Enforcement Actions |
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| Date | Contravention | Security | Respondents/ defendants | Outcome | |
2010-06-30 |
Section 73 of the Securities Services Act (insider trading) |
MTL |
Mr G L van Niekerk |
Administrative penalty R16 000 |
Transcript of Determination |
2010-06-30 |
Section 75 of the Securities Services Act (Market Manipulation) |
CAE
|
Mr T Pretorius |
Administrative penalty
R2 000 000
|
Transcript of Determination |
2010-06-01 |
Section 73 of the Securities Services Act ( Insider Trading)(1)and Section 76 of the Securities Services Act (False Reporting) |
SNU | Mr J Pieterse
|
Administrative penalty
R1 000 000 First respondent
|
Transcript of Determination |
2010-03-15 |
Section 73 of the Securities Services Act (insider trading) |
DYM |
Mr M J I Brown and |
Administrative penalty
R75 624 First respondent
Acquittal Second respondent
Administrative penalty
R50 000 Third respondent |
Transcript of Determination |
2009-10-21 |
Section 73 of the Securities Services Act (Insider Trading) |
WSL | Mr M Meyer |
Administrative penalty |
Transcript of Determination |
2009-09-29
|
Section 76 of the Securities Services Act (false reporting) |
LAB | Labat Africa Limited and Mr B G van Rooyen
|
Administrative penalties R25 000 per respondent
|
Transcript of Determination |
2009-09-22
|
Section 75 of the Securities Services Act (market manipulation) and Section 76 of the Securities Services Act (false reporting) |
MTE CRW |
Mr N L Hittler
|
Administrative penalty
|
Transcript of Determination |
2009-09-22
|
Section 73 of the Securities Services Act (insider trading) |
MRB | Mr G Pietersen
|
Administrative penalty R94 500
|
Transcript of Determination |
2009-09-07
|
Section 76 of the Securities Services Act (false reporting) |
ALJ | AH-Vest Limited (formerly known as All Joy Foods Limited) and Mr M Pather
|
Administrative penalties R1,5 million per respondent
|
Transcript of Determination |
2009-07-16 |
Section 76 of the Securities Services Act (false reporting) |
STA | Stratcorp Limited |
Administrative penalty |
Transcript of Determination |
2009-07-16 |
Section 73 of the Securities Services Act (insider trading) |
RBW | Mr G D de Jager |
Administrative penalty |
Transcript of Determination |
2008-11-27 |
Section 76 of the Securities Services Act (false reporting) |
WLL | Mr D Marais and |
Administrative penalties R100 000 per respondent |
Transcript of Determination |
2008-11-27 |
Section 73 of the Securities Services Act (insider trading) |
MRB | Mr C G Chelin |
Administrative penalty |
Transcript of Determination |
2008-11-27 |
Section 75 of the Securities Services Act (market manipulation) |
IPL | Mrs K Cull |
Administrative penalty |
Transcript of Determination |
2008-11-27 |
Section 73 of the Securities Services Act (insider trading) |
YRK | Dr W J Fouché |
Administrative penalties: |
Transcript of Determination |
2008-11-27 |
Section 73 of the Securities Services Act (insider trading) |
ASR | Assore Limited |
Administrative penalty |
Transcript of Determination |
2008-11-27 |
Section 75 of the Securities Services Act (market manipulation) |
Sunflower | Mr A J van Zyl |
Administrative penalty |
Transcript of Determination |
2008-04-03 |
Section 75 of the Securities Services Act (market manipulation) |
STA | Mr H P Olivier |
Administrative penalty |
Transcript of Determination |
2008-04-03 |
Section 75 of the Securities Services Act (market manipulation) |
KNG | Mr A Erasmus |
Administrative penalty |
Transcript of Determination |
2008-04-03 |
Section 73 of the Securities Services Act (insider trading) |
MRB | Mr B S Davies |
Administrative penalty |
Transcript of Determination |
2008-04-03 |
Section 75 of the Securities Services Act (market manipulation) |
SVB | Mr P F du Toit |
Administrative penalty |
Transcript of Determination |
2008-04-03 |
Section 75 of the Securities Services Act (market manipulation) |
NRD | Mr G D Cocolas |
Administrative penalty |
Transcript of Determination |
2007-11-01 |
