XN000022-1982-05-28 — Page 3

2

3.

FRIDAY, MAY 28, 1982

* EMPLOYMENT OF A FRAUDULENT OR DECEPTIVE DEVICE E.G. MARKET

RIGGING IN RELATION TO THE PURCHASE OR SALE OF FUTURES CONTRACTS

* FALSE OR MISLEADING

STATEMENTS FