Publication policy of the SEC regarding the retention of the details of enforcement action on the SEC website:

Convictions – Indefinite Compounding – Three years from the date of compounding Warning – One year from the date of warning Publication of Notice of Malfeasance – One year from the date of publication

Synopsis of the enforcement action taken by the SEC

• Insider Dealing

• Market/Price Manipulation

• 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

• Administrative Sanctions