ENFORCEMENT ACTIVITIES | 2015 | 2016 | 2017 | 2018 |
---|---|---|---|---|
Cases referred to Enforcement | 22 | 27 | 20 | 16 |
Investigations initiated (no. of cases)
| 10 | 13 | 8 | 6 |
Investigations completed (no. of cases)
| 13 | 10 | 10 | 12 |
Persons charged in criminal proceedings
| 17 | 17 | 10 | 8 |
Criminal charges laid
| 220 | 61 | 39 | 14 |
Persons against whom civil actions initiated
| 5 | 2 | 20 | - |
Person involved in regulatory settlements
| 6 | 2 | 7 | 3 |
Administrative actions
| 41 | 37 | 32 | 80 |
No. |
Nature of offence |
Offender(s) |
Outcome |
---|---|---|---|
1. |
Knowingly causes the |
Ong Kar Kian (Ong KK) |
Ong KK was charged on 30 September 2021. |
No. |
Breach |
Defendant(s) |
Outcome |
---|---|---|---|
1. | Insider trading in the shares of Transocean Holdings Bhd |
|
On 22 July 2021, the SC filed a civil suit against the defendants.
|
2. |
Insider trading in the |
Toh Kai Fatt (Toh KF) |
On 13 September 2021, the SC filed a civil suit against Toh KF.
|
No. |
Breach |
Defendant(s) |
Outcome |
---|---|---|---|
1. | Insider trading in the shares of Globetronics Technology Bhd
|
Wong Seng Tong (Wong ST) |
On 21 July 2021, Wong ST entered into a settlement with the SC in the sum of RM413,469.53. |
2. |
Oh Kok Boon (Oh KB) |
On 21 July 2021, Oh KB entered into a settlement with the SC in the sum of RM354,358.62. |
|
3. |
Yeat Siaw Ping (Yeat SP) |
On 26 July 2021, Yeat SP entered into a settlement with the SC in the sum of RM265,845.68. |
|
4. |
Jasmine Chin Yong Shya |
On 16 September 2021, Jasmine Chin entered into a settlement with the SC in the sum of RM45,976.18. |