Administrative Actions in 2020
No. Nature of Misconduct Parties Involved Brief description of misconduct Action Taken Date of Action
1. Breach of section 354(1)(a) of the Capital Markets and Services Act 2007 (“CMSA”) read together with section 29A of the Securities Industry (Central Depositories) Act 1991 (“SICDA”)

Wong Shin Yih

Wong Shin Yih had allowed another person who is not the beneficial owner of her Central Depository System Account to dispose shares through the account

  1. Reprimand
  2. Penalty of RM5,000

13 May 2020

2. Breach of section 354(1)(a) of the CMSA read together with section 29A of SICDA  Teh Bee Lee Teh Bee Lee had allowed another person who is not the beneficial owner of her Central Depository System Account to dispose shares through the account
  1. Reprimand
  2. Penalty of RM5,000

13 May 2020

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