1. |
Submission of a statement to the SC containing a material omission |
W Ismail W Nik |
W Ismail, a former director of Baswell Resources Bhd, was issued a warning for submitting a statutory declaration in respect of the listing of Baswell Resources Bhd (Baswell) on the Second Board of the Kuala Lumpur Stock Exchange in 2002 from which there was a material omission, i.e. omitted to state the Baswell shares held by him through Baswood Industries Sdn Bhd was in fact for Lim.
Lim, a person who played an active role in the advising the listing of Baswell, was also warned for causing the submission of the statutory declaration. |
Warning letters were issued on 18 July 2005. |
2. |
Dealing in securities and without a licence |
(Alex) Chua Wei Cheing
Uwe Poenisch
(German National)
(Grace) Lee Yeat Kang
(Esther) Ting Thien Ngiik
Kwah Shu Leim |
Weldrick Consulting Services Sdn Bhd, now defunct, was found to have dealt in securities without a licence.
All five persons were issued warning letters for aiding and abetting activities carried out by Weldrick. |
Warning letters were issued on 21 June 2005. |