Section 75 of the Securities Services Act (market manipulation) |
IFR
SAR |
Mr M Berman and |
Administrative penalties of R2 million per respondent. Administrative penalty for first respondent reduced to R1 million on appeal |
Transcript of Determination |
2007-10-15 |
Section 73 of the Securities Services Act (insider trading) |
ITI | Mr D de W Koen and
|
Civil settlement (High Court case 2003/6460) R275 000 per defendant |
Media Realse |
2006-12-20 |
Section 76 of the Securities Services Act (false reporting) |
SCN | Scharrig Mining Limited and |
Administrative penalty |
Media Release |
2006-12-20 |
Section 73 of the Securities Services Act (insider trading) |
SCN | Mr Jason Holland |
Civil settlement R109 440 |
Media Release |
2006-11-07 |
Section 73 of the Securities Services Act (insider trading) |
SKL | Mr J S van der Merwe and Mr N M Ingledew |
Civil settlement (High Court case no 2000/13325) |
Media Release |
2006-09-19 |
Section 73 of the Securities Services Act (insider trading) |
SCN | Mr P Katzenellenbogen |
Civil settlement R180 600 |
Media Release |
2005-07-27 |
Section 6 of the Insider Trading Act |
PDM | Mr M T Forster |
Civil settlement (High Court case no 2003/15379) |
Media Release |
2004-12-28 |
Section 6 of the Insider Trading Act |
CAS | Mrs M Katz |
Civil settlement (High Court case no 2003/27415) R2 851 635 |
Media Release |
2004-04-16 |
Section 6 of the Insider Trading Act |
UNF | Mr K P E Davies |
Civil settlement |
Media Release |
2004-04-07 |
Section 6 of the Insider Trading Act |
DTC | Deutsche Bank Limited |
Civil settlement (High Court case no 2002/27587) R24 million |
Media Release |
2003-10-30 |
Section 6 of the Insider Trading Act |
ALC | Mr F J C Hugo |
Civil settlement (High Court case no 2002/23491) R260 485 |
Media Release |
2002-12-20 |
Section 6 of the Insider Trading Act |
CAS | Mr D J Vermeulen and L B Gottlieb |
Civil settlement (High Court case no 2003/27415) R607 170 and R619 170 |
Media Release |
2002-10-04 |
Section 6 of the Insider Trading Act |
ALC | Messrs M S Bhana, F Bhana, F Essay, R Mahomed and N Mahomed |
Civil settlement R5,5 million |
Media Release |
2002-05-23 |
Section 6 of the Insider Trading Act |
TCM | Mr A Dubbelmann |
Civil settlement R292 425 |
Media Release |
2002-01-17 |
Section 6 of the Insider Trading Act |
LST | Mr M Y Kajee |
Civil settlement R145 800 |
Media Release |
2001-12-03 |
Section 6 of the Insider Trading Act |
BDS | Mr G H Ramsay |
Civil settlement R55 500 |
Media Release |
2001-11-09 |
Section 6 of the Insider Trading Act |
GRF | Mr H Turner |
Civil settlement R27 000 |
Media Release |
2001-09-25 |
Section 6 of the Insider Trading Act |
SPI | Mr J W du Toit |
Civil settlement R4,2 million |
Media Release |
2001-05-21 |
Section 6 of the Insider Trading Act |
DTC | Mr J P Montanana and Mr R Rindel |
Civil settlement R1 000 000 |
Media Release |
2001-12-03 |
Section 6 of the Insider Trading Act |
BDS | Mr G H Ramsay |
Civil settlement R55 500 |
Media Release |
2000-08-15 |
Section 6 of the Insider Trading Act |
STY | Mr N Alexander |
Civil settlement R342 920 |
Media Release |
2000-08-08 |
Section 6 of the Insider Trading Act |
LTR | Mr A K Peer |
Civil settlement R1 278 545 |
Media Release |
2000-06-15 |
Section 6 of the Insider Trading Act |
BRY | Mr H C Guthrie and Mrs N J F Wade |
Civil settlement R1 1 017 135 and R10 200 |
Media Release |
1999-12-23 |
Section 6 of the Insider Trading Act |
IFS |
Mr R D Sackstein and |
Civil settlement R1 085 649 |
Media Release |
1999-12-23 |
Section 6 of the Insider Trading Act |
BRC | Mr J Livingstone |
Civil settlement R41 700 |
Media Release |
1999-12-08 |
Section 6 of the Insider Trading Act |
BEG | Mr S R Rogers |
Civil settlement R800 000 |
Media Release |
1999-10-26 |
Section 6 of the Insider Trading Act |
KGM | Not identified |
Civil settlement R33 616 |
Media Release |
1999-10-26 |
Section 6 of the Insider Trading Act |
IDI | Not identified |
Civil settlement R209 076 |
|
1999-06-30 |
Section 6 of the Insider Trading Act |
MMW | Not identified |
Civil settlement R13 950 |
|