

Mr. Sermkhun Kunawong 

241 

SEC Act 

Between April 23, 2012 and May 14, 2012, Mr. Sermkhun Kunawong, the chief executive officer and director of CMO Public Company Limited (CMO), purchased CMO shares through his accounts in such a way as to take advantage of other persons by using material non-public information concerning the business operation of CMO for Q 2/2012 that he obtained by virtue of his positions before such information became public on May 15, 2012. 

48/2015
 

500,000.00  

 

56

20/04/2015 

4/2015 

37/2015 

Mr. Sermkhun Kunawong 

241 

SEC Act 

Between August 8, 2012 and September 13, 2012, Mr. Sermkhun Kunawong, the chief executive officer and director of CMO Public Company Limited (CMO), purchased CMO shares, through nominee account, in such a way as to take advantage of other persons by using material non-public information concerning the interim dividend payment 2012 and warrants to purchase CMO ordinary shares to be issued and allocated to existing shareholders for free that he obtained by virtue of his positions before such information became public on September 14, 2012. 

48/2015
 

4,920,324.00  

 

57

20/04/2015 

4/2015 

36/2015 

Mr. Chakkit Thanavirun 

238 

SEC Act 

On February 28, 2014, Mr. Chakkit Thanavirun, a managing director, an executive chairman and a vice president responsible for the operation of Bliss-Tel Public Company Limited (BLISS), imparted the false statement in the financial statements for the year 2013 of BLISS with intent to mislead other persons that the revenues from sales of CCTV Cables, Baht 97.40 million, were the revenues from normal course of business. As a matter of fact, such revenues were classified as other incomes from acting as agent for selling of goods. The revenues were not generated from the actual operating activities of BLISS. 

47/2015
 

500,000.00  

 

58

20/04/2015 

4/2015 

36/2015 

Mr. Chakkit Thanavirun 

238 

SEC Act 

On July 23, 2013, Mr. Chakkit Thanavirun, an executive vice president (administration and finance) responsible for the operation of Bliss-Tel Public Company Limited (BLISS), imparted the false statement in the financial statements for Q2/2013 of BLISS with intent to mislead other persons that the revenues from computer system testing services, Baht 7.50 million, were the revenues from normal course of business. As a matter of fact, such revenues were classified as other incomes from acting as agent for rendering services. The revenues were not generated from the actual operating activities of BLISS. 

47/2015
 

500,000.00  

 

59

20/04/2015 

4/2015 

36/2015 

Mr. Chakkit Thanavirun 

238 

SEC Act 

On November 12, 2013, Mr. Chakkit Thanavirun, a managing director, an executive chairman and a vice president responsible for the operation of Bliss-Tel Public Company Limited (BLISS), imparted the false statement in the financial statements for Q3/2013 of BLISS with intent to mislead other persons that the revenues from sales of CCTV Cables, Baht 37.10 million, and sales of toner and printers, Baht 26.09 million, were the revenues from normal course of business. As a matter of fact, such revenues were classified as other incomes from acting as agent for selling of goods. The revenues were not generated from the actual operating activities of BLISS. 

47/2015
 

500,000.00  

 

60

10/03/2015 

3/2015 

29/2015 

Mrs. Pantipa Thirakanokvilai 

241 

SEC Act 

On January 30, 2013 and February 4, 2013, Mrs. Pantipa Thirakanokvilai, the financial controller of IT City Public Company Limited (IT) sold 374,440 shares of IT through another person?s securities trading account in such a way as to take advantage of other persons by using material non-public information relating to the performance of IT. IT?s net profit of the year 2012 significantly fell from previous year Baht 129.83 million, a decrease of 59.77 percent, the lowest profit in nine years since 2004, and IT would not pay the interim dividend from the company?s performance in 4/2012. Mrs. Pantipa gained such material non-public information by virtue of her position as a financial controller of IT. 

28/2015
 

500,000.00  

 

61

23/12/2014 

13/2014 

141/2014 

Miss Angkakarn Tantiviroon 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between May 10, 2007 and July 31, 2007, Miss Angkakarn Tantiviroon colluded or agreed with other principals to trade shares of Rich Asia Steel Public Company Limited (RICH) through fifteen other persons trading accounts in concealment to mislead the general public to believe that RICH shares were purchased or sold in great volume or the price of RICH shares had changed at that time which was not consistent with the normal market conditions. Additionally, she continuously traded RICH shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

 

25,665,197.13  

The special case inquiry official forwarded the request for reentering into the settlement of Miss Angkakarn Tantiviroon to the Settlement Committee. 

62

26/11/2014 

12/2014 

119/2014 

Mrs. Rachada Srivirojnawong 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

During April 8, 2010 - June 15, 2010, Mrs. Rachada Srivirojnawong aided and abetted Mrs. Anothai Phornprapha, Mr. Prapol Phornprapha, and Miss Prin Phornprapha, in purchasing S.P. Suzuki Plc. (SPSU) shares through her securities trading account in such a way that taking advantage of others by using non-public information material to SPSU share price related to the Memorandum of Understanding (MoU) which Suzuki Motor Corporation planned to purchase the shares of Thai Suzuki Motor Co., Ltd. from the sellers comprising SPSU, S.P. International Co., Ltd. (SPI) and some of Phornprapha family members. The MoU prescribed a condition that the sellers must proceed to either close down the business or delist SPSU shares from the Stock Exchange of Thailand. Later, SPI launched a tender offer to purchase SPSU shares at the price higher than the market price during such period. 

171/2014
 

333,333.33  

 

63

26/11/2014 

12/2014 

118/2014 

Miss Amornrat Kongsitthanakorn 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

During April 8, 2010 - June 15, 2010, Miss Amornrat Kongsitthanakorn aided and abetted Mrs. Anothai Phornprapha, Mr. Prapol Phornprapha, and Miss Prin Phornprapha, in purchasing S.P. Suzuki Plc. (SPSU) shares through her securities trading account in such a way that taking advantage of others by using non-public information material to SPSU share price related to the Memorandum of Understanding (MoU) which Suzuki Motor Corporation planned to purchase the shares of Thai Suzuki Motor Co., Ltd. from the sellers comprising SPSU, S.P. International Co., Ltd. (SPI) and some of Phornprapha family members. The MoU prescribed a condition that the sellers must proceed to either close down the business or delist SPSU shares from the Stock Exchange of Thailand. Later, SPI launched a tender offer to purchase SPSU shares at the price higher than the market price during such period. 

171/2014
 

333,333.33  

 

64

26/11/2014 

12/2014 

117/2014 

Miss Prin Phornprapha 

241 

SEC Act 

During April 8, 2010 - June 15, 2010, Miss Prin Phornprapha purchased S.P. Suzuki Plc. (SPSU) shares through securities trading accounts of Miss Amornrat Kongsitthanakorn and Mrs. Rachada Srivirojnawong for her own and other persons? benefits. The purchases were made in such a way that taking advantage of others by using non-public information material to SPSU share price. Miss Prin learnt of a draft Memorandum of Understanding (MoU) where Suzuki Motor Corporation planned to purchase the shares of Thai Suzuki Motor Co., Ltd. from the sellers comprising SPSU, S.P. International Co., Ltd. (SPI) and some of Phornprapha family members. The MoU prescribed a condition that the sellers must proceed to either close down the business or delist SPSU shares from the Stock Exchange of Thailand. Later, SPI launched a tender offer to purchase SPSU shares at the price higher than the market price during such period. 

171/2014
 

6,636,046.77  

 

65

26/11/2014 

12/2014 

116/2014 

Mr. Prapol Phornprapha 

241 

SEC Act 

During April 8, 2010 - June 15, 2010, Mr. Prapol Phornprapha purchased S.P. Suzuki Plc. (SPSU) shares through securities trading accounts of Miss Amornrat Kongsitthanakorn and Mrs. Rachada Srivirojnawong for his own and other persons? benefits. The purchases were made in such a way that taking advantage of others by using non-public information material to SPSU share price. Mr. Prapol learnt of a draft Memorandum of Understanding (MoU) where Suzuki Motor Corporation planned to purchase the shares of Thai Suzuki Motor Co., Ltd. from the sellers comprising SPSU, S.P. International Co., Ltd. (SPI) and some of Phornprapha family members. The MoU prescribed a condition that the sellers must proceed to either close down the business or delist SPSU shares from the Stock Exchange of Thailand. Later, SPI launched a tender offer to purchase SPSU shares at the price higher than the market price during such period. 

171/2014
 

2,948,813.46  

 

66

26/11/2014 

12/2014 

115/2014 

Mrs. Anothai Phornprapha 

241 

SEC Act 

During April 8, 2010 - June 15, 2010, Mrs. Anothai Phornprapha purchased S.P. Suzuki Plc. (SPSU) shares through securities trading accounts of Miss Amornrat Kongsitthanakorn and Mrs. Rachada Srivirojnawong for her own and other persons? benefits. The purchases were made in such a way that taking advantage of others by using non-public information material to SPSU share price. As Mrs. Anothai was one of the sellers comprising SPSU, S.P. International Co., Ltd. (SPI) and some of Phornprapha family members, she learnt of a draft Memorandum of Understanding (MoU) where Suzuki Motor Corporation planned to purchase from the said sellers the shares of Thai Suzuki Motor Co., Ltd. The MoU prescribed a condition that the sellers must proceed to either close down the business or delist SPSU shares from the Stock Exchange of Thailand. Later, SPI launched a tender offer to purchase SPSU shares at the price higher than the market price during such period. 

