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

28/01/2019 L.V. Technology Public Company Limited 56 SEC Act L.V. Technology Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2017, (2) the annual registration statement for the year 2017 (Form 56-1, 2017) and (3) the reviewed financial statements for Q1/2018 to the SEC and the SET within the specified period.   This case is in the process of inquiry by the inquiry official.  

2

06/12/2018 K.C. Property Public Company Limited 56(1)(2)(3)(4) SEC Act K.C. Property Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2017, (2) the annual report for the year 2017 (Form 56-2, 2017), (3) the annual registration statement for the year 2017 (Form 56-1, 2017) and (4) the reviewed financial statements for Q1/2018 to the SEC and the SET within the specified period.   This case is in the process of inquiry by the inquiry official.  

3

16/11/2018 Amazen Pte. Ltd. 308 310 and 311 in conjunction with 315 SEC Act During 2017, Amazen Pte. Ltd., a trading partner of Energy Earth Public Company Limited (?EARTH?), assisted or facilitated EARTH?s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
147/2018
This case is in the process of inquiry by the inquiry official.  

4

16/11/2018 Jiangsu Guanrun Trading Co., Ltd. 308 310 and 311 in conjunction with 315 SEC Act During 2017, Jiangsu Guanrun Trading Co., Ltd., a trading partner of Energy Earth Public Company Limited (?EARTH?), assisted or facilitated EARTH?s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
147/2018
This case is in the process of inquiry by the inquiry official.  

5

16/11/2018 Marco Polo Ventures Co., Ltd. 308 310 and 311 in conjunction with 315 SEC Act During 2017, Marco Polo Ventures Co., Ltd., a trading partner of Energy Earth Public Company Limited (?EARTH?), assisted or facilitated EARTH?s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
147/2018
This case is in the process of inquiry by the inquiry official.  

6

16/11/2018 Miss Kanchana Chakvichitsopon 308 310 and 311 SEC Act During 2017, Miss Kanchana Chakvichitsopon, a director of Energy Earth Public Company Limited (?EARTH?), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phipat Phihakendr and Mr. Phiboon Phihakendr, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to herself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons.
147/2018
This case is in the process of inquiry by the inquiry official.  

7

16/11/2018 Miss Nattha Saelee 308 310 and 311 in conjunction with 315 SEC Act During 2017, Miss Nattha Saelee, who was authorized by Tianjin Botai Zhongxing Trading Co., Ltd., Jiangsu Guanrun Trading Co., Ltd. and Mr. Lin Tong Hai to sue Energy Earth Public Company Limited (?EARTH?) for damages, assisted or facilitated EARTH?s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratommsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
147/2018
This case is in the process of inquiry by the inquiry official.  

8

16/11/2018 Mr. Amnat Tanggurimarn 308 310 and 311 in conjunction with 315 SEC Act During 2017, Mr. Amnat Tanggurimarn, who was authorized by Amazen Pte. Ltd. to sue Energy Earth Public Company Limited (?EARTH?) for damages, assisted or facilitated EARTH?s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratommsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
147/2018
This case is in the process of inquiry by the inquiry official.  

9

16/11/2018 Mr. Khajohnpong Khamdee 308 310 and 311 SEC Act During 2017, Mr. Khajohnpong Khamdee, a director of Energy Earth Public Company Limited (?EARTH?), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons.
147/2018
This case is in the process of inquiry by the inquiry official.  

10

16/11/2018 Mr. Lin Tong Hai 308 310 and 311 in conjunction with 315 SEC Act During 2017, Mr. Lin Tong Hai, a trading partner of Energy Earth Public Company Limited (?EARTH?), assisted or facilitated EARTH?s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
147/2018
This case is in the process of inquiry by the inquiry official.  

11

16/11/2018 Mr. Phiboon Phihakendr 308 310 and 311 SEC Act During 2017, Mr. Phiboon Phihakendr, a director of Energy Earth Public Company Limited (?EARTH?), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused the damage to EARTH. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons.
147/2018
This case is in the process of inquiry by the inquiry official.  

12

16/11/2018 Mr. Phipat Phihakendr 308 310 and 311 SEC Act During 2017, Mr. Phipat Phihakendr, a director of Energy Earth Public Company Limited (?EARTH?), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons.
147/2018
This case is in the process of inquiry by the inquiry official.  

13

16/11/2018 Mr. Phiroon Phihakendr 308 310 and 311 SEC Act During 2017, Mr. Phiroon Phihakendr, a director of Energy Earth Public Company Limited (?EARTH?), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Thanawat Pratoomsuwan, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons.
147/2018
This case is in the process of inquiry by the inquiry official.  

14

16/11/2018 Mr. Phisudhi Phihakendr 308 310 and 311 SEC Act During 2017, Mr.Phisudhi Phihakendr, the Chairman of the Board of Directors of Energy Earth Public Company Limited (?EARTH?), joined with other six ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons.
147/2018
This case is in the process of inquiry by the inquiry official.  

