No. |
Nature of Misconduct |
Parties Involved |
Brief description of misconduct |
Action Taken |
Date of Action |
---|---|---|---|---|---|
1. |
Breach of Section 356(1)(a) of the Capital Markets and Services Act 2007 read together with Paragraph 4.17, Section B, Part 1 of the Guidelines on Unlisted Capital Market Products under the Lodge and Launch Framework |
Kenanga Investors Berhad (“KIB”) |
Breach 1 Breach 2 |
Penalty of RM5,000.00. |
23 February 2023 |