171/2014
 

2,580,211.77  

 

67

28/10/2014 

11/2014 

107/2014 

Mr. Sinchok Sarinnapakron 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between July 21, 2008 and August 20, 2008, Mr. Sinchok Sarinnapakron aided and abetted other persons to trade securities of Union Petrochemical Pubic Company Limited (UKEM) on continual basis and in concealment to mislead the general public to believe that UKEM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UKEM shares not consistent with the normal market conditions. 

155/2014
 

333,333.33  

 

68

28/10/2014 

11/2014 

106/2014 

Miss Namkhang Chanthachat 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between July 21, 2008 and August 20, 2008, Miss Namkhang Chanthachat aided and abetted other persons to trade securities of Union Petrochemical Pubic Company Limited (UKEM) on continual basis and in concealment to mislead the general public to believe that UKEM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UKEM shares not consistent with the normal market conditions. 

155/2014
 

333,333.33  

 

69

28/10/2014 

11/2014 

105/2014 

Mr. Werayut Saeaung 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between July 21, 2008 and August 20, 2008, Mr. Werayut Saeaung aided and abetted other persons to trade securities of Union Petrochemical Pubic Company Limited (UKEM) on continual basis and in concealment to mislead the general public to believe that UKEM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UKEM shares not consistent with the normal market conditions. 

155/2014
 

333,333.33  

 

70

28/10/2014 

11/2014 

104/2014 

Miss Siriporn Ketkesee 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between July 21, 2008 and August 20, 2008, Miss Siriporn Ketkesee aided and abetted other persons to trade securities of Union Petrochemical Pubic Company Limited (UKEM) on continual basis and in concealment to mislead the general public to believe that UKEM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UKEM shares not consistent with the normal market conditions. 

155/2014
 

333,333.33  

 

71

28/10/2014 

11/2014 

103/2014 

Mr. Supon Boonsong 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between July 21, 2008 and August 20, 2008, Mr. Supon Boonsong aided and abetted other persons to trade securities of Union Petrochemical Pubic Company Limited (UKEM) on continual basis and in concealment to mislead the general public to believe that UKEM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UKEM shares not consistent with the normal market conditions. 

155/2014
 

333,333.33  

 

72

28/10/2014 

11/2014 

102/2014 

Mr. Bordinth Lua-aroon 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 21, 2008 and August 20, 2008, Mr. Bordinth Lua-aroon colluded or agreed with other principals to trade shares of Union Petrochemical Pubic Company Limited (UKEM) in concealment to mislead the general public to believe that UKEM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded UKEM shared on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UKEM shares not consistent with the normal market conditions. 

155/2014
 

10,564,794.03  

 

73

28/10/2014 

11/2014 

101/2014 

Miss Phanwadee Panichayaporn (former name : Nongluk) 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 21, 2008 and August 20, 2008, Miss Phanwadee Panichayaporn (former name : Nongluk) colluded or agreed with other principals to trade shares of Union Petrochemical Pubic Company Limited (UKEM) in concealment to mislead the general public to believe that UKEM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded UKEM shared on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UKEM shares not consistent with the normal market conditions.  

155/2014
 

500,000.00  

 

74

28/10/2014 

11/2014 

100/2014 

Miss Preechaya Tikasurat (former surname : Wongpaitoonpiya) 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 21, 2008 and August 20, 2008, Miss. Preechaya Teekarsurat (former surname : Wongpaitoonpiya) colluded or agreed with other principals to trade shares of Union Petrochemical Pubic Company Limited (UKEM) in concealment to mislead the general public to believe that UKEM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded UKEM shared on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UKEM shares not consistent with the normal market conditions. 

155/2014
 

500,000.00  

 

75

28/10/2014 

11/2014 

99/2014 

Miss Sriubol Intaraaumnuy 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 21, 2008 and August 20, 2008, Miss Sriubol Intaraaumnuy colluded or agreed with other principals to trade shares of Union Petrochemical Pubic Company Limited (UKEM) in concealment to mislead the general public to believe that UKEM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded UKEM shared on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UKEM shares not consistent with the normal market conditions. 

155/2014
 

6,216,808.65  

 

76

28/10/2014 

11/2014 

98/2014 

Miss Ampai Rattana-nawin 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 21, 2008 and August 20, 2008, Miss Ampai Rattana-nawin colluded or agreed with other principals to trade shares of Union Petrochemical Pubic Company Limited (UKEM) in concealment to mislead the general public to believe that UKEM shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions. Additionally, she continuously traded UKEM shared on purpose to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UKEM shares not consistent with the normal market conditions. 

155/2014
 

500,000.00  

 

77

28/10/2014 

11/2014 

97/2014 

Mr. Arnonchai Veerapravati 

243(2) 

SEC Act 

On September 16, 2013 during 10.04 ? 11.11 hrs., Mr. Arnonchai Veerapravati continuously traded 130,121,000 shares of Sahaviriya Steel Industries Public Company Limited (SSI) via internet trading system to resulting in trading such share which was not consistent with normal market in order to lure general public to trade such share. 

157/2014
 

768,925.00  

 

78

28/10/2014 

11/2014 

96/2014 

Mr. Pratheep Wongkulnit 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between 12.06.05 P.M. to 14.30.43 P.M. on January 7, 2013, Mr. Pratheep Wongkulnit colluded or agreed with other persons by using his trading accounts to trade securities of PERMSIN STEEL WORKS Pubic Company Limited (PERM) in concealment to mislead the public to believe that at such time the trading volumes were substantially high and the price of PERM securities changed which was inconsistent with the normal market conditions. In addition, he continuously traded PERM securities, causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

 

500,000.00  

 

79

28/10/2014 

11/2014 

95/2014 

Mr.Wichian Ursiripant 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between 12.06.05 P.M. to 14.30.43 P.M. on January 7, 2013, Mr.Wichian Ursiripant colluded or agreed with other persons by using his trading accounts to trade securities of PERMSIN STEEL WORKS Pubic Company Limited (PERM) in concealment to mislead the public to believe that at such time the trading volumes were substantially high and the price of PERM securities changed which was inconsistent with the normal market conditions. In addition, he continuously traded PERM securities, causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

 

500,000.00  

 

80

28/10/2014 

11/2014 

94/2014 

Mr.Sarmkiat Kangsathein 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between 12.06.05 P.M. to 14.30.43 P.M. on January 7, 2013, Mr.Sarmkiat Kangsathein colluded or agreed with other persons by using his trading accounts to trade securities of PERMSIN STEEL WORKS Pubic Company Limited (PERM) in concealment to mislead the public to believe that at such time the trading volumes were substantially high and the price of PERM securities changed which was inconsistent with the normal market conditions. In addition, he continuously traded PERM securities, causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

 

1,074,121.25  

 

81

28/10/2014 

11/2014 

93/2014 

Mrs. Piyanuch Janetumnugul 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

Between April 30 ? 10 May, 2012, Mrs. Piyanuch Janetumnugul aided and abetted Mr. Satja Janetumnugul in purchasing Rayong Purifier Public Company Limited?s shares by using material non- public information. She allowed Mr. Satja Janetumnugul to use her bank account and assisted in price settlement of such purchase for Mr. Satja Janetumnugul?s benefit. 

158/2014
 

333,333.33  

 

82

28/10/2014 

11/2014 

92/2014 

Mr. Satja Janetumnugul 

241 

SEC Act 

Between April 30 ? 10 May, 2012, Mr. Satja Janetumnugul, the chairman of the board of director of Rayong Purifier Public Company Limited (RPC), purchased 490,000 shares of RPC through the trading account of another person which he was beneficial owner in such a way as to take advantage of other persons by using positive material non- public information concerning RPC interim dividend at the rate of baht 0.94 per share which was higher than dividend paid in the last 5 years. He obtained the material non- public information by virtue of his positions before such information became public on May 11, 2012. 

158/2014
 

500,000.00  

 

83

28/10/2014 

11/2014 

91/2014 

Mr. Sumit Chanmatee 

241 

SEC Act 

Between April 30 ? 10 May, 2012, Mr. Sumit Chanmatee , the director of Rayong Purifier Public Company Limited (RPC), purchased 2,514,800 shares of RPC through the trading account of another person which he was authorized to trade in such a way as to take advantage of other persons by using positive material non- public information concerning RPC interim dividend at the rate of baht 0.94 per share which was higher than dividend paid in the last 5 years. He obtained the material non- public information by virtue of his positions before such information became public on May 11, 2012. 