15

16/11/2018 Mr. Ruangyos Mahaworamakorn 308 310 and 311 in conjunction with 315 SEC Act During 2017, Mr. Ruangyos Mahaworamakorn, an authorized person of Napoleon Logistics Co., Ltd. and Marco Polo Ventures Co., Ltd., assisted or facilitated Energy Earth Public Company Limited (?EARTH?)?s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratommsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
147/2018
This case is in the process of inquiry by the inquiry official.  

16

16/11/2018 Mr. Samarth Suvajarachai 308 310 and 311 in conjunction with 315 SEC Act During 2017, Mr. Samarth Suvajarachai, an authorized person of Napoleon Logistics Co., Ltd. and Marco Polo Ventures Co., Ltd., assisted or facilitated Energy Earth Public Company Limited (?EARTH?)?s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratommsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
147/2018
This case is in the process of inquiry by the inquiry official.  

17

16/11/2018 Mr. Thanawat Pratoomsuwan 308 310 and 311 SEC Act During 2017, Mr. Thanawat Pratoomsuwan, an executive of Energy Earth Public Company Limited (?EARTH?), joined with other six ex-directors and ex-executives, namely: Mr. Phisudhi Phihakendr, Mr. Khajohnpong Khamdee, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons.
147/2018
This case is in the process of inquiry by the inquiry official.  

18

16/11/2018 Napoleon Logistics Co., Ltd. 308 310 and 311 in conjunction with 315 SEC Act During 2017, Napoleon Logistics Co., Ltd., a trading partner of Energy Earth Public Company Limited (?EARTH?), assisted or facilitated EARTH?s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
147/2018
This case is in the process of inquiry by the inquiry official.  

19

16/11/2018 Tianjin Botai Zhongxing Trading Co., Ltd. 308 310 and 311 in conjunction with 315 SEC Act During 2017, Tianjin Botai Zhongxing Trading Co., Ltd., a trading partner of Energy Earth Public Company Limited (?EARTH?), assisted or facilitated EARTH?s seven ex-directors and ex-executives, namely: Mr. Khajohnpong Khamdee, Mr. Phisudhi Phihakendr, Mr. Thanawat Pratoomsuwan, Mr. Phiroon Phihakendr, Mr. Phiboon Phihakendr, Mr. Phipat Phihakendr and Miss Kanchana Chakvichitsopon, in maliciously creating a false debt for EARTH to prevent its creditor from receiving full or partial payment, dishonestly converting EARTH?s property to himself or a third party, and obtaining unlawful gains for themselves or another person caused damages to EARTH.
147/2018
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

16/01/2019 

1/2019 

1/2019 

Nation Multimedia Group Public Company Limited 

56(1) 

SEC Act 

Nation Multimedia Group Public Company Limited (?NMG?), a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2018 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However. the reviewed financial statements for Q1/2018 were later filed with the SET on November 13, 2018. 

 

293,400.00  

 

2

16/01/2019 

1/2019 

1/2019 

Nation Multimedia Group Public Company Limited 

56(2) 

SEC Act 

Nation Multimedia Group Public Company Limited (?NMG?), a securities issuer, failed to prepare and submit the audited financial statements for the year 2017 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the financial statements for the year 2017 were later filed with the SET on August 27, 2018. 

 

291,000.00  

 

3

16/01/2019 

1/2019 

1/2019 

Nation Multimedia Group Public Company Limited 

56(3) 

SEC Act 

Nation Multimedia Group Public Company Limited (?NMG?), a securities issuer, failed to prepare and submit the annual report for the year 2017 (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 2017 were later filed with the SET on October 3, 2018. 

 

262,200.00  

 

4

16/01/2019 

1/2019 

1/2019 

Nation Multimedia Group Public Company Limited 

56(4) 

SEC Act 

Nation Multimedia Group Public Company Limited (?NMG?), a securities issuer, failed to prepare and submit the annual registration statement for the year 2017 (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 2017 were later filed with the SET on September 27, 2018. 

 

288,600.00  

 

5

21/11/2018 

11/2018 

42/2018 

Mr. Supawat Sa-nguan-ngam 

300 in conjunction with 56(2) 

SEC Act 

Mr. Supawat Sa-nguan-ngam, Managing Directer, responsible for the operation of Nation Broadcasting Corporation Public Company Limited (?NBC?), shall be liable for NBC?s failure to prepare and submit the financial statements for the year 2017 within the specified period. 

 

85,800.00  

 

6

21/11/2018 

11/2018 

41/2018 

Nation Broadcasting Corporation Public Company Limited 

56(2) 

SEC Act 

Nation Broadcasting Corporation Public Company Limited (?NBC?), a securities issuer, failed to prepare and submit the audited financial statements for the year 2017 to the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the financial statements for the year 2017 were later filed with the SET and the SEC Office on March 9, 2018 and March 13, 2018, respectively. 

 

85,800.00  

 

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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.
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      - 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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