Following receipt of clue information, the SEC conducted an investigation and found that since 12 January 2022, 1000X, the service provider of the website https://www.1000x.live (“1000x.live”), had provided services or presented itself to the public that it was ready to provide the digital asset exchange service in the ordinary course of business outside the digital asset exchange. Additionally, Worawat promoted 1000X’s service in the Thai language on Facebook to invite the public to use the ser...
With the case referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was found that the four offenders, namely (1) Mr. Win Udomrachtavanich, (2) Mr. Ratachai Teratanavat, (3) Mr. Vijchu Chantatab, and (4) Mrs. Shanya Pengpunpat had collusively manipulated share price and/or trading volume of the Market for Alternative Investment (mai)-listed TIGER between 24-29 October 2018 and on 13 November 2018 (five business days in total). According to the investigation,...
Bangkok, 20 April 2017 ? The SEC has filed a criminal complaint against former directors and executives of Triton Holding Public Company Limited (TRITN) (previously named Live Incorporation Public Company Limited (LIVE)) and their associates, in the total of nine persons, with the Department of Special Investigation (DSI) on account of jointly committing dishonest acts to misappropriate TRITN assets, failing to perform duties responsibly, and consenting to preparation of incorrect accounting rec...
there were nothing related, (3) showing registered capital as high as 20,000 million baht. In addition, it was found that an executive holds several identification cards under various names and used those
Ratchasak and related persons with the DSI for falsifying a 10.5 million baht revenue in POWER?s financial statements for the year 2004 used for showing company profit with the request to be removed from the
Bangkok, November 10, 2010 ? The SEC has filed a criminal complaint with the Department of Special Investigation against Numkrit Jeraputtiruk, former executive of UBS Securities (Thailand) Limited (UBS), for taking unlawful gains for himself or others at the expense of UBS?s clients. The complaint also alleged six other persons for aiding and abetting Numkrit?s commission of misconduct, namely (1) Pawaris Phatwongsathon, (2) Meena Kamphaengkaew, (3) Patara Thumrongvit, (4) Chalalai Saliwattana,...
Bangkok, October 6, 2015 ? The SEC filed a criminal complaint against Penkae Katekaew and Tan Lethi with the Department of Special Investigation (DSI) for collusively seeking unlawful gain causing damage to Bliss-Tel Public Company Limited (BLISS). The SEC found that Penkae and Tan, then holding position as BLISS investment board members having power to make securities investment decision and approval on behalf of the company, had collusively sought unlawful gain causing damage to BLISS. They de...
Bangkok, 23 January 2024 – The Securities and Exchange Commission (SEC) has filed a criminal complaint with the Department of Special Investigation (DSI) against former directors and executives of Crown Tech Advance Public Company Limited (AJD), (currently renamed as AJ Advance Technology Public Company Limited (AJA)) and their associates, totaling four entities, namely: (1) Mr. Amorn Meemano, (2) Mr. Pipat Patiwetphinyo, (3) Winsound (Thailand) co., Ltd., and (4) Mr. Tanachat Siriphaukham, on...
the SEC’s examination, is considered an offense of making false entries or omitting material statements in the accounts or documents of, or related to, a juristic person. This constitutes a violation
offenders and accomplices.” ______________________Remark: *SEC News No. 116/2023: “SEC files a criminal complaint against 10 offenders with the DSI for falsifying STARK financial statements, making