158/2014
 

1,054,326.00  

 

84

18/06/2014 

7/2014 

64/2014 

Miss Vorapin Ngamkaiwan 

241 

SEC Act 

On July 27 ? 28, 2011, Miss Vorapin Ngamkaiwan illegally sold 318,500 shares of Thai Unique Coil Center Public Company Limited (TUCC) in such a way as to take advantage of other persons by using material non-public information concerning the recording allowance for doubtful account on 26 trade accounts receivable worth Baht 43.99 million which resulted in TUCC?s Baht 104.86 million loss in Q2/2011. Miss Vorapin gained such material non-public information by virtue of her position as a chief finance officer of TUCC. 

87/2014
 

500,000.00  

Miss Vorapin failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint against him with the DSI for further legal proceedings. 

85

18/06/2014 

7/2014 

63/2014 

Mr. Yongyuth Ngamkaiwan 

241 

SEC Act 

Between July 27, 2011 ? August 10, 2011, Mr. Yongyuth Ngamkaiwan illegally invited Miss Vorakun Ngamkaiwan to sell 17,475,100 shares of Thai Unique Coil Center Public Company Limited (TUCC) in such a way as to take advantage of other persons by using material non-public information concerning the recording allowance for doubtful account on 26 trade accounts receivable worth Baht 43.99 million which resulted in TUCC?s Baht 104.86 million loss in Q2/2011. Mr. Yongyuth also gained the benefit from his suggestion. He gained such material non-public information by virtue of his position as a chief executive officer of TUCC. 

87/2014
 

5,659,269.00  

Mr. Yongyuth failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint against him with the DSI for further legal proceedings. 

86

21/05/2014 

6/2014 

52/2014 

Mr. Somchai Kovitcharoenkul 

241 

SEC Act 

On 22, 25, 26, 27, and 28 July 2011, and on 1 and 2 August 2011 (7 business days), Mr. Somchai Kovitcharoenkul illegally sold 7,026,400 shares of M-Link Asia Corporation Public Company Limited in such a way as to take advantage of other persons by using material non-public information concerning the decreasing operating performance of MLINK in Q2/2011 recording a net loss of Baht 315.79 million which resulted from reserving a loss from impairment of work in construction of assets for rental in a subsidiary, namely Portal Net Company Limited. Mr. Somchai gained such material non-public information by virtue of his position as a director of MLINK. 

73/2014
 

1,808,083.06  

 

87

21/05/2014 

6/2014 

51/2014 

Ms. Monthatip Shinawattra 

241 

SEC Act 

On 27 July 2011, and on 3, 4, 5, 9, 10 and 15 August 2011 (7 business days), Ms. Monthatip Shinawattra illegally sold 29,000,000 shares of M-Link Asia Corporation Public Company Limited through a trading account of M Capital Holdings Company Limited in such a way as to take advantage of other persons by using material non-public information concerning the decreasing operating performance of MLINK in Q2/2011 recording a net loss of Baht 315.79 million which resulted from reserving a loss from impairment of work in construction of assets for rental in a subsidiary, namely Portal Net Company Limited. Ms. Monthatip gained such material non-public information by virtue of her positions as the chairperson and managing director of MLINK and her act was done for benefit of M Capital Holdings Company Limited, of which she held 49.99% shares. 

73/2014
 

7,862,349.85  

 

88

19/03/2014 

4/2014 

46/2014 

Miss. Anoma Eiamraksawong 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Miss. Anoma Eiamraksawong colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, she continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

37/2014
 

4,165,509.06  

 

89

19/03/2014 

4/2014 

45/2014 

Miss. Ruangrapee Chakitdee 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Miss. Ruangravee Chakitdee colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, she continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

37/2014
 

500,000.00  

 

90

19/03/2014 

4/2014 

44/2014 

Mr. Tuangwut Phanyadilok 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Mr. Tuangwut Phanyadilok colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, he continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

37/2014
 

552,167.58  

 

91

19/03/2014 

4/2014 

43/2014 

Mr. Samart Chittipatanakulchai 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Mr. Samart Chittipatanakulchai colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, he continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

37/2014
 

500,000.00  

 

92

19/03/2014 

4/2014 

42/2014 

Mr. Nonthasorn Dantrakul 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Mr. Nonthasorn Dantrakul colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, he continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

37/2014
 

500,000.00  

 

93

19/03/2014 

4/2014 

41/2014 

Miss. Natthaya Chokudomnirun 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Miss. Natthaya Chokudomnirun colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, she continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

37/2014
 

2,093,182.82  

 

94

19/03/2014 

4/2014 

40/2014 

Mr. Sarawut Leelasoanchai 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Mr. Sarawut Leelasoanchai colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, he continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares.  

37/2014
 

1,651,525.98  

 

95

19/03/2014 

4/2014 

39/2014 

Mr. Supon Boonsong 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Mr. Supon Boonsong colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, he continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares.  

37/2014
 

500,000.00  

 

96

19/03/2014 

4/2014 

38/2014 

Miss. Preechaya Teekarsurat (former surname : Wongpaitoonpiya) 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Miss. Preechaya Teekarsurat (former surname : Wongpaitoonpiya) colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, she continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

37/2014
 

500,000.00  

 

97

19/03/2014 

4/2014 

37/2014 

Mr. Therasak Tangpoonphonvivat 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Mr. Therasak Tangpoonphonvivat colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, he continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

37/2014
 

500,000.00  

 

98

19/03/2014 

4/2014 

36/2014 

Miss. Tanika Tangpoonphonvivat 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between July 24, 2009 and August 26, 2009, Miss. Tanika Tangpoonphonvivat colluded or agreed with other principals to trade shares of Millcon Steel Public Company Limited (MILL) in concealment to mislead the general public to believe that MILL shares were purchased or sold in great volume or the price of MILL shares had changed at that time which was not consistent with the normal market conditions. Additionally, she continuously traded MILL shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

37/2014
 

500,000.00  

 

99

19/03/2014 

4/2014 

35/2014 

Mr. Sumit Chanmatee 

241 

SEC Act 

Between November 9 ? November 22 , 2012, Mr. Sumit Chanmatee, the director of Rayong Purifier Public Company Limited (RPC), purchased 1,786,100 shares of RPC through the trading account of Another person in such a way as to take advantage of other persons by using positive material non- public information concerning RPC investment inSammakorn Public Company Limited (SAMCO). He obtained the material non- public information by virtue of his positions before such information became public on November 23, 2012.  

36/2014
 

500,000.00  

 

100

19/02/2014 

2/2014 

31/2014 

Miss Angkakarn Tantiviroon 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between May 10, 2007 and July 31, 2007, Miss Angkakarn Tantiviroon colluded or agreed with other principals to trade shares of Rich Asia Steel Public Company Limited (RICH) through fifteen other persons? trading accounts in concealment to mislead the general public to believe that RICH shares were purchased or sold in great volume or the price of RICH shares had changed at that time which was not consistent with the normal market conditions. Additionally, she continuously traded RICH shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

20/2014
 

25,665,197.13  

Miss Angkakarn failed to pay fines as ordered by the Settlement Committee, the SEC therefore filed a criminal complaint against him with the DSI for further legal proceedings. 

101

19/02/2014 

2/2014 

30/2014 

Miss Nattida Ruckchposanti 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Miss Nattida Ruckchposanti aided and abetted other persons to trade securities of Thai Plastic and Chemicals Pubic Company Limited (TPC) on continual basis and in concealment to mislead the public to believe that at such time the trading volumes were substantially high and the price of TPC securities changed which was inconsistent with the normal market conditions , causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

19/2014
 

333,333.33  

 

102

19/02/2014 

2/2014 

29/2014 

Mr. Prapat Itthichaisri 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Prapat Itthichaisri aided and abetted other persons to trade securities of Thai Plastic and Chemicals Pubic Company Limited (TPC) on continual basis and in concealment to mislead the public to believe that at such time the trading volumes were substantially high and the price of TPC securities changed which was inconsistent with the normal market conditions , causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

19/2014
 

333,333.33  

 

103

19/02/2014 

2/2014 

28/2014 

Mr. Pratheep Wongkulnit 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Pratheep Wongkulnit colluded or agreed with other persons by using his and others? trading accounts to trade securities of Thai Plastic and Chemicals Pubic Company Limited (TPC) in concealment to mislead the public to believe that at such time the trading volumes were substantially high and the price of TPC securities changed which was inconsistent with the normal market conditions. In addition, he continuously traded TPC securities, causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

19/2014
 

500,000.00  

 

104

19/02/2014 

2/2014 

27/2014 

Mr. Wichian Ursiripant 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Wichian Ursiripant colluded or agreed with other persons by using his and others? trading accounts to trade securities of Thai Plastic and Chemicals Pubic Company Limited (TPC) in concealment to mislead the public to believe that at such time the trading volumes were substantially high and the price of TPC securities changed which was inconsistent with the normal market conditions. In addition, he continuously traded TPC securities, causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

19/2014
 

500,000.00  

 

105

19/02/2014 

2/2014 

26/2014 

Mr. Sermkiat Kangsathein 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Sermkiat Kangsathein colluded or agreed with other persons by using his and others? trading accounts to trade securities of Thai Plastic and Chemicals Pubic Company Limited (TPC) in concealment to mislead the public to believe that at such time the trading volumes were substantially high and the price of TPC securities changed which was inconsistent with the normal market conditions. In addition, he continuously traded TPC securities, causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

19/2014
 

500,000.00  

 

106

22/01/2014 

1/2014 

22/2014 

Miss Usanee Onchay 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between May 10, 2007 and July 31, 2007, Miss Usanee Onchay aided and abetted Mr. Somdej Leeswadtrakul and other principals in manipulating prices of Rich Asia Steel Public Company Limited (RICH) shares by allowing the principal to use her trading accounts and withdrawing cash collateral or assisting in the price settlement. 

