<p>新加坡金融管理局（MAS）周三（5 月 20 日）表示，两名个人因违反《证券与期货法》被定罪，其中一人因虚假交易，另一人因内幕交易。</p>
<p>前 OCBC 证券交易代表谭俊勇于 5 月 19 日被判处 10 周监禁，因协助虚假交易和未经授权交易 KTL Global 的股票。</p>
<p>MAS 表示，当时担任 OCBC 证券交易代表的谭，故意协助另一名个人唐文海，制造 KTL 股票活跃交易的虚假印象。</p>
<p>谭在 2014 年 11 月至 2015 年 9 月期间，允许唐在六个交易账户中下单购买 KTL 股票，尽管唐并未获得该经纪公司授权操作这些账户。</p>
<p>谭的行为使得经纪公司相信这些订单和交易是由这些账户的实际持有人进行的，而实际上这些订单和交易是由唐进行的。</p>
<p>经过 28 天的审判，他被判定故意协助虚假交易一项罪名成立，以及六项与欺骗性交易行为相关的罪名。</p>
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<p>他已对其定罪和判刑提出上诉。</p>
<p>唐于 2023 年 4 月因虚假交易、未经授权交易和不诚实接受赃物被定罪，判处 30 个月监禁。</p>
<p>2024 年 1 月，KTL 前首席执行官谭庆耀因与唐共谋制造公司股票活跃交易的虚假印象而被判定有罪。</p>
<p>另见</p>
<p><img src="https://imageproxy.pbkrs.com/https://cassette.sphdigital.com.sg/image/businesstimes/2516280c1faee94c69b0a76a08e9cf78dd2dce5e7e43b7e8b57e383cf9ce02b2/query-ZHByPTEmZj13ZWJwJnc9MjQw?x-oss-process=image/auto-orient,1/interlace,1/resize,w_1440,h_1440/quality,q_95/format,jpg" alt="" original-src="https://imageproxy.pbkrs.com/https://cassette.sphdigital.com.sg/image/businesstimes/2516280c1faee94c69b0a76a08e9cf78dd2dce5e7e43b7e8b57e383cf9ce02b2/query-ZHByPTEmZj13ZWJwJnc9MjQw"/></p>
<h3>KTL Global 前首席执行官因虚假交易被判入狱八个月</h3>
<p>他们的目的是给人们留下积极购买股票的印象，以提高公司的股价。KTL 当时是一家主板上市公司，未能满足新加坡交易所于 2014 年宣布的新最低交易价格要求。</p>
<h2>内幕交易</h2>
<p>第二起案件涉及谢建峰，当时是与砂之船房地产投资信托（Reit）管理人相关实体的财务部门总经理。</p>
<p>在 2021 年 2 月，他在掌握与该信托 2020 财年财务结果相关的重大非公开信息的情况下，购买了该 Reit 的单位。</p>
<p>在该 Reit 于 2021 年 2 月 26 日公布其财务结果后，他以约 224,000 新元的利润出售了这些单位。</p>
<p>MAS 表示，谢还在 2020 年 3 月至 2021 年 1 月期间，代表前同事进行砂之船 Reit 单位的交易，但未向 CGS-CIMB 证券适当披露交易的实益所有权。</p>
<p>他对一项内幕交易罪名认罪；另一项内幕交易罪名和一项与未经授权交易相关的罪名在判刑时被考虑在内。</p>
<p>谢被罚款 200,000 新元。</p>
<p>MAS 指出，他自愿向慈善机构捐赠了约 135,000 新元，并向国家支付了 89,000 新元，作为其犯罪所得的返还。</p>
<p>这些案件由 MAS 与商业事务部联合调查，源于新加坡交易所和新加坡交易所监管局的转介。</p>
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砂之船房地产

<p>两名个人在新加坡根据《证券与期货法》被定罪。前华侨银行证券交易代表谭俊勇因协助在 KTL Global 股票中进行虚假交易而被判处 10 周监禁。他帮助唐文海制造了活跃交易的虚假印象。唐因类似罪行被判处 30 个月监禁。此外，前与砂之船房地产相关的总经理谢建峰因内幕交易被罚款 20 万新元，因其利用了关于该信托财务结果的非公开信息获利</p>

