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ENFORCEMENT ACTION

List of Cases Compounded

2006

Cases Compounded in 2006

No.	Nature of Offence	Offender(s)	Facts of Case	Compound
1.	Causing false information to be submitted to the SC	Anwar Yeo Abdullah	Anwar, Managing Director of PMS Supplier Sdn Bhd, caused false information to be submitted to the SC in connection with the restructuring proposal of Promto Bhd. The false information relates to his declaration that he was never charged with, convicted for or compounded for any offence under securities laws, corporation laws or any other laws involving fraud or dishonesty in a court of law, when in fact he was facing a charge under section 11(c) of the Anti-Corruption Act 1997 at the Labuan Sessions Court when he made the declaration.	Anwar was compounded RM200,000 for the offence.
		Tan Sri Dato’ Ahmad Johan	Tan Sri Dato’ Ahmad Johan, the Director and Chairman of National Aerospace & Defence Industries Berhad (NADI) and also the Director of Tenaga Kimia Berhad (Tenaga Kimia), caused to be submitted false information to the SC in relation to the listing proposal of NADI and Tenaga Kimia. The false information relates to his declaration that he had not been subject to any inquiry or investigation by any government or regulatory authority or body for the past five years prior to the submission, when in fact, at the time the declaration was made, he knew he was under investigation by the Police.	Tan Sri Dato’ Ahmad was compounded RM200,000 for the offence.
2.	Trading in futures contract without a licence	Teng Chee Keong	Teng traded in futures contracts on behalf of six clients through Omni Alliance Sdn Bhd (Omni) without a futures broker’s licence. Teng was the Director of Onmi during the material time.	Teng was compounded RM10,000 for the offence.
		Koh Chin Heng	Koh abetted Unique Mega Marketing Sdn Bhd which had traded in futures contracts on another person’s behalf without a futures broker’s licence.	Koh was compounded RM150,000 for the offence.
		Yanto	Yanto abetted Unique Mega Marketing Sdn Bhd which had traded in futures contracts on another person’s behalf without a futures broker’s licence.	Yanto was compounded RM150,000 for the offence.
3.	Causing false information to be submitted to the SC	Goh Kai Tong	Goh, a director of Hospitech Resources Berhad (Hospitech), caused false information to be submitted to the SC in respect of the listing application of Hospitech to the MESDAQ Market of Bursa Malaysia. The false information was in respect of the revenue of Hospitech’s subsidiary, Hospitech Marketing Sdn Bhd, for the financial year ending 31 October 2002.	Goh was compounded RM500,000 for the offence.