PUBLICATION POLICY OF THE SEC REGARDING THE RETENTION OF THE DETAILS OF ENFORCEMENT ACTION ON THE SEC WEBSITE :
INSIDER DEALING
Offences compounded against 14 persons
Warning letters issued to 6 persons
MARKET/PRICE MANIPULATION
Litigation pending against 1 person
Offences compounded against 17 persons
Warning letters issued to 6 persons
FRONT RUNNING
Offence compounded against 1 person
Warning letters issued to 2 persons
FAILURE TO IMMEDIATELY DISCLOSE MATERIAL INFORMATION
Convictions against 4 persons
Offences compounded against 18 persons
Warning letters issued to 3 persons
NON-PROVISION OF INFORMATION AND PROVISION OF FALSE AND/OR MISLEADING INFORMATION TO THE SEC
Offences compounded against 3 persons
Warning letter issued to 1 person
SUBMISSION OF FALSE/FICTITIOUS FINANCIAL STATEMENTS TO THE CSE
Conviction against 1 person
Offence compounded against 1 person
VIOLATING THE PROVISIONS OF THE COMPANY TAKEOVERS AND MERGERS CODE
Offence compounded against 1 person
SYNOPSIS OF THE ENFORCEMENT ACTION THUS FAR TAKEN BY THE SEC
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MARKET/PRICE MANIPULATION
FRONT RUNNING
FAILURE TO IMMEDIATELY DISCLOSE MATERIAL INFORMATION
NON-PROVISION OF INFORMATION AND PROVISION OF FALSE AND/OR MISLEADING INFORMATION TO THE SEC
SUBMISSION OF FALSE/FICTITIOUS FINANCIAL STATEMENTS TO THE CSE
VIOLATING THE PROVISIONS OF THE COMPANY TAKEOVERS AND MERGERS CODE
SYNOPSIS OF THE ENFORCEMENT ACTION THUS FAR TAKEN BY THE SEC
- INSIDER DEALING
- MARKET/PRICE MANIPULATION
- FRONT RUNNING
- FAILURE TO IMMEDIATELY DISCLOSE MATERIAL INFORMATION
- NON-PROVISION OF INFORMATION AND PROVISION OF FALSE AND/OR MISLEADING INFORMATION TO THE SEC
- SUBMISSION OF FALSE/FICTITIOUS FINANCIAL STATEMENTS TO THE CSE
- VIOLATING THE PROVISIONS OF THE COMPANY TAKEOVERS AND MERGERS CODE