<p>TWO individuals have been convicted under the Securities and Futures Act – one of them for false trading, and the other for insider trading, the Monetary Authority of Singapore (MAS) said on Wednesday (May 20).</p>
<div class="lb-trans"><p>新加坡金融管理局（MAS）周三（5 月 20 日）表示，两名个人因违反《证券与期货法》被定罪，其中一人因虚假交易，另一人因内幕交易。</p>
</div><p>Former OCBC Securities trading representative Tan Chun Yong was handed a 10-week-long imprisonment term on May 19 for abetting false trading and for unauthorised trading in the shares of KTL Global.</p>
<div class="lb-trans"><p>前 OCBC 证券交易代表谭俊勇于 5 月 19 日被判处 10 周监禁，因协助虚假交易和未经授权交易 KTL Global 的股票。</p>
</div><p>MAS said that Tan, then a trading representative with OCBC Securities, intentionally aided another individual, Tang Boon Hai, to create a false appearance of active trading in KTL’s shares.</p>
<div class="lb-trans"><p>MAS 表示，当时担任 OCBC 证券交易代表的谭，故意协助另一名个人唐文海，制造 KTL 股票活跃交易的虚假印象。</p>
</div><p>Tan enabled Tang to place orders for KTL shares in six trading accounts between November 2014 and September 2015, even though Tang was not authorised by the brokerage firm to operate these accounts.</p>
<div class="lb-trans"><p>谭在 2014 年 11 月至 2015 年 9 月期间，允许唐在六个交易账户中下单购买 KTL 股票，尽管唐并未获得该经纪公司授权操作这些账户。</p>
</div><p>What Tan did led the brokerage firm to believe that the orders and trades were made by the actual holders of those accounts, when in fact the orders and trades were made by Tang.</p>
<div class="lb-trans"><p>谭的行为使得经纪公司相信这些订单和交易是由这些账户的实际持有人进行的，而实际上这些订单和交易是由唐进行的。</p>
</div><p>Following a 28-day trial, he was found guilty on one charge of intentionally aiding false trading, and six charges relating to deceptive trading practices.</p>
<div class="lb-trans"><p>经过 28 天的审判，他被判定故意协助虚假交易一项罪名成立，以及六项与欺骗性交易行为相关的罪名。</p>
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</div><p>He has appealed against his conviction and sentence.</p>
<div class="lb-trans"><p>他已对其定罪和判刑提出上诉。</p>
</div><p>Tang, convicted in April 2023 for false trading, unauthorised trading and dishonestly receiving stolen property, was sentenced to 30 months’ imprisonment.</p>
<div class="lb-trans"><p>唐于 2023 年 4 月因虚假交易、未经授权交易和不诚实接受赃物被定罪，判处 30 个月监禁。</p>
</div><p>In January 2024, Tan Kheng Yeow, the former CEO of KTL, was found guilty of conspiring with Tang to create a false appearance of active trading in the company’s shares.</p>
<div class="lb-trans"><p>2024 年 1 月，KTL 前首席执行官谭庆耀因与唐共谋制造公司股票活跃交易的虚假印象而被判定有罪。</p>
</div><p>SEE ALSO</p>
<div class="lb-trans"><p>另见</p>
</div><p><img src="https://imageproxy.pbkrs.com/https://cassette.sphdigital.com.sg/image/businesstimes/2516280c1faee94c69b0a76a08e9cf78dd2dce5e7e43b7e8b57e383cf9ce02b2/query-ZHByPTEmZj13ZWJwJnc9MjQw" alt="" original-src="https://cassette.sphdigital.com.sg/image/businesstimes/2516280c1faee94c69b0a76a08e9cf78dd2dce5e7e43b7e8b57e383cf9ce02b2?w=240&amp;dpr=1&amp;f=webp"/></p>
<h3>KTL Global’s former CEO to serve eight months’ jail for false trading</h3>
<div class="lb-trans"><h3>KTL Global 前首席执行官因虚假交易被判入狱八个月</h3>
</div><p>They had set out to give the impression that people were actively buying the shares with the aim of raising the company’s share price. KTL, then a mainboard-listed company, had been unable to meet the new minimum trading price requirement announced by the Singapore Exchange in 2014.</p>
<div class="lb-trans"><p>他们的目的是给人们留下积极购买股票的印象，以提高公司的股价。KTL 当时是一家主板上市公司，未能满足新加坡交易所于 2014 年宣布的新最低交易价格要求。</p>
</div><h2>Insider trading</h2>
<div class="lb-trans"><h2>内幕交易</h2>
</div><p>The second case involved of Xie Jianfeng, at the time a general manager in the finance department of an entity linked to the manager of Sasseur Real Estate Investment Trust (Reit).</p>
<div class="lb-trans"><p>第二起案件涉及谢建峰，当时是与砂之船房地产投资信托（Reit）管理人相关实体的财务部门总经理。</p>
</div><p>In February 2021, he purchased units of the Reit while in possession of material non-public information related to the trust’s FY2020 financial results.</p>
<div class="lb-trans"><p>在 2021 年 2 月，他在掌握与该信托 2020 财年财务结果相关的重大非公开信息的情况下，购买了该 Reit 的单位。</p>
</div><p>After the Reit announced its results on Feb 26, 2021, he sold the units for a profit of about S$224,000.</p>
<div class="lb-trans"><p>在该 Reit 于 2021 年 2 月 26 日公布其财务结果后，他以约 224,000 新元的利润出售了这些单位。</p>
</div><p>Xie also conducted trades in Sasseur Reit units on behalf of former colleagues between March 2020 and January 2021, without properly disclosing the beneficial ownership of the trades to CGS-CIMB Securities, MAS said.</p>
<div class="lb-trans"><p>MAS 表示，谢还在 2020 年 3 月至 2021 年 1 月期间，代表前同事进行砂之船 Reit 单位的交易，但未向 CGS-CIMB 证券适当披露交易的实益所有权。</p>
</div><p>He pleaded guilty to one charge of insider trading; another insider trading charge and a charge related to the unauthorised trades were taken into consideration during sentencing.</p>
<div class="lb-trans"><p>他对一项内幕交易罪名认罪；另一项内幕交易罪名和一项与未经授权交易相关的罪名在判刑时被考虑在内。</p>
</div><p>Xie was handed a fine of S$200,000.</p>
<div class="lb-trans"><p>谢被罚款 200,000 新元。</p>
</div><p>MAS noted that he had voluntarily contributed about S$135,000 to charity, and paid S$89,000 to the state as disgorgement of his share of profits from the offences.</p>
<div class="lb-trans"><p>MAS 指出，他自愿向慈善机构捐赠了约 135,000 新元，并向国家支付了 89,000 新元，作为其犯罪所得的返还。</p>
</div><p>The cases were jointly investigated by MAS and the Commercial Affairs Department, following referrals from the Singapore Exchange and Singapore Exchange Regulation.</p>
<div class="lb-trans"><p>这些案件由 MAS 与商业事务部联合调查，源于新加坡交易所和新加坡交易所监管局的转介。</p>
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Former OCBC trading rep, ex-GM of Sasseur Reit affiliate found guilty of trading offences

前 OCBC 交易代表以及砂之船房地产附属公司前总经理被判犯有交易罪