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No. |
Nature of Misconduct |
Parties Involved |
Brief description of misconduct |
Action Taken |
Date of Action |
|---|---|---|---|---|---|
| 1. | Breach of 354(1)(a) of the Capital Markets and Services Act read together with Section 25(4) of the Securities Industry (Central Depositories) Act 1991 |
Othman bin Bakri (“Othman”) | Othman was found to be the beneficial owner of the deposited securities, namely Grand-Flo Berhad shares in the CDS account of Mohammed Noor bin Mohd Sham. |
|
16 February 2021 |
