On February 07, 2011 Securities and Exchange Board of India (SEBI) published that the board had conducted investigation into the dealings in the scrip of Mega Corporation Limited for the period January 2005 to September 2005. The investigation prima facie revealed that Mr. Lokesh Kapoor had indulged in manipulative trading in the scrip of MCL.

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On February 24, 2011 Securities and Exchange Board of India (SEBI) published that the board had conducted investigation into the dealings in the scrip of Ravalgaon Sugar Farms Limited for the period of May 04, 2001 to June 29, 2001 and in the scrip of Shrenuj & Co. Limited for the period of May 02, 2001 to June 19, 2001. During the period of investigation, the scrip of Ravalgaon was listed at Bombay Stock Exchange and National Stock Exchange.

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On January 31, 2011 Securities and Exchange Board of India (SEBI) published that the Hon’ble Securities Appellate Tribunal, Mumbai (SAT) in the matter of Appeal No.219 of 2009 decided on November 23, 2009 set aside the adjudication order no SD/AO/94/2009 dated August 27, 2009 and remitted to the Adjudicating Officer (AO) to consider the material on the record and pass a fresh order in accordance with law after affording an opportunity of hearing to the Appellant (M/s. Vintel Securities Pvt. Ltd.).

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On January 31, 2011 Securities and Exchange Board of India (SEBI) published that an investigation was conducted by Bombay Stock Exchange Limited in the trading of the scrip of Gravity India Limited for the period from December 23, 2003 to March 3, 2004 wherein it was observed that certain stock brokers and their clients have entered into circular / reversal trades accounting for almost 30% to 70% of the respective day’s traded volume among themselves.

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On January 31, 2011 Securities and Exchange Board of India (SEBI) published that the board conducted investigation in respect of buying, selling and dealing in the shares of M/s. Adani Exports Ltd. (AEL) for the period from between July 09, 2004 and January 14, 2005 and August 01, 2005 to September 05, 2005. The scrip of AEL was traded on the exchanges with a face value of Rs.10 per share up to July 27, 2004 and thereafter with a face value of Rs.1.

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On February 21, 2011 Securities and Exchange Board of India (SEBI) published that vide Order dated December 8, 2010 inter alia restrained Chicago Software Industries Limited (previously known as Chicago Futures Markets and Financials Limited) from accessing the securities market and prohibited it from buying, selling or otherwise dealing in securities, directly or indirectly, till all pending investor grievances against the said company are resolved and the same is reported to and confirmed by SEBI.

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On February 22, 2011 Hong Kong Securities and Futures Commission (HKSFC) published that the commission has suspended Ms Winda Sham Pik Yan for seven months from 18 February 2011 to 17 September 2011 following the determination of the Securities and Futures Appeals Tribunal (SFAT).

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On February 21, 2011 Hong Kong Securities and Futures Commission (HKSFC) published that the commission has prohibited Mr Zhang Xiaoming, formerly Chief Executive Officer (CEO) of ICEA Group and a responsible officer of ICEA Capital Ltd, from re-entering the industry for 12 months from 18 February 2011 to 17 February 2012, following the determination of the Securities and Futures Appeals Tribunal (SFAT).

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On February 04, 2011 Australian Securities and Investment Commission (ASIC) published that Mr Enzo Di Donato, of Kew, Victoria, has been committed to stand trial in the County Court of Victoria on three criminal charges of providing false or misleading information to ASIC. Mr Di Donato is the sole director and secretary of 3D Salesforce Pty Ltd which was one of a network of companies that operated from the same premises in Eaglemont, Victoria, as Bill Express Limited (in liquidation).

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On January 27, 2011 Australian Securities and Investment Commission (ASIC) published that the director of a Melbourne-based loan and mortgage broking business has been sentenced today in the County Court of Victoria to four years and nine months imprisonment following an ASIC investigation. Mrs Hazel Bucello, the sole director of Victorian Finance Broking Services Pty Ltd in Kew, will serve a minimum of two and a half years in prison before being considered for parole after pleading guilty on 1 March 2010 to the following charges: five counts of obtaining property worth $2,384,339 by deception; and one count of obtaining a financial advantage by deception worth $141,800.

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On January 25, 2011 Australian Securities and Investment Commission (ASIC) published that former Sydney financial adviser, Mr Alan Leslie Brown, of Lugarno, New South Wales, has appeared today before the Downing Centre Local Court on 15 charges brought by ASIC. Mr Brown is charged with one count of obtaining money by deception, two counts of using a false instrument, and 12 counts of dishonest conduct in relation to financial services.

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On December 27, 2010 Karachi Stock Exchange (KSE) published that in continuation of the earlier notice No. KSE/N-6499 dated November, 2010. Members are hereby informed that M/s. Shehzad Chamdia Securities (Private) Limited, corporate member of the exchange have notified cancellation of the agentship of Mr. Muhammad Danish Chapla s/o Muhammad Hanif Chapla.

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On February 11, 2011 Hong Kong Securities & Futures Commission (HKSFC) published that the commission has commenced proceedings against Li Han Chun, the Chief Executive Officer of China Forestry Holdings Co., Ltd. and Li’s company, Top Wisdom Overseas Holdings Limited.

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On January 19, 2011 Kuala Lumpur Stock Exchange (KLSE) published that Bursa Malaysia Securities Berhad publicly reprimands Nepline Berhad for breaches of paragraphs 9.03(1) and 9.04(l) of the LR read together with paragraph 2.1(d) of PN1 and paragraph 9.16(1)(a) of the LR. Enforcement proceedings were commenced against the Company notwithstanding that the Company had been de-listed as the breaches were committed while the Company was listed on the Official List of Bursa Securities.

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On January 19, 2011 Kuala Lumpur Stock Exchange (KLSE) published that Bursa Malaysia Securities Berhad publicly reprimands Maxbiz Corporation Berhad for breach of paragraph 9.16(1)(a) of the LR. MAXBIZ is also required to carry out a limited review on the Company’s quarterly report submissions. The limited review must be performed by the Company’s external auditors for four quarterly reports commencing no later from the Company’s quarterly report for the financial period ended 31 December 2010.

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