Publication policy of the SEC regarding the retention of the details of enforcement action on the SEC website: |
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Synopsis of the enforcement action thus far taken by the SEC
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Insider Dealing
Offences against 13 individuals pertaining to 7 cases of Insider Dealing were compounded. Further, warning letters were issued to 6 individuals.
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Market/Price Manipulation
Litigation is pending against 1 individual and offences against 16 individuals and 1 entity were compounded. Further, warning letters were issued to 6 individuals.
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Front Running
An offence against 1 individual was compounded and warning letters were issued to 2 individuals.
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Failure to immediately disclose material information
4 individuals were convicted and offences against 16 individuals and 2 entities were compounded. Further, warning letters were issued to 2 individuals.
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Non-provision of information and provision of false and/or misleading information to the SEC
Offences against 3 individuals were compounded and a warning letter was issued to a stock broking firm.
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Submission of false/fictitious financial statements to the CSE
1 person was convicted and the offence against another was compounded.
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Violating the provisions of the Company Takeovers and Mergers Code
Offence against 1 person was compounded.