On September 13, 2010 Securities and Exchange Commission published disposal of review petition against penalty order in connection with Auditor’s observations on the audited financial statements of Sreepur Textile Mills Ltd. (Issuer) for the year ended on December 31, 2007.
On September 6, 2010 Securities and Exchange Commission published disposal of review petition against penalty order in connection with Auditor’s observations on the audited financial statements of Niloy Cement Industries Ltd. (Issuer) for the year ended on June 30, 2007.
On October 12, 2010 Hong Kong Securities & Futures Commission published that the Court of Appeal today dismissed the application for leave to appeal of Sammy Ma Hon Kit and his wife Cordelia Tso Kin Wah against their convictions in March 2009 for insider dealing in shares of Egana Jewellery & Pearls Ltd (Egana) (Note 1).
On September 30, 2010, the Securities and Exchange Board of India conducted investigation in trading in the shares of Eltrol Limited for the period January 05, 2005 to September 30, 2005.
On September 30, 2010, the Securities and Exchange Board of India conducted an investigation into the scrip of Adam Comsof Ltd.
On September 30, 2010, the Securities and Exchange Board of India conducted an investigation into the scrip of Adam Comsof Ltd.
On September 29, 2010, the Securities and Exchange Board of India reported that the Bombay Stock Exchange Limited conducted an invesitgation in the scrip of Systel Infotech Limited for the period from 31st December 2004 to 15th April 2005.
On September 29, 2010, the Securities and Exchange Board of India conducted an investigation in the scrip of M/s. Rajesh Exports Limited for the period from September 2002 to February 2003 and from June 2, 2003 to August 29,2003, due to sharp rise in price and volume of the scrip on National Stock Exhange of India Ltd. and Bombay Stock Exchange Ltd.
The Securities and Futures Commission (SFC) on 8 October 2010 obtained orders in the High Court to disqualify Mr Yeung Kui Wong and Mr Yu Hung Wong, former executive directors of Warderly International Holdings Ltd (Warderly), as company directors for failing to make timely disclosure of material information to the market.
On September 24, 2010 Australian Securities and Investment Commission reported that it has cancelled two credit registrations under the National Consumer Credit Protection (Transitional and Consequential Provisions) Act 2009 (the Act). These are the first deterrence actions taken by ASIC under the new national consumer credit regime.
On September 22, 2010 Australian Securities and Investment Commission reported that former Macquarie Bank portfolio manager, Mr Oswyn de Silva, 37, pleaded guilty in Sydney’s Central Local Court to insider trading on 12 occasions in contravention of s1043A(1) of the Corporations Act.
On September 29, 2010, the Securities and Exchange Board of India conducted an investigation in the scrip of Karuna Cables Ltd. for the period from February 10, 2005 to September 16, 2005. During the period under investigation the price of the scrip moved from Rs. 22.40 to Rs. 159.50 in 153 trading days representing a rise of 636%. The scrip had an average daily volume of 2,16,746 shares.
On September 28, 2010, the Securities and Exchange Board of India conducted an investigation into the trading in the scrip of I G Petrochemicals Ltd. It was observed that entities related to the company dealt in the scrip in huge numbers prior to the announcement of issue of debentures to the Spinnaker Group.
On September 28, 2010, the Securities and Exchange Board of India published that Oasis Media Matrix Limited forfeited 2,14,57,000 shares (face value Rs.1) out of the public issue of 5,26,22,700 in the year 2003 i.e. about 40% of the share capital due to non-payment of call money. The paid up value of the shares before reissuing was Rs. 0.50.
On 7 October 2010, the Securities and Futures Commission published that the Eastern Magistracy fined Mr Ma Siu Kwan and a company under his control, Hong Kong Business Agency Group Limited (HKBA), a total of $10,000 after they pleaded guilty to two offences of unlicensed dealing in securities.
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