8/2014
 

333,333.33  

 

107

22/01/2014 

1/2014 

21/2014 

Mrs. Ladda Leeswadtrakul 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between May 10, 2007 and July 31, 2007, Mrs. Ladda Leeswadtrakul aided and abetted Mr. Somdej Leeswadtrakul and other principals in manipulating prices of Rich Asia Steel Public Company Limited (RICH) shares by allowing the principal to use her trading accounts and withdrawing cash collateral or assisting in the price settlement. 

8/2014
 

333,333.33  

 

108

22/01/2014 

1/2014 

20/2014 

Mr. Sittichai Leeswadtrakul 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between May 10, 2007 and July 31, 2007, Mr. Sittichai Leeswadtrakul aided and abetted Mr. Somdej Leeswadtrakul and other principals in manipulating prices of Rich Asia Steel Public Company Limited (RICH) shares by allowing the principal to use his trading accounts and sending trading orders. 

8/2014
 

333,333.33  

 

109

22/01/2014 

1/2014 

19/2014 

Mr. Somdej Leeswadtrakul 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between May 10, 2007 and July 31, 2007, Mr. Somdej Leeswadtrakul colluded or agreed with other principals to trade shares of Rich Asia Steel Public Company Limited (RICH) through fifteen other persons? trading accounts in concealment to mislead the general public to believe that RICH shares were purchased or sold in great volume or the price of RICH shares had changed at that time which was not consistent with the normal market conditions. Additionally, he continuously traded RICH shared which results in the purchase or sale of such securities which was not consistent with the normal market conditions and such trading was made to lure the general public to purchase or sell such shares. 

8/2014
 

25,665,197.13  

 

110

27/11/2013 

7/2013 

79/2013 

Mrs. Narumon Chainaknan 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

Between November 16 ? 7 December, 2010, Mrs. Narumon Chainaknan and Miss Viporn Jitsomwang aided and abetted Mr. Thavatvong Thanasumitra in purchasing Bangkok Dusit Medical Services Public Company Limited (BGH)?s shares by using material non- public information. They allowed Mr. Thavatvong Thanasumitra to use their trading account and assisted in the price settlement for his trading. 

106/2013
 

333,333.33  

 

111

27/11/2013 

7/2013 

78/2013 

Miss Viporn Jitsomwang 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

Between November 16 ? 7 December, 2010, Miss Viporn Jitsomwang and Mrs. Narumon Chainaknan aided and abetted Mr. Thavatvong Thanasumitra in purchasing Bangkok Dusit Medical Services Public Company Limited (BGH)?s shares by using material non- public information. They allowed Mr. Thavatvong Thanasumitra to use their trading account and assisted in the price settlement for his trading. 

106/2013
 

333,333.33  

 

112

27/11/2013 

7/2013 

77/2013 

Mr. Thavatvong Thanasumitra 

241 

SEC Act 

Between November 16 ? 7 December, 2010, Mr. Thavatvong Thanasumitra, the director of Bangkok Dusit Medical Services Public Company Limited (BGH), purchased 1,030,000 shares of BGH through the trading account of Miss Viporn Jitsomwang and Mrs. Narumon Chainaknan in such a way as to take advantage of other persons by using positive material non- public information concerning the merger of BGH with Health Network Public Company Limited by means of entire business transfer during 2010 ? 2011. He obtained the material non- public information by virtue of his positions before such information became public on December 14, 2010. 

106/2013
 

9,821,867.35  

 

113

13/09/2013 

5/2013 

48/2013 

Mr. Perayuth Nark-In 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

Between April 7 - 21, 2010, Mr. Perayuth Nark-In and Mrs. Usavadee Srisuchart aided and abetted Mr. Swake Srisuchart in purchasing Power Line Engineering Public Company Limited (PLE)?s shares by using material non-public information. According to Mrs. Usavadee Srisuchart?s order, Mr. Perayuth Nark-In sent trading orders of PLE?s shares through others? accounts and assisted in price settlement of such purchase for Mr. Swake Srisuchart?s benefit. 

 

333,333.33  

 

114

13/09/2013 

5/2013 

47/2013 

Mrs. Usavadee Srisuchart 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

Between April 7 - 21, 2010, Mrs. Usavadee Srisuchart and Mr. Perayuth Nark-In aided and abetted Mr. Swake Srisuchart in purchasing Power Line Engineering Public Company Limited (PLE)?s shares by using material non- public information. Mrs. Usavadee Srisuchart had Mr. Perayuth Nark-In send trading orders of PLE?s shares through others? accounts and assisting in price settlement of such purchase for Mr. Swake Srisuchart?s benefit. 

 

333,333.33  

 

115

13/09/2013 

5/2013 

46/2013 

Mr. Swake Srisuchart 

241 

SEC Act 

Between April 7 - 21, 2010, Mr. Swake Srisuchart, chairman of the board, chief executive officer of Power Line Engineering Public Company Limited (PLE), and chairman of international debt collector committee, illegally purchased 5,000,000 shares of PLE through others? accounts in such a way as to take advantage of other persons by using positive material non-public information concerning the business operation of PLE net profit in Q1/2010 of 184.10 million baht which increased 182.74% from PLE net loss of 223.23 million baht for the same period of 2009 and increased 145.6% from the Q4/2009 with net loss in 403.74 million baht. He obtained the material non- public information by virtue of his positions before such information became public on May 17, 2010. 

 

985,849.53  

 

116

20/06/2013 

4/2013 

35/2013 

Mr. Harnrit Hansen 

241 

SEC Act 

On May 13 -14, 2010, Mr. Harnrit Hansen, a former director of L.V. Technology Public Company Limited (LVT), sold 711,300 shares of LVT through an account of his own company in such a way as to take advantage of other persons by using adverse material non-public information concerning LVT net loss in Q1/2010 of 37.65 million baht which was significantly different from LVT net profit in the last three years. 

63/2013
 

500,000.00  

 

117

24/04/2013 

3/2013 

29/2013 

Mr. Ziriwat Anunkusri 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

On April 27, 2010, Mr. Ziriwat Anunkusri colluded with Mr. Choavalit Limpanich and Mr. Yanyong Nitisaroj in illegally purchasing STPI shares through his trading account that Mr. Yanyong provided for them, in such a way as to take advantage of other persons by using material non-public information concerning increasing value of Pluto LNG Project from additional cost (Baht 2,212 million) which was charged from the contract party, resulting in substantial rise in net profit of Q1/2010 at Baht 1,788.1 million which rose by 193.47% from the same period of 2009. Mr. Choavalit as a project director responsible for Pluto LNG Project gained such material non-public information from signing final agreement. 

44/2013
 

15,861,919.29  

 

118

24/04/2013 

3/2013 

28/2013 

Mr. Yanyong Nitisaroj 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

On April 27, 2010, Mr. Yanyong Nitisaroj colluded with Mr. Choavalit Limpanich and Mr. Ziriwat Anunkusri in illegally purchasing STPI shares through Mr. Ziriwat?s trading account that Mr. Yanyong provided for them, in such a way as to take advantage of other persons by using material non-public information concerning increasing value of Pluto LNG Project from additional cost (Baht 2,212 million) which was charged from the contract party, resulting in substantial rise in net profit of Q1/2010 at Baht 1,788.1 million which rose by 193.47% from the same period of 2009. Mr. Choavalit as a project director responsible for Pluto LNG Project gained such material non-public information from signing final agreement. 

44/2013
 

8,756,625.00  

 

119

24/04/2013 

3/2013 

27/2013 

Mr. Choavalit Limpanich 

241 

SEC Act 

On April 27, 2010, Mr. Choavalit Limpanich colluded with Mr. Yanyong Nitisaroj and Mr. Ziriwat Anunkusri in illegaly purchasing STPI shares through Mr. Ziriwat?s trading account that Mr. Yanyong provided for them, in such a way as to take advantage of other persons by using material non-public information concerning increasing value of Pluto LNG Project from additional cost (Baht 2,212 million) which was charged from the contract party, resulting in substantial rise in net profit of Q1/2010 at Baht 1,788.1 million which rose by 193.47% from the same period of 2009. Mr. Choavalit as a project director responsible for Pluto LNG Project gained such material non-public information from signing final agreement. 

