Synopsis of the enforcement action taken by the SEC

• In respect of the Offence of Insider Dealing

• In respect of the Offence of Market/Price Manipulation

• In respect of the Offence of Front Running

• Non-provision of information and provision of false and/or misleading information to the SEC

• Violation of the SEC Rules / CSE Rules

• Other Warnings Issued

• Administrative Sanctions Imposed

• Use of manipulative and deceptive devices

• Settlement Agreement

• Others