SEC :: Securities and Exchange Commission

Criminal Sanction - annual statistics

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Settlement

Complaint

Offences /Year	2013*	2012	2011	2010	2009	Total
Business Operator
Non-compliance with business conducts	6	18	35	57	28	144

Securities Issuance
Financial statements	13	30	56	29	23	151
Report of securities holding of directors and executives	0	1	1	1	2	5
Others	0	0	1	0	0	1

Unfair Securities Trading Activities
Dissemination of false or misleading information	0	0	1	0	0	1
Market manipulation	0	6	22	2	17	47
Insider trading	0	1	5	3	4	13

Takeover	10	0	0	4	3	17

Grand total	29	56	121	96	77	379
* As of April 30, 2013

Litigation Department
Rattanut, Thammarat Tel. 0-2695-9999 ext. 6144, 6204
E-mail : enforce@sec.or.th

Last Updated 7 May 2013
Last Reviewed 7 May 2013