44/2013
 

3,854,145.00  

 

120

19/12/2012 

7/2012 

56/2012 

Mr. Nophadol Arayakul 

243(1) in conjucntion with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between April 2, 2007 and October 9, 2007, Mr. Nophadol Arayakul colluded or agreed with Mrs. Pimpa Chivapornthip to trade securities of Salee Industry Public Company Limited (SALEE) in a manner that inflated and stabilized the price of such securities in concealment to mislead the public to believe that the trading volumes were substantially high and the prices of SALEE securities were inconsistent with the normal market conditions. In addition, he continuously traded SALEE securities causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

114/2012
 

500,000.00  

 

121

19/12/2012 

7/2012 

55/2012 

Mrs. Pimpa Chivapornthip 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between April 2, 2007 and October 9, 2007, Mrs. Pimpa Chivapornthip colluded or agreed with Mr. Nophadol Arayakul to trade securities of Salee Industry Public Company Limited (SALEE) in a manner that inflated and stabilized the price of such securities in concealment to mislead the public to believe that the trading volumes were substantially high and the prices of SALEE securities were inconsistent with the normal market conditions. In addition, she continuously traded SALEE securities causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

114/2012
 

4,587,214.99  

 

122

20/08/2012 

4/2012 

32/2012 

Mr. Prasong Suviwattanachai 

243(1) in conjunction with 244 and 243(2) 

SEC Act 

Mr. Prasong Suviwattanachai as the owner and beneficiary of 14 securities trading accounts of foreign juristic persons opened at UOB Kay Hian Private Ltd. and EFG Private Bank SA in Singapore, knowingly used these accounts to trade shares of Unique Engineering and Construction PLC (UNIQ) during July 20, 2009 ? April 7, 2010 in the manner that inflated and stabilized the share price including matching orders among those accounts. The actions resulted in increase in the UNIQ closing price and average daily trading volume. These were done in concealment to mislead and induce the investing public into the trading. 

79/2012
 

80,995,415.67  

 

123

20/08/2012 

4/2012 

31/2012 

Mr. Tanakorn Ritthibunlue 

243(1)(2) in conjunction with 244(1)(2)(3) 

SEC Act 

From December 26, 2006 to January 19, 2007, Tanakorn Ritthibunlue used many other persons? trading accounts to continuously trade shares of Asia Metal PLC (AMC) in concealment to mislead the public to believe that such shares were traded in great volume or that such share price was changed, causing the trading of such shares to be inconsistent with the normal market condition to lure the public into the trading. 

83/2012
 

500,000.00  

 

124

20/08/2012 

4/2012 

30/2012 

Miss Chaninan Luangwaykin 

243(1)(2) in conjunction with 244(1)(2)(3) and Section 86 of the Penal Code 

SEC Act 

From September 13 to November 16, 2006, Miss Chaninan Luangwaykin colluded with Somchai Chaisrichawla in using Somchai?s and other persons? securities trading accounts to continuously trade shares of Asia Metal PLC (AMC) in concealment to mislead the public to believe that such shares were traded in great volume or that such share price was changed, causing the trading of such shares to be inconsistent with the normal market condition to lure the public into the trading. 

83/2012
 

500,000.00  

 

125

20/08/2012 

4/2012 

29/2012 

Mr. Sunthorn Chaononghin 

241 

SEC Act 

On February 22, 2010, Mr. Sunthorn Chaononghin, an engineer of Solartron Public Company Limited (SOLAR), illegally purchased SOLAR shares in such a way as to take advantage of other persons by using material non-public information concerning the result of the last negotiation that SOLAR and Wuxi Suntech Power Company Limited were likely to win the bid for 3,200 million baht solar power plant project of The Bangchak Petroleum Public Company Limited that he obtained by attending the negotiation, before such information became public. 

80/2012
 

500,000.00  

 

126

16/03/2012 

3/2012 

24/2012 

Mr. KAMOL IEOSIVIKUL 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between August 22, 2008 and February 27, 2009, Mr. Kamol Ieosivikul colluded or agreed with another person to trade securities of Subsrithai Storage Public Company Limited (SST) in concealment to mislead the public to believe that the trading volumes were substantially high and the price of SST securities changed which was inconsistent with the normal market conditions. In addition, he continuously traded SST securities causing the trade of such securities to be inconsistent with normal market conditions to induce the general public to trade the securities. 

43/2012
 

500,000.00  

 

127

24/11/2011 

7/2011 

81/2011 

Mr. Kumthorn Prugsrisakhon 

243(1)(2) in conjunction with 244 and Section 83 of the Penal Code 

SEC Act 

Between November 13, 2011 and November 16, 2011, Mr. Kumthorn Prugsrisakhon colluded and agreed with Mr. Annop Limprasert to trade RS shares in a manner that inflated and stabilized the share price in concealment to mislead the public to believe in the artificially high trading volume. They also traded RS shares on a continual basis, causing the share price to be inconsistent with the normal market condition to induce the public to trade RS shares. 

104/2011
 

500,000.00  

 

128

24/11/2011 

7/2011 

80/2011 

Mr. Annop Limprasert 

243(1)(2) in conjunction with 244 and Section 83 of the Penal Code 

SEC Act 

Between November 13, 2011 and November 16, 2011, Mr. Annop Limprasert colluded and agreed with Mr. Kumthorn Prugsrisakhon to trade RS shares in a manner that inflated and stabilized the share price in concealment to mislead the public to believe in the artificially high trading volume. They also traded RS shares on a continual basis, causing the share price to be inconsistent with the normal market condition to induce the public to trade RS shares. 

104/2011
 

500,000.00  

 

129

15/08/2011 

6/2011 

69/2011 

Miss Patra Chalermsaphayakorn 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

Miss Patra Chalermsaphayakorn aided and abetted Mr. Phaibul Chalermsaphayakorn, and Mr. Pongchalerm Chalermsaphayakorn in selling UMS shares and warrants (UMS-W1), between January 16, 2009 and February 23, 2009, based on material non-public information about the business operation of UMS for quarter 4, 2008, by providing certain assistance that enabled Mr. Phaibul and Mr. Pongchalerm to successfully effectuate their transactions on the exchange. 

76/2011
 

333,333.33  

 

130

15/08/2011 

6/2011 

68/2011 

Mr. Chaiwat Cruecha-Em 

241 

SEC Act 

Between January 29, 2009 and February 19, 2009, Mr. Chaiwat Cruecha-Em, the former managing director and executive director of Unique Mining Services Public Company Limited (UMS), illegally sold UMS share and warrants (UMS-W1), in such a way as to take advantage of other persons by using material non-public information concerning the business operation of UMS for quarter 4, 2008 that he obtained by virtue of his positions, before such information became public on February 25, 2009. 

76/2011
 

3,723,416.40  

 

131

15/08/2011 

6/2011 

67/2011 

Mr. Pongchalerm Chalermsaphayakorn 

241 

SEC Act 

Between February 13, 2009 and February 23, 2009, Mr. Pongchalerm Chalermsaphayakorn, the former director and executive director of Unique Mining Services Public Company Limited (UMS), illegally sold UMS share and warrants (UMS-W1), in such a way as to take advantage of other persons by using material non-public information concerning the business operation of UMS for quarter 4, 2008 that he obtained by virtue of his positions, before such information became public on February 25, 2009. 

76/2011
 

1,296,010.44  

 

132

15/08/2011 

6/2011 

66/2011 

Mr. Phaibul Chalermsaphayakorn 

241 

SEC Act 

Between January 16, 2009 and February 23, 2009, Mr. Phaibul Chalermsaphayakorn, the former chairman and executive director of Unique Mining Services Public Company Limited (UMS), illegally sold UMS share and warrants (UMS-W1), in such a way as to take advantage of other persons by using material non-public information concerning the business operation of UMS for quarter 4, 2008 that he obtained by virtue of his positions, before such information became public on February 25, 2009. 

76/2011
 

5,363,120.64  

 

133

30/06/2011 

5/2011 

59/2011 

Mr. Krits Pitimana-aree 

243(1) in conjunction with 244 and 243(2) in cconjunction with Section 86 of the Penal Code 

SEC Act 

Between January 9, 2006 and January 25, 2007, Mr. Krit Pitimanaaree aided and abetted another person in manipulating the price of ASCON CONSTRUCTION PUBLIC COMPANY LIMITED (ASCON) shares by allowing the accounts for securities trading and bank deposit to be opened in his name and facilitating relevant financial transactions. 

60/2011
 

333,333.33  

 

134

26/05/2011 

4/2011 

51/2011 

Miss Aiyarin Phongkaseamhiran 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between May 30, 2008 and August 18, 2008, Miss Aiyarin Phongkaseamhiran aided and abetted Ms. Supranee Yotinopamine in manipulating the share price of K.C. Property Plc. (KC) by making trading orders of KC shares in Ms. Supranee?s account. 

45/2011
 

333,333.33  

 

135

26/05/2011 

4/2011 

50/2011 

Mr. Kanit Palanun 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between May 30, 2008 and August 18, 2008, Mr. Kanit Palanun aided and abetted Ms. Supranee Yotinopamine, Mr. Pongpop Ngamarchariyakul, and Mr. Somboon Saejao in manipulating the share price of K.C. Property Plc. (KC) by facilitating the financial transactions. 

