Securities and Exchange Commission Thailand

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Recent Enforcement


Criminal Complaints Cases Settled Administrative Orders Administrative Sanctions

Criminal Complaints Filed by the Office of SEC

No.
Date of Complaint Filing
Name of Alleged Offender
Section
Relevant Law
Summarized Facts
Press Release
Results
Remarks

1

21/09/2017 Mr. SUPORNCHAI SIRIWOHARN 300 in conjunction with 199 and 56(1) SEC Act Mr. Supornchai Siriwoharn, the chief executive officer of the International Engineering Public Company Limited (?IEC?), a person responsible for the operation of IEC to submit the audited financial statement in accordance with the specified rules, has failed to order or act in accordance with the duties resulted in IEC?s failure to submit the reviewed financial statement for Q1/2017 to the SEC and the SET.   This case is in the process of inquiry by the inquiry official.  

2

21/09/2017 The International Engineering Public Company Limited 199 in conjunction with 56(1) SEC Act The International Engineering Public Company Limited (?IEC?) has failed to submit the reviewed financial statement for Q1/2017 to the SEC and the SET.   This case is in the process of inquiry by the inquiry official.  

3

19/09/2017 Mr. Yannakorn Warakunrak 300 SEC Act Mr. Yannakorn Warakunrak, the chief executive officer responsible for the operation of Polaris Capital Public Company Limited (?POLAR?), has failed to supervise POLAR to submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1, 2016), the annual report for the year 2016 (Form 56-2, 2016) and the reviewed financial statement for Q1/2017 to the SEC and the SET within the specified period.   This case is in the process of inquiry by the inquiry official.  

4

19/09/2017 Polaris Capital Public Company Limited 56 and 199 SEC Act Polaris Capital Public Company Limited (?POLAR?) has failed to submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1, 2016), the annual report for the year 2016 (Form 56-2, 2016) and the reviewed financial statement for Q1/2017 to the SEC and the SET within the specified period.   This case is in the process of inquiry by the inquiry official.  

5

01/09/2017 L.V. Technology Public Company Limited 56(1)(2)(3)(4) and199 SEC Act L.V. Technology Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2016, (2) the annual report for the year 2016 (Form 56-2, 2016), (3) the annual registration statement for the year 2016 (Form 56-1, 2016) and (4) the reviewed financial statements for Q1/2017 to the SEC and the SET within the specified period.   This case is in the process of inquiry by the inquiry official.  

6

16/08/2017 Mr. Kaow or Sakkarin Sricharoen Section 16 DV Act Mr. Kaow or Sakkarin Sricharoen operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125.
71/2017
This case is in the process of inquiry by the inquiry official.  

7

16/08/2017 Mr. Thanawat Kiattisak Section 16 DV Act Mr. Thanawat Kiattisak operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125.
71/2017
This case is in the process of inquiry by the inquiry official.  

8

03/08/2017 Chuo Senko (Thailand) Public Company Limited 56(2)(3)(4) and 199 SEC Act Chuo Senko (Thailand) Public Company Limited, failed to prepare and submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1,2016), the annual report for the year 2016 (Form 56-2,2016) to the SEC and the SET within specified period.   This case is in the process of inquiry by the inquiry official.  

9

03/08/2017 Mr. Katsuyuki Mizumachi 300 and Section 199 and Section 56(2)(3)(4) SEC Act Mr. Katsuyuki Mizumachi , Chairman of Management Committee of Chuo Senko (Thailand) Public Company Limited (?CHUO?), a person responsible for the operation of CHUO to submit the audited financial statements in accordance with the specified rules, has failed to order or act in accordance with the duties resulted in CHUO?s failure to submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1,2016), the annual report for the year 2016 (Form 56-2,2016) to the SEC and the SET.   This case is in the process of inquiry by the inquiry official.  

10

03/08/2017 Mr. SUPORNCHAI SIRIWOHARN 300 and Section 199 and Section 56(2)(3)(4) SEC Act Mr. Supornchai Siriwoharn, the chief executive officer of the International Engineering Public Company Limited (?IEC?), a person responsible for the operation of IEC to submit the audited financial statements in accordance with the specified rules, has failed to order or act in accordance with the duties resulted in IEC?s failure to submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1, 2016), the annual report for the year 2016 (Form 56-2, 2016) to the SEC and the SET.   This case is in the process of inquiry by the inquiry official.  

11

03/08/2017 The International Engineering Public Company Limited 199 and Section 56(2)(3)(4) SEC Act The International Engineering Public Company Limited (?IEC?) has failed to submit the audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1, 2016), the annual report for the year 2016 (Form 56-2, 2016) to the SEC and the SET.   This case is in the process of inquiry by the inquiry official.  

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Cases Settled by the Settlement Committee

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

1

18/10/2017 

9/2017 

81/2017 

The Siam Commercial Bank Public Company Limited 

247 in conjunction with Section 86 of the Penal Code 

SEC Act 

The Siam Commercial Bank Public Company Limited, a financial advisor appointed as the preparer of the offer document of Jasmine International Public Company Limited (?JAS?) played a part in being the supporter of Mr.Pete Bodharamik?s offence that are failing to prepare and submit (1) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (2) a report on the result of the tender offer in form 247-6-Khor to the SEC Office within the period Specified in the notification. 

 

108,000.00  

 

2

18/10/2017 

9/2017 

81/2017 

The Siam Commercial Bank Public Company Limited 

247 in conjunction with Section 86 of the Penal Code 

SEC Act 

The Siam Commercial Bank Public Company Limited, a financial advisor appointed as the preparer of the offer document of Jasmine Telecom Systems Public Company Limited (?JTS?) played a part in being the supporter of Mr.Pete Bodharamik?s offence that are failing to prepare and submit (1) a report on the total number of shares held in Form 246-2 (2) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (3) a submission of the offer document in Form 247-4 to the SEC Office within the period Specified in the notification. 

 

112,000.00  

 

3

18/10/2017 

9/2017 

80/2017 

Mr. Pete Bodharamik 

247 

SEC Act 

On September 19, 2016, Mr. Pete Bodharamik (?Mr. Pete?) acquired shares of Jasmine International Public Company Limited (?JAS?) in the amount of 29.42 percent of the total voting rights of JAS which caused his aggregated holdings of JAS shares to exceed 50 percent. The amount of his holdings of JAS was a significant degree of control of JTS. However, Mr. Pete failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as he failed to prepare and submit (1) a report on the total number of shares held in Form 246-2 (2) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (3) a submission of the offer document in Form 247-4 to the SEC Office within the period Specified in the notification. 

 

168,000.00  

 

4

18/10/2017 

9/2017 

80/2017 

Mr. Pete Bodharamik 

247 

SEC Act 

On September 19, 2016, Mr. Pete Bodharamik (?Mr. Pete?) acquired shares of Jasmine International Public Company Limited (?JAS?) which caused his aggregated holdings of JAS shares to exceed trigger point at 50 percent of the total voting rights of JAS. However, Mr. Pete failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as he failed to prepare and submit (1) an announcement of a statement of the intention to make a tender offer in Form 247-3 and (2) a report on the result of the tender offer in form 247-6-Khor to the SEC Office within the period Specified in the notification. 

 

162,000.00  

 

5

18/10/2017 

9/2017 

79/2017 

Mr. Narin Usanawarong 

300 

SEC Act 

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

 

1,596,000.00  

 

6

18/10/2017 

9/2017 

78/2017 

Mr. Sakchai Thanaboonchai 

300 

SEC Act 

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

 

1,596,000.00  

 

7

18/10/2017 

9/2017 

77/2017 

SS National Logistic Company Limited 

247 

SEC Act 

On October 28, 2010, SS National Logistic Company Limited (SSNL) filed the inaccurate tender offer report (Form 247-4) of SSNL?s holding of Sermsuk Public Company Limited (SSC) shares. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL?s tender offer of SSC shares. 

 

1,596,000.00  

 

8

18/10/2017 

9/2017 

76/2017 

Esteemed Networks Group Ltd. 

246 

SEC Act 

Esteemed Networks Group Ltd. failed to report the acquisition of NOBLE shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he acquired NOBLE shares between January 31, 2013 and May 3, 2013 

 

47,000.00  

 

9

18/10/2017 

9/2017 

75/2017 

Mr. Kris Narongdej 

246 

SEC Act 

Mr. Kris Narongdej failed to report the acquisition or disposal of NOBLE shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after he acquired or disposed NOBLE shares between January 11, 2013 and September 4, 2014 so that the acquisition or disposal of such shares caused his aggregate holding of NOBLE shares held by himself, by juristic persons under section 258 and by Narongdej?s family to reach or pass a multiple of five percent of the total number of voting rights of the business. 

 

1,658,000.00  

 

10

18/10/2017 

9/2017 

75/2017 

Mr. Kris Narongdej 

247 

SEC Act 

Mr. Kris Narongdej failed to comply with rules specified by Securities and Exchange Commission on January 21, 2014, Mr. Kris Narongdej acquired shares of NOBLE shares held by himself and by juristic persons under section 258 resulting in his aggregate number of shares held by other persons exceeded trigger point at 25 percent of the total voting rights of NOBLE. Later, Mr. Kris Narongdej reduced his shareholding below such trigger point, he then was exempted from the requirement to make a tender offer.  

 

812,500.00  

 

11

18/10/2017 

9/2017 

74/2017 

Miss Worawan Charoensontipab 

283 paragraph 1 

SEC Act 

Miss Worawan Charoensontipab, at the time she was holding the position of the fund manager of CIMB-Principal Asset Management Company Limited (CIMB), responsible for the operation of CIMB, failed to perform her duty of care as the fund manager resulting in CIMB?s violation of section 117. Between July 6, 2016 and February 28, 2017, CIMB failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by not putting in place an appropriate investment management system which has clear procedures and methods of operation before and after investment in order to enable the investment to be made prudently, carefully and appropriately for the purpose of the best interest of the customers.  

 

200,000.00  

 

12

18/10/2017 

9/2017 

73/2017 

Miss Chanaikan Swadirurk 

283 paragraph 1 

SEC Act 

Miss Chanaikan Swadirurk, the Head of Fixed income and the fund manager of CIMB-Principal Asset Management Company Limited (CIMB), responsible for the operation of CIMB, failed to perform her duty of care as the Head of Fixed income and the fund manager resulting in CIMB?s violation of section 117. Between July 6, 2016 and February 28, 2017, CIMB failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by not putting in place an appropriate investment management system which has clear procedures and methods of operation before and after investment in order to enable the investment to be made prudently, carefully and appropriately for the purpose of the best interest of the customers.  

 

200,000.00  

 

13

18/10/2017 

9/2017 

72/2017 

Mr. Win Phromphaet 

283 paragraph 1 

SEC Act 

Mr. Win Phromphaet, the Chief Investment Officer and the fund manager of CIMB-Principal Asset Management Company Limited (CIMB), responsible for the operation of CIMB, failed to perform his duty of care as the Chief Investment officer and the fund manager resulting in CIMB?s violation of section 117. Between July 6, 2016 and February 28, 2017, CIMB failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by not putting in place an appropriate investment management system which has clear procedures and methods of operation before and after investment in order to enable the investment to be made prudently, carefully and appropriately for the purpose of the best interest of the customers. 

 

200,000.00  

 

14

20/09/2017 

8/2017 

71/2017 

Mr. Apivut Thongkam 

300 in conjunction with 56(2) 

SEC Act 

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

 

61,500.00  

 

15

20/09/2017 

8/2017 

71/2017 

Mr. Apivut Thongkam 

300 in conjunction with 56(3) 

SEC Act 

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

 

51,900.00  

 

16

20/09/2017 

8/2017 

71/2017 

Mr. Apivut Thongkam 

300 in conjunction with 56(4) 

SEC Act 

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

 

72,900.00  

 

17

20/09/2017 

8/2017 

70/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(2) in conjunction with 199 

SEC Act 

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

 

92,250.00  

 

18

20/09/2017 

8/2017 

70/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(3) and 199 

SEC Act 

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

 

51,900.00  

 

19

20/09/2017 

8/2017 

70/2017 

AQ ESTATE PUBLIC COMPANY LIMITED 

56(4) and 199 

SEC Act 

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

 

72,900.00  

 

20

20/09/2017 

8/2017 

69/2017 

Mr.Kitisan Mookdee 

300 

SEC Act 

Mr.Kitisan Mookdee, a managing director responsible for the operation of K.C. Property Public Company Limited (KC), shall be liable for KC?s failure to prepare and submit the reviewed financial statements for Q1/2017 within the period specified by the Capital Market Supervisory Board.  

 

228,600.00  

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

21

20/09/2017 

8/2017 

68/2017 

K.C. Property Public Company Limited 

56(1) in conjunction with 199 

SEC Act 

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

 

228,600.00  

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

22

20/09/2017 

8/2017 

67/2017 

Miss Malinee Leopairat 

300 

SEC Act 

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

 

184,620.00  

 

23

20/09/2017 

8/2017 

66/2017 

The Bangkok Union Insurance Public Company Limited 

199 in conjunction with 56(1) 

SEC Act 

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

 

184,620.00  

 

24

20/09/2017 

8/2017 

65/2017 

Mr. Palits Phanpanit 

300 

SEC Act 

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

 

69,000.00  

 

25

20/09/2017 

8/2017 

65/2017 

Mr. Palits Phanpanit 

300 

SEC Act 

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

 

59,400.00  

 

26

20/09/2017 

8/2017 

65/2017 

Mr. Palits Phanpanit 

300 

SEC Act 

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

 

64,800.00  

 

27

20/09/2017 

8/2017 

64/2017 

Yarnapund Public Company Limited 

56 and 199 

SEC Act 

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

 

69,000.00  

 

28

20/09/2017 

8/2017 

64/2017 

Yarnapund Public Company Limited 

56 and 199 

SEC Act 

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

 

59,400.00  

 

29

20/09/2017 

8/2017 

64/2017 

Yarnapund Public Company Limited 

56 and 199 

SEC Act 

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

 

64,800.00  

 

30

20/09/2017 

8/2017 

63/2017 

Miss Sopacha Dhumrongpiyawut, 

300 

SEC Act 

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

 

46,800.00  

 

31

20/09/2017 

8/2017 

62/2017 

Gunkul Engineering Public Company Limited 

56(4) and 199 

SEC Act 

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

 

46,800.00  

 

32

20/09/2017 

8/2017 

61/2017 

Mr. Tarakorn Angpubate 

300 

SEC Act 

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

 

30,300.00  

 

33

20/09/2017 

8/2017 

60/2017 

Food Capitals Public Company Limited 

56 and 199 

SEC Act 

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

 

30,300.00  

 

34

21/08/2017 

7/2017 

59/2017 

VRP Engineering and Trading Company Limited 

Section 57(6) 

SEC Act 

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

 

54,120.00  

 

35

21/08/2017 

7/2017 

58/2017 

Mr.Kitisan Mookdee 

300 in conjunction with 56(2) 

SEC Act 

Mr.Kitisan Mookdee, a managing director responsible for the operation of K.C. Property Public Company Limited (KC), shall be liable for KC?s failure to prepare and submit the audited financial statements for the year 2016 within the period specified by the Capital Market Supervisory Board.  

 

292,200.00  

 

36

21/08/2017 

7/2017 

58/2017 

Mr.Kitisan Mookdee 

300 in conjunction with 56(3) 

SEC Act 

Mr.Kitisan Mookdee, a managing director responsible for the operation of K.C. Property Public Company Limited (KC), shall be liable for KC?s failure to prepare and submit the annual report for the year 2016 (Form 56-2) ended December 31, 2016 within the period specified by the Capital Market Supervisory Board.  

 

243,000.00  

 

37

21/08/2017 

7/2017 

58/2017 

Mr.Kitisan Mookdee 

300 in conjunction with 56(4) 

SEC Act 

Mr.Kitisan Mookdee, a managing director responsible for the operation of K.C. Property Public Company Limited (KC), shall be liable for KC?s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1, 2016) within the period specified by the Capital Market Supervisory Board.  

 

281,400.00  

 

38

21/08/2017 

7/2017 

57/2017 

K.C. Property Public Company Limited 

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

SEC Act 

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

 

292,200.00  

 

39

21/08/2017 

7/2017 

57/2017 

K.C. Property Public Company Limited 

56(3) and 199 

SEC Act 

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

 

243,000.00  

 

40

21/08/2017 

7/2017 

57/2017 

K.C. Property Public Company Limited 

56(4) and 199 

SEC Act 

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

 

281,400.00  

 

41

21/08/2017 

7/2017 

56/2017 

Mr. Yutaka Ito 

300 

SEC Act 

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

 

33,000.00  

 

42

21/08/2017 

7/2017 

55/2017 

S. PACK & PRINT Public Company Limited 

56(2) in conjunction with 199 

SEC Act 

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

 

33,000.00  

 

43

21/08/2017 

7/2017 

54/2017 

Mr. Nawat Triyapongpattana 

300 

SEC Act 

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

 

81,000.00  

 

44

21/08/2017 

7/2017 

54/2017 

Mr. Nawat Triyapongpattana 

300 

SEC Act 

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

 

118,200.00  

 

45

21/08/2017 

7/2017 

53/2017 

Ubis (Asia) Public Company Limited (UBIS) 

56(4) and 199 

SEC Act 

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

 

81,000.00  

 

46

21/08/2017 

7/2017 

53/2017 

Ubis (Asia) Public Company Limited 

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

SEC Act 

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

 

118,200.00  

 

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Administrative Orders
Under the Securities And Exchange Act B.E.2535 (1992) and the Derivatives Act B.E.2546 (2003)

There is no enforcement during the last three months.

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Administrative Sanctions
Under the Derivatives Act B.E.2546 (2003) and the Trust for Transactions in Capital Market Act B.E.2550 (2007)

There is no enforcement during the last three months.

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Note : 
      - Filing a criminal complaint begins criminal proceedings. The criminal case will be subject to the inquiry official, the public prosecutor, or/ and the court's discretion.
      คลิกที่นี่เพื่อเรียกดูขั้นตอนการกล่าวโทษต่อพนักงานสอบสวน
      - Administrative sanctions disclosed on the website may not be final because the person subject to the administrative sanction may file an appeal against the administrative sanction with the Securities and Exchange Commission or file a case with the Administrative Court.
      Click here to view a flowchart of the Appeal Filing Procedure and a brief explanation.


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