SEC :: Securities and Exchange Commission

Criminal Sanction - annual statistics

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Settlement

Complaint

Offences /Year	2013*	2012	2011	2010	2009
Business Operator
Non-compliance with business conducts	7	18	35	57	28

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

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

Takeover	7	0	0	4	3

Grand total	30	56	121	96	77
* As of May 31, 2013

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

Last Updated 6 Jun 2013
Last Reviewed 6 Jun 2013