45/2011
 

333,333.33  

 

136

26/05/2011 

4/2011 

49/2011 

Mr. Somboon Saejao 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between May 30, 2008 and August 18, 2008, Mr. Somboon Saejao colluded or agreed with Ms. Supranee Yotinopamine and Mr. Pongpop Ngamarchariyakul to trade shares of K.C. Property Plc. (KC) in concealment and on a continual basis by matching the trading among their accounts in high volumes in the manner that boosted and stabilized the share price to induce the public into the trading. Such irregular trading caused the share price of KC from May 30 to August 18, 2008 to be inconsistent with normal market conditions. 

45/2011
 

500,000.00  

 

137

26/05/2011 

4/2011 

48/2011 

Mr. Pongpop Ngamarchariyakul 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between May 30, 2008 and August 18, 2008, Mr. Pongpop Ngamarchariyakul colluded or agreed with Ms. Supranee Yotinopamine and Mr. Somboon Saejao to trade shares of K.C. Property Plc. (KC) in concealment and on a continual basis by matching the trading among their accounts in high volumes in the manner that boosted and stabilized the share price to induce the public into the trading. Such irregular trading caused the share price of KC from May 30 to August 18, 2008 to be inconsistent with normal market conditions. 

45/2011
 

500,000.00  

 

138

26/05/2011 

4/2011 

47/2011 

Miss Supranee Yotinopamine 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between May 30, 2008 and August 18, 2008, Ms. Supranee Yotinopamine colluded or agreed with Mr. Pongpop Ngamarchariyakul and Mr. Somboon Saejao to trade shares of K.C. Property Plc. (KC) in concealment and on a continual basis by matching the trading among their accounts in high volumes in the manner that boosted and stabilized the share price to induce the public into the trading. Such irregular trading caused the share price of KC from May 30 to August 18, 2008 to be inconsistent with normal market conditions. 

45/2011
 

500,000.00  

 

139

26/05/2011 

4/2011 

46/2011 

Mr. Pattanapong Tanumathaya 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between January 9, 2006 and January 25, 2007, Mr. Pattanapong Tanumathaya trade securities of ASCON CONSTRUCTION PUBLIC COMPANY LIMITED (ASCON) through trading accounts of five other persons in the manner that boosting and stabilizing the share price as well as matching the trading among those aforesaid accounts in concealment to mislead the public about such share price and trading volume. He had also traded ASCON shares on a continual basis causing the share price to be inconsistent with the normal market conditions to induce the public into trading of such share. 

45/2011
 

48,127,389.54  

 

140

24/03/2011 

3/2011 

39/2011 

Miss Jantharapa Wongpaiboon 

243(1) in conjunction with 244 and 243(2) in cconjunction with Section 86 of the Penal Code 

SEC Act 

Between November 15, 2007 and January 9, 2008, Miss Jantharapa Wongpaiboon, then an investor contact at KTB Securities, aided and abetted manipulative trading share ofTraffic Corner Holdings Public Company Limited through Miss Rinnapa Kunawatsatit?s account by executing trading orders in inappropriate manners. 

27/2011
 

333,333.33  

 

141

24/03/2011 

3/2011 

38/2011 

Miss Rinnapa Kunawatsatit 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between November 15, 2007 and January 9, 2008, Miss Rinnapa Kunawatsatit colluded or agreed with the other alleged persons to trade Traffic Corner Holdings Public Company Limited (TRAF) shares in concealment and on a continual basis to mislead and induce the general public into buying and selling such shares. Such manipulative trading caused the TRAF share price to be inconsistent with the normal market conditions. 

27/2011
 

500,000.00  

 

142

24/03/2011 

3/2011 

37/2011 

Miss Lalana Sirichanyakul 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between November 15, 2007 and January 9, 2008, Miss Lalana Sirichanyakul colluded or agreed with the other alleged persons to tradeTraffic Corner Holdings Public Company Limited (TRAF) shares in concealment and on a continual basis to mislead and induce the general public into buying and selling such shares. Such manipulative trading caused the TRAF share price to be inconsistent with the normal market conditions. 

27/2011
 

36,815,524.26  

 

143

24/03/2011 

3/2011 

36/2011 

Mr. Sippakorn Kawsa-art 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between November 15, 2007 and January 9, 2008, Mr. Sippakorn Kawsa-art, then managing director for investor relations of KTB Securities Co., Ltd., colluded or agreed with the other alleged persons to trade Traffic Corner Holdings Public Company Limited (TRAF) shares in concealment and on a continual basis to mislead and induce the general public into buying and selling such shares. Such manipulative trading caused the TRAF share price to be inconsistent with the normal market conditions. 

27/2011
 

500,000.00  

 

144

24/03/2011 

3/2011 

35/2011 

Mr.Adirek Umbangtalad 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

On May 2, 2008, Mr. Adirek Umbangtalad, who functioned as an investor contact (a marketing officer) for Merchant Partner Securities Public Company Limited, aided and abetted Mr. Sagha Sakulekpaisan in manipulating the prices of THE ROYAL CERAMIC INDUSTRY PUBLIC COMPANY LIMITED (RCI) shares by finding trading accounts of other persons for Mr. Sagha, sending trading orders to manipulate the share prices, and helping with financial transactions related to such manipulative trading.  

27/2011
 

333,333.33  

 

145

24/03/2011 

3/2011 

34/2011 

Mr.Somruay Sae-lim 

243(1)(2) in conjunction with 244 and Section 86 of the Penal Code 

SEC Act 

Mr. Somruay Sae-lim aided and abetted Mrs. Phongsri Saluckpetch and M.L. Soonthornchai Chayangkool in manipulating the share prices of (1) Samart Corporation Plc. (SAMART) from April 5, 2006 to October 13, 2006, (2) Samart I-Mobile Plc. (SIM) from January 11, 2006 to December 12, 2006, and (3) Samart Telcoms Plc. (SAMTEL) from March 16, 2006 to September 19, 2006, by allowing trading accounts and bank deposits to be opened in his names and facilitating the financial transactions. 

27/2011
 

999,999.99  

 

146

24/03/2011 

3/2011 

33/2011 

Mr.Somchai Vimorkcharoensuk 

243(1)(2) in conjunction with 244 and Section 86 of the Penal Code 

SEC Act 

Mr. Somchai Vimorkcharoensuk aided and abetted Mrs. Phongsri Saluckpetch and M.L. Soonthornchai Chayangkool in manipulating the share prices of (1) Samart Corporation Plc. (SAMART) from April 5, 2006 to October 13, 2006, (2) Samart I-Mobile Plc. (SIM) from January 11, 2006 to December 12, 2006, and (3) Samart Telcoms Plc. (SAMTEL) from March 16, 2006 to September 19, 2006, by allowing trading accounts and bank deposits to be opened in his names and facilitating the financial transactions. 

27/2011
 

999,999.99  

 

147

24/03/2011 

3/2011 

32/2011 

M.L. Soonthornchai Chayangkool 

243(1)(2) in conjunction with 244 and Section 83 of the Penal Code 

SEC Act 

M.L. Soonthornchai Chayangkool colluded or agreed with Mrs. Phongsri Saluckpetch to trade shares of (1) Samart Corporation Plc. (SAMART) from April 5, 2006 to October 13, 2006, (2) Samart I-Mobile Plc. (SIM) from January 11, 2006 to December 12, 2006, and (3) Samart Telcoms Plc. (SAMTEL) from March 16, 2006 to September 19, 2006, through others? accounts, in concealment to mislead the public to believe that the trading volumes were substantially high and the price of SAMART, SIM, and SAMTEL shares were inconsistent with the normal market conditions. In addition, he continuously traded SAMART, SIM, and SAMTEL shares, causing the trade of such shares to be inconsistent with normal market conditions to induce the general public to trade the shares. 

27/2011
 

1,500,000.00  

 

148

24/03/2011 

3/2011 

31/2011 

Mrs.Phongsri Saluckpetch 

243(1)(2) in conjunction with 244 and Section 83 of the Penal Code 

SEC Act 

Mrs. Phongsri Saluckpetch colluded or agreed with M.L. Soonthornchai Chayangkool to trade shares of (1) Samart Corporation Plc. (SAMART) from April 5, 2006 to October 13, 2006, (2) Samart I-Mobile Plc. (SIM) from January 11, 2006 to December 12, 2006, and (3) Samart Telcoms Plc. (SAMTEL) from March 16, 2006 to September 19, 2006, through others? accounts, in concealment to mislead the public to believe that the trading volumes were substantially high and the price of SAMART, SIM, and SAMTEL shares were inconsistent with the normal market conditions. In addition, she continuously traded SAMART, SIM, and SAMTEL shares, causing the trade of such shares to be inconsistent with normal market conditions to induce the general public to trade the shares. 

