No.

Nature of Offence

Offender(s)

Facts of Case

Compound

1. Short selling
[s.41(1) of the SIA 1983)
Credit Lyonnais Securities Pte Ltd (Credit Lyonnais)

CIMB Securities Sdn Bhd (CIMB Securities)

CIMB Securities, Credit Lyonnais and Ng short sold 141,000 units of Proton Bhd shares.

 

CIMB Securities and Credit Lyonnais were compounded for RM1 million each, the compound sum has been paid in full.
Compound Offered in 2010

No.

Nature of Offence

Offender(s)

Facts of Case

Compound Offered

1. Furnishing misleading statement to the stock exchange Tan Chin Han Tan Chin Han, the former Chief Executive Officer and Executive Director of Welli Multi Corporation Berhad (WMCB), was charged for knowingly authorised the furnishing of misleading statement in WMCB’s Quarterly report for the financial period ended 30 September 2006 to the Bursa Malaysia Securities Berhad. Tan Chin Han was charged on 11 March 2009 upon failure to pay compound.

The charge against Tan Chin Han was withdrawn on 11 October 2010 after he had paid a compound of RM 100,000.