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

12/06/2018 Miss Kanchana Chakvichitsopon 312 SEC Act Miss Kanchana Chakvichitsopon and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

2

12/06/2018 Mr. Eknarin Thammaraks 312 SEC Act Mr. Eknarin Thammaraks and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

3

12/06/2018 Mr. Khajohnpong Khamdee 312 SEC Act Mr. Khajohnpong Khamdee and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

4

12/06/2018 Mr. Phiboon Phihakendr 312 SEC Act Mr. Phiboon Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

5

12/06/2018 Mr. Phipat Phihakendr 312 SEC Act Mr. Phipat Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

6

12/06/2018 Mr. Phiroon Phihakendr 312 SEC Act Mr. Phiroon Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

7

12/06/2018 Mr. Phisudhi Phihakendr 312 SEC Act Mr. Phisudhi Phihakendr and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the special case inquiry official.  

8

12/06/2018 Mr. Somkiat Sukdheva 312 SEC Act Mr. Somkiat Sukdheva and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

9

12/06/2018 Mr. Suriyaporn Bunchai 312 SEC Act Mr. Suriyaporn Bunchai and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

10

12/06/2018 Mr. Thanawat Pratoomsuwan 312 SEC Act Mr. Thanawat Pratoomsuwan and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

11

12/06/2018 Mr. Thongchai Watanasoponwong 312 SEC Act Mr. Thongchai Watanasoponwong and ten directors and formal directors of Energy Earth Public Company Limited (?EARTH?) committed or permitted another to make false entries or fail to enter any material statement in the EARTH?s Board Resolution no. 5/2560 on 21 July 2017, which is a document of or related to EARTH, to deceive investors and debtors to misunderstand that EARTH has total liabilities in excess of total assets and not to know the true and sufficient information about the increased debt of 26,000 million Baht.
062/2018
This case is in the process of inquiry by the inquiry official.  

12

11/06/2018 Mr. Chen Xiaoxiang 90 SEC Act Mr. Chen Xiaoxiang colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

13

11/06/2018 Mr. Cheng Jia 90 SEC Act Mr. Cheng Jia colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
: This case is in the process of inquiry by the inquiry official.  

14

11/06/2018 Mr. Ke Xiwei 90 SEC Act Mr. Ke Xiwei colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

15

11/06/2018 Mr. Lu Yangyin 90 SEC Act Mr. Lu Yangyin colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

16

11/06/2018 Mr. Wu Jincheng 90 SEC Act Mr. Wu Jincheng colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

17

11/06/2018 Mr. Xin Ye 90 SEC Act Mr. Xin Ye colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

18

11/06/2018 Mr. Zhou Zhou 90 SEC Act Mr. Zhou Zhou colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289.
61/2018
This case is in the process of inquiry by the inquiry official.  

19

04/06/2018 Mr. 16 DV Act  
056/2018
This case is in the process of inquiry by the inquiry official.  

20

24/04/2018 Mr. Khumsup Lochaya 246 SEC Act During December 11, 2008 to present, Mr. Khumsup Lochaya inaccurately reported or fail to reported to the SEC Office the acquisition or disposal of Superblock Public Company Limited (?SUPER?) shares because he did not report the shares that hold by his nominee, Miss Panissara Tiangtham caused his aggregate holding of SUPER shares reached or passed five percent of the total number of voting rights of SUPER.   This case is in the process of inquiry by the special case inquiry official.  

21

17/04/2018 Mr. Akkaradech Wattana 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Akkaradech Wattana aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

22

17/04/2018 Mr. Apiruk Chutrakul 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Apiruk Chutrakul aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

23

17/04/2018 Mr. Asa Ninnad 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Asa Ninnad, the director of Polaris Capital Public Company Limited (?POLAR?), together with former directors and directors: (1) Mr. Yanakorn Warakunrak, (2) Mr.Poonsak Chumchuay, (3) Mr. Thakorn Taweesri and (4) Mr.Danuj Bunnag, former director and directors, jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

24

17/04/2018 Mr. Kamheang Hoonhirunsai 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Kamheang Hoonhirunsai aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

25

17/04/2018 Mr. Thakorn Taweesri 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Thakorn Taweesri, the director of Polaris Capital Public Company Limited (?POLAR?), together with former directors and directors: 1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay and (4) Mr.Danuj Bunnag jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

26

17/04/2018 Mr. Thanyapong Limwongyut 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Thanyapong Limwongyut aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

27

17/04/2018 Mr. Yanakorn Warakunrak 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr. Yanakorn Warakunrak, the director of Polaris Capital Public Company Limited (?POLAR?), together with former directors and directors: (1) Mr. Asa Ninnad, (2) Mr.Poonsak Chumchuay, (3) Mr. Thakorn Taweesri and (4) Mr.Danuj Bunnag jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

28

17/04/2018 Mr.Danuj Bunnag 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr.Danuj Bunnag, the director of Polaris Capital Public Company Limited (?POLAR?), together with former directors and directors: (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay and (4) Mr. Thakorn Taweesri jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

29

17/04/2018 Mr.Poonsak Chumchuay 310 312 308 in conjunction with section 80 of Penal Code and 311 in conjunction with section 80 of Penal Code SEC Act During 2017, Mr.Poonsak Chumchuay, the director of Polaris Capital Public Company Limited (?POLAR?), together with former directors and directors: (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr. Thakorn Taweesri and (4) Mr.Danuj Bunnag jointly maliciously created a false debt for POLAR in order to prevent his creditor from receiving full or part payment and made false entries or failed to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

30

17/04/2018 Simba Inter Company Limited 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, Simba Inter Company Limited aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
This case is in the process of inquiry by the inquiry official.  

31

17/04/2018 United Trading Group Limited 310 and 312 in conjunction with 315 and 308 and 311 in conjunction with 315 in conjunction with section 80 of Penal Code SEC Act During 2017, United Trading Group Limited aided and abetted former directors and directors of Polaris Capital Public Company Limited (?POLAR?): (1) Mr. Asa Ninnad, (2) Mr. Yanakorn Warakunrak, (3) Mr.Poonsak Chumchuay (4) Mr. Thakorn Taweesri and (5) Mr.Danuj Bunnag by maliciously creating a false debt for POLAR in order to prevent his creditor from receiving full or part payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR?s property to himself or a third party and act in order to obtain unlawful gains for himself or another person and cause damage to POLAR.
038/2018
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

16/05/2018 

5/2018 

19/2018 

Mr. Sorapoj Techakraisri 

59 

SEC Act 

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

 

118,650.00  

 

2

16/05/2018 

5/2018 

18/2018 

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

Section 57(6) 

SEC Act 

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

 

50,560.00  

 

3

18/04/2018 

4/2018 

17/2018 

Mr. Surachai Suwanthanakul 

246 

SEC Act 

Between 26 December 2014 to 2 April 2015 , Mr. Surachai Suwanthanakul acquired TAPAC shares by himself and through others, causing his aggregate shareholding in TAPAC shares to reach or pass a multiple of 5 percent of the total number of voting rights of TAPAC amount four times, but he failed to report the acquisition of such TAPAC shares to the SEC Office within a period specified in the notification of Securities and Exchange Commission. Later he submitted such reports (Form 246-2) to the SEC Office on 17 April 2018. 

 

664,750.00  

 

4

18/04/2018 

4/2018 

17/2018 

Mr. Surachai Suwanthanakul 

247 

SEC Act 

On 16 February, 2015, Mr. Surachai Suwanthanakul acquired shares of TAPACO Public Company Limited (TAPAC) by himself and through others, causing his aggregate shareholding in TAPAC shares to exceed trigger point at 25 percent of the total number of voting rights of TAPAC, but Mr. Surachai failed to comply with tender offer rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 . 

 

1,570,000.00  

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

5

18/04/2018 

4/2018 

16/2018 

Mr.Suphanan Rittiphairoj 

300 

SEC Act 

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

 

31,600.00  

 

6

28/03/2018 

3/2018 

15/2018 

Mr. Thaveechat Churanggool 

246 

SEC Act 

Between 22 March 2017 to 21 April 2017 Mr. Thaveechat Churanggool, failed to report to the SEC Office the acquisition of NOK Airlines Public Company Limited (?NOK?) securities which caused his aggregate holding of NOK shares reached or passed five percent of the total number of voting rights of NOK within the period specified in the notification of the Capital Market Supervisory Board. 

 

13,000.00  

 

7

28/03/2018 

3/2018 

14/2018 

Asia Wealth Securities Company Limited 

113 

SEC Act 

Between December 12, 2016 and December 27, 2017; Asia Wealth Securities Company Limited, as a securities broker, failed to comply with rules, conditions, and procedures specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective operating system to ensure that a person responsible for introducing services acknowledges and comprehends information relating to capital market products well and would be able to instruct them to a client; and failed to provide measures for preventing conflict of interests.  

 

456,000.00  

 

8

28/03/2018 

3/2018 

14/2018 

Asia Wealth Securities Company Limited 

113 

SEC Act 

Between December 12, 2016 and December 27, 2017; Asia Wealth Securities Company Limited, as a securities broker, failed to comply with rules, conditions, and procedures specified in the notification of the Capital Market Supervisory Board by putting in place an insufficient system for monitoring and supervising its investment consultants to perform duties regarding accepting trading orders and giving advices to the client correctly, thoroughly, reasonably and without being misleading. 

 

684,000.00  

 

9

28/03/2018 

3/2018 

13/2018 

Mr. Arak Ratboriharn 

300 

SEC Act 

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

29/2018
 

500,000.00  

 

10

28/03/2018 

3/2018 

12/2018 

News Network Corporation Public Company Limited 

33 

SEC Act 

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

29/2018
 

500,000.00  

 

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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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