27/2011
 

33,105,453.71  

 

149

17/02/2011 

2/2011 

22/2011 

Mr.Patinya Pittayanupakorn 

243(2) 

SEC Act 

From September 28 to October 26, 2007, from April 28 to 15 May 15, 2008, and from June 23 to 24, 2008, Mr.Patinya Pittayanupakorn and the other alleged person jointly purchased and sold TWZ CORPORATION PUBLIC COMPANY LIMITED (TWZ) shares in a series of trading orders with the intention to induce the general public to purchase or sell such shares. The series of trading orders caused the price of TWZ shares to change inconsistently with the normal market condition. 

13/2011
 

4,563,791.25  

 

150

17/02/2011 

2/2011 

21/2011 

Mr.Auttawut Phaichai 

243(2) 

SEC Act 

From September 28 to October 26, 2007, from April 28 to 15 May 15, 2008, and from June 23 to 24, 2008, Mr. Auttawut Phaichai and the other alleged person jointly purchased and sold TWZ CORPORATION PUBLIC COMPANY LIMITED (TWZ) shares in a series of trading orders with the intention to induce the general public to purchase or sell such shares. The series of trading orders caused the price of TWZ shares to change inconsistently with the normal market condition. 

13/2011
 

16,071,788.32  

 

151

17/02/2011 

2/2011 

20/2011 

Miss Chalalai Saliwattana 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between January 9, 2006 and January 25, 2007, Miss Chalalai Saliwattana, then an investor contacts of Seamico Securities Plc., aided and abetted Mr. Pattanapong Tanumathaya in manipulating the price of ASCON CONSTRUCTION PUBLIC COMPANY LIMITED (ASCON) shares by executing such trading orders, taking orders from a person who was not the account owner, and concealing the identity of the person who was the real user of those accounts. 

45/2011
 

333,333.33  

 

152

17/02/2011 

2/2011 

19/2011 

Mr. Pathaipoom Songkroh 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

Between January 9, 2006 and January 25, 2007, Mr. Pathaipoom Songkroh, then an investor contact of Bualuang Securities Plc., aided and abetted Mr. Pattanapong Tanumathaya in manipulating the price of ASCON CONSTRUCTION PUBLIC COMPANY LIMITED (ASCON) shares by executing such trading orders, taking orders from person who was not the account owner, and concealing the identity of the person who was the real user of those accounts. 

45/2011
 

333,333.33  

 

153

17/02/2011 

2/2011 

18/2011 

Mr. Chutchapong Munchupa 

238 

SEC Act 

On September 28, 2009, Mr. Chutchapong Munchupa, the former deputy managing director and director of Solution Corner (1998) Public Company Limited (SLC), disclosed false statement to the Stock Exchange of Thailand by denying the fact that major shareholders and executives sold SLC shares with the intention to mislead the public concerning the facts relating to the trading price of SLC shares. 

14/2011
 

500,000.00  

 

154

17/02/2011 

2/2011 

18/2011 

Mr. Chutchapong Munchupa 

241 

SEC Act 

On September 23, 2009, Mr. Chutchapong Munchupa, the former deputy managing director and director of Solution Corner (1998) Public Company Limited (SLC), illegally sold SLC shares, in such a way as to take advantage of other persons by using material non-public information concerning a large disposal volume of SLC shares made by major shareholders and executives to a new group in a manner of take over and subsequent change in shareholding restructure that he obtained by virtue of his positions, before such information became public on September 30, 2009. 

14/2011
 

685,785.60  

 

155

22/12/2010 

10/2010 

63/2010 

Ms. Sompit Poophaewngin 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

During January 11-31, 2007, Ms. Sompis Poopiewngien aided and abetted Mr. Sinsathien Aimpoolsab in purchasing Professional Waste Technology (1999) Public Company Limited (PRO)?s shares during the time that such material information had not been publicly disclosed, by allowing Sinsathien to use her trading account and bank accout and assisting Sinsathien in the price settlement for his trading. 

88/2010
 

333,333.33  

 

156

22/12/2010 

10/2010 

62/2010 

Mr. Sinsathien Aimpoolsub 

241 

SEC Act 

During January 11-31, 2007, Mr. Sinsathien Aimpoolsab, the managing director and president of Professional Waste Technology (1999) Public Company Limited (PRO), had access to material nonpublic information about a joint venture between PRO and Enviro-Hub Holding Limited (E-Hub) while he was representing PRO in the negotiation with E-Hub in such deal and attending meetings of the joint venture working group. The nonpublic information which he had gained was material to PRO share price. Before such information became public, Sinsathien had purchased PRO shares through the trading account of Ms. Sompis Poopiewngien. 

88/2010
 

500,000.00  

 

157

16/11/2010 

9/2010 

55/2010 

Mr. Kajonchai Ngamvorarossakul 

243(1) in conjunction with 244 and 243(2) in conjunction with Section 86 of the Penal Code 

SEC Act 

During April 24-25, 2008, Mr. Kajonchai Ngamvorarojsakul, who functioned as an investor contact (marketing officer) for A Securities Plc., aided and abetted a certain group of personsin manipulating the price of Focus Development and Construction Plc. (FOCUS) shares by using trading accounts of his clients to execute trading orders and manipulate the price of FOCUS shares and subsequently helped with the transferring of money gained from such securities trading. 

79/2010
 

333,333.33  

 

158

12/01/2010 

1/2010 

5/2010 

Mr. Arnonchai Veerapravati 

243(2) 

SEC Act 

On June 9, 2009 during 15.44 - 15.57 hrs., Anonchai Veeraprawat continuously traded shares of Singha Paratech Plc (SINGHA) via internet trading system to lure the investing public into the trading, resulting in share prices which went higher than the normal market condition. 

4/2010
 

500,000.00  

 

159

12/01/2010 

1/2010 

4/2010 

Mr. Olan Viravan 

241 

SEC Act 

Olarn Viravan as chairman of audit committee of Phatra Insurance Plc (PHA) knew the inside information, from the committee?s meeting on June 11, 2007 regarding the company?s merger plan with Muang Thai Insurance Co., Ltd. and the payment of special dividends to PHA shareholders in the amount of 50 baht per share. He then used such information, material to changes in the prices of PHA shares, to trade the shares for his own benefit through another person?s account during June 11-12, 2009 before the information was disclosed to the public on June 18, 2009. 

4/2010
 

500,000.00  

 

160

11/08/2009 

7/2009 

50/2009 

Miss. Saovapark Arunaveja 

241 in conjunction with Section 86 of the Penal Code 

SEC Act 

Miss Saowapak Arunvej aided and abetted Mr. Ratchanon Piriyapongpan (formerly Mr. Wisit Karnjanopas) in purchasing GRAND shares during the time that such material information had not been publicly disclosed. 

72/2009
 

333,333.33  

 

161

11/08/2009 

7/2009 

49/2009 

Mr. Ratchanon Piriyapongpan 

241 

SEC Act 

In late March 2006 Baker & McKenzie was hired as a legal consultant to a client?s acquisition of the Grand Asset Development Plc. (GRAND) shares for business takeover. Mr. Ratchanon Piriyapongpan (formerly Mr. Wisit Karnjanopas), then head of the legal team handling the negotiation of the takeover, had ? from the beginning of the negotiation to the finalization of the deal ? access to inside information material to the Grand share price which, at the time, led to a tender offer at above market price. The information was later disclosed to the public on June 30, 2006. During the time that such material information had not been publicly disclosed, Mr. Ratchanon ordered his secretary (Miss Saowapak Arunvej) to purchase 7,561,200 GRAND shares at the price of 2.96 -4.70 baht per share through a trading account of Saowapak?s relative and gradually sold them off afterwards to make profits for himself. 

72/2009
 

6,686,549.80  

 

162

14/07/2009 

6/2009 

43/2009 

Mr. Chaivit Chuensirivej 

243(1)(2) in conjunction with 244(1)(2)(3) and Section 86 of the Penal Code 

SEC Act 

Between October 7, 2007 and October 27, 2007, Mr. Chaiwit Chuensirivej aided and abetted Mr. Anucha Sihanatkathakul and Mr. Saksilpa Kongkanon in manipulating the price of Focus Development and Construction Plc. (FOCUS) shares by allowing them to use his trading account and bank account. 

79/2009
 

333,333.33  

 

163

14/07/2009 

6/2009 

42/2009 

Mr. Saksilpa Kongkanon 

243(1)(2) in conjunction with 244(1)(2)(3) and Section 83 of the Penal Code 

SEC Act 

Between October 5, 2004 and October 29, 2004, Mr. Saksilpa Kongkanon colluded or agreed with Mr. Anucha Sihanatkathakul to trade securities of Focus Development and Construction Plc. (FOCUS), through the trading accounts of Mr. Chaiwit Chuensirivej and other persons, in concealment and on a continual basis which misled the public into believing that FOCUS shares were traded in great volume and caused the share price to change inconsistently with the normal market conditions. 

