Statistics of Criminal Actions  

Offences* /Year 2018 2017 2016 2015 2014 2013
Criminal Fine File Criminal Complaint Criminal Fine File Criminal Complaint Criminal Fine File Criminal Complaint Criminal Fine File Criminal Complaint Criminal Fine File Criminal Complaint Criminal Fine File Criminal Complaint
Persons Cases Persons Cases Persons Cases Persons Cases Persons Cases Persons Cases Persons Cases Persons Cases Persons Cases Persons Cases Persons Cases Persons Cases
Director of Company
Fraud     18 2     37 4     0 0     ​21 8     ​3 1     8​ 3
Fail to exercise duty of care     1 1     1 1     1 1     ​2 2     ​0 0     ​0 0
Unfair Securities Trading Activities
Disclosure of false statement/ Dissenimation of false or misleading information     - -     - - 3 3 - - 1 1 - - - - - - - - - -
Market manipulation     - -     - - 16 4 16 3 12 2 ​4 1 35 6 23 3 - - 13 2
Insider trading     - -     - - 15 7 3 2 10 6 2 1 13 5 - - 10 4 1 1
Takeover 3 3 1 1 12 5 - - 5 1 3 1 4 3 1 1 3 3 - - 8 4 1 1
Securities Inssuance
Disclosure report 6 3 6 3 67 33 29 15 50 25 35 15 47 24 38 20 67 34 70 34 43 26 70 36
Report of securities holding of directors and executives 1 1 - - 5 5 - - 2 2 0 0 1 1 0​ 0 1 1 0​ 0 1 1 0 0
Others 8 4 - - 7 5 - - 1 1 4 1 0 0 0​ 0 0 0 0​ 0 0 0 ​0 0
Business Operator
Non-compliance with business conducts 1 1 - - 13 9 - - 20 19 2 1 14 14 - - 21 21 - - 17 17 - -
Unlicensed securities businesses     - -     - -     17 5     ​8 2     6 3     4 1
Unlicensed derivatives businesses     - -     2 1     0 0     ​3 1     7 4     11 5
Director or person responsible for business operator fraud (including aider and abettor)     - -     - -     0 0     1 1     0​ 0     7 3
Others
Giving false testimony to competent officer     - -     - -     ​0 ​0     ​1 1     ​0 0     ​0 0
Failure to comply with the competent officer's order     - -     - -     ​0 ​0     0​ 0​     0​ 0     3 2
Failure to uphold professional standards     - -     - -     ​0 ​0     ​0 0     0​ 0     0 0
Grand Total 19 12 26 7 104 57 69 21 112 62 81 29 89 51 42 38 140 70 106 45 79 52 110 54
   

* Some offenders may committed more than one offense.   

 As of 31 May 2018 

 

 

Summary of Criminal Sanctions in 2017

Types of Offences Filed for Criminal Complaint Fined
No. of Cases No. of Cases Paid Fine (Baht)
Fraud or breach of fiduciary duty 38 -  - 
Takeovers - 12 8,562,250.00
Securities issuance and offering (eg. submitting proper and timely disclosure documents of listed comnpanies, reporting changes to securities holding by executives and debenture public offering without approval) 29 79                   18,533,770.00
Breach of securities business rules - 5 1,623,850.00
Breach of asset management business rules - 8 2,367,200.00
Unlicensed securities business/ Unlicensed derivatives business 2 - -
Total 69 104 31,087,070.00

 

  

* In 2017 the Criminal Fining Committee imposed a fine of 1,530,000 Baht on debenture public offering without approval case, but offenders in the case did not pay the fine. As a result, the SEC Office referred the case to  the Economic Crime Division (ECD) of the Royal Thai Police in order to proceed to criminally prosecute them under the Securities and Exchange Commission Act.

 

 

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