79/2009
 

500,000.00  

 

164

14/07/2009 

6/2009 

41/2009 

Mr. Anucha Sihanatkathakul 

243(1)(2) in conjunction with 244(1)(2)(3) and Section 83 of the Penal Code 

SEC Act 

Between October 5, 2004 and October 29, 2004, Mr. Anucha Sihanatkathakul colluded or agreed with Mr. Saksilpa Kongkanon to trade securities of Focus Development and Construction Plc. (FOCUS), through the trading accounts of Mr. Chaiwit Chuensirivej and other persons, in concealment and on a continual basis which misled the public into believing that FOCUS shares were traded in great volume and caused the share price to change inconsistently with the normal market conditions. 

79/2009
 

500,000.00  

 

165

09/06/2009 

5/2009 

38/2009 

Miss. Saengduan Vaewployngam 

243(2) 

SEC Act 

On September 9, 2004 and on October 15, 2004, Miss. Saengduan Vaewployngam joined with Mr. Thanachai Romphan to trade securities of Eastern Wire Public Company Limited (EWC) on continuous basis which misled the public into believing that EWC shares were traded in great volume and caused the share price to change inconsistently with the normal market conditions. 

 

1,000,000.00  

The Office of SEC filed a complaint against offender with Department of Special Investigation because the offender failed to pay fine as specified by Settlement Committee. The offender later paid the fine , making the case be regarded as settled. 

166

09/06/2009 

5/2009 

37/2009 

Mr. Thanachai Romphan 

243(2) 

SEC Act 

On September 9, 2004 and on October 15 and 22, 2004, Mr. Thanachai Romphan joined with Miss. Saengduan Vaewployngam to trade securities of Eastern Wire Public Company Limited (EWC) on continuous basis which misled the public into believing that EWC shares were traded in great volume and caused the share price to change inconsistently with the normal market conditions. 

 

1,584,231.64  

The Office of SEC filed a complaint against offender with Department of Special Investigation because the offender failed to pay fine as specified by Settlement Committee. 

167

10/02/2009 

2/2009 

21/2009 

Miss. Sarunya Simapron 

243(1) in conjunction with 244(2)(3) and 243(2) and Section 86 of the Penal Code 

SEC Act 

From March 1, 2006 to April 4, 2006, Sarunya Simaporn aided and abetted Shine Bunnag in manipulating the share price of D.T.C. Industries Plc. (DTCI) by allowing Shine to use her trader ID to send trading orders for DTCI shares. 

21/2009
 

333,333.33  

 

168

10/02/2009 

2/2009 

20/2009 

Miss. Nuttada Kaewma 

243(1) in conjunction with 244(2)(3) and 243(2) and Section 86 of the Penal Code 

SEC Act 

From March 1, 2006 to April 4, 2006, Nattada Kaewma aided and abetted Shine Bunnag in manipulating the share price of D.T.C. Industries Plc. (DTCI) by allowing Shine to use her trader ID to send trading orders for DTCI shares. 

21/2009
 

333,333.33  

 

169

10/02/2009 

2/2009 

19/2009 

Mr. Shine Bunnag 

243(1) in conjunction with 244(2)(3) and 243(2) and Section 83 of the Penal Code 

SEC Act 

From March 1, 2006 to April 4, 2006, Shine Bunnag, the former manager and marketing officer of Far East Securities Co., Ltd., colluded or agreed with Nattada Kaewma and Sarunya Simaporn to manipulate share price of D.T.C. Industries Plc. (DTCI) through five trading accounts by Shine, in his position as marketing manager, who used trader ID of Nattada and Sarunya, marketing officers under his supervision, to send trading orders for DTCI shares. With the intention to mislead the public into believing that DTCI shares were traded in great volume or with changes in price, the offenders had collusively and in concealment sent a series of trading orders at proximate amount, price and time, causing the price of such shares to change inconsistently with the normal market condition. Besides, sale orders for DTCI shares at different offer prices were placed in an orderly manner during pre-opening hours after which purchases were made on a continuous basis during trading sessions to drive up and sustain the price levels of such shares. 

21/2009
 

4,839,863.99  

 

170

13/01/2009 

1/2009 

13/2009 

Mrs. Thiparat Suthamsamai 

243(1)(2) and 244(2)(3) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 10, 2006 and March 24, 2006 (11 working days), Miss Thiparat Suthamsamai, Mr. Pornpat Sripornpat, and Miss Suwanna Maneesawat collusively traded shares of WYNCOAST INDUSTRIAL PARK PUBLIC COMPANY LIMITED (WIN) in concealment, causing its prices to be inconsistent with the normal market conditions, to mislead and induce the general public into buying and selling such shares. 

8/2009
 

500,000.00  

 

171

13/01/2009 

1/2009 

12/2009 

Mr. Pornpat Sripornpat 

243(1)(2) and 244(2)(3) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 10, 2006 and March 24, 2006 (11 working days), Mr. Pornpat Sripornpat, Miss Suwanna Maneesawat, and Miss Thiparat Suthamsamai collusively traded shares of WYNCOAST INDUSTRIAL PARK PUBLIC COMPANY LIMITED (WIN) in concealment, causing its prices to be inconsistent with the normal market conditions, to mislead and induce the general public into buying and selling such shares. 

8/2009
 

500,000.00  

 

172

13/01/2009 

1/2009 

11/2009 

Miss. Suwanna Maneesawat 

243(1)(2) and 244(2)(3) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between March 10, 2006 and March 24, 2006 (11 working days), Miss Suwanna Maneesawat, Mr. Pornpat Sripornpat, and Miss Thiparat Suthamsamai collusively traded shares of WYNCOAST INDUSTRIAL PARK PUBLIC COMPANY LIMITED (WIN) in concealment, causing its prices to be inconsistent with the normal market conditions, to mislead and induce the general public into buying and selling such shares.  

8/2009
 

500,000.00  

 

173

13/01/2009 

1/2009 

10/2009 

Mrs. Piyanuj Rungkasiri 

243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between December 13, 2005 to May 8, 2006 (97 working days), Mrs. Piyanuj Rungkasiri colluded and agreed with Mr.Yanyong Akrajindanon, Mr. Eak Putagotirat, Ms. Arunya Silathong, and the other two persons to continuously trade shares of TWZ CORPORATION PUBLIC COMPANY LIMITED (TWZ), through their accounts and others, causing its price to be inconsistent with the normal market conditions and luring the general public into buying and selling TWZ shares.  

8/2009
 

500,000.00  

 

174

13/01/2009 

1/2009 

9/2009 

Mrs. Arunya Silathong 

243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between December 13, 2005 and May 8, 2006 (97 working days), Ms. Arunya Silathong colluded and agreed with Mr.Yanyong Akrajindanon, Mr. Eak Putagotirat, and the other two persons, with Piyanuj Rungkasiri as the accomplice, to continuously trade shares of TWZ CORPORATION PUBLIC COMPANY LIMITED (TWZ), through their accounts and others, causing its price to be inconsistent with the normal market conditions and luring the general public into buying and selling TWZ shares. 

8/2009
 

3,245,757.49  

 

175

13/01/2009 

1/2009 

8/2009 

Mr. Eak Putagotirat 

243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between December 13, 2005 and May 8, 2006 (97 working days), Mr. Eak Putagotirat colluded and agreed with Mr.Yanyong Akrajindanon, Ms. Arunya Silathong, and the other two persons, with Piyanuj Rungkasiri as the accomplice, to continuously trade shares of TWZ CORPORATION PUBLIC COMPANY LIMITED (TWZ), through their accounts and others, causing its price to be inconsistent with the normal market conditions and luring the general public into buying and selling TWZ shares. 

8/2009
 

14,430,242.68  

 

176

13/01/2009 

1/2009 

7/2009 

Mr. Yanyong Akrajindanon 

243(2) in conjunction with Section 83 of the Penal Code 

SEC Act 

Between December 13, 2005 and May 8, 2006 (97 working days), Mr.Yanyong Akrajindanon colluded and agreed with Mr. Eak Putagotirat, Ms. Arunya Silathong, and the other two persons, with Piyanuj Rungkasiri as the accomplice, to continuously trade shares of TWZ CORPORATION PUBLIC COMPANY LIMITED (TWZ), through their accounts and others, causing its price to be inconsistent with the normal market conditions and luring the general public into buying and selling TWZ shares. 

8/2009
 

29,461,550.99  

 

177

13/01/2009 

1/2009 

6/2009 

Mr. Pattanapong Tanumathaya 

241 

SEC Act 

On January 9, 2007 and January 24, 2007, Mr. Pattanapong Tanumathaya, the chief executive officer of Ascon Construction Plc. (ASCON), purchased ASCON shares, through his accounts and others, using the information about the company?s capital increase which is material to changes in its share price but had not yet been disclosed to the public. His act was deemed securities trading by using inside information to take advantage of others. 

8/2009
 

530,494.98  

 

178

13/01/2009 

1/2009 

5/2009 

Mr. Sirichai Rasameechan 

241 

SEC Act 

On January 25, 2007, Sirichai Rasameechan, the director of Ascon Construction Plc. (ASCON), purchased ASCON shares, through his accounts and others, using the information about the company?s capital increase which is material to changes in its share price but had not yet been disclosed to the public. His act was deemed securities trading by using inside information to take advantage of others. 

8/2009
 

500,000.00  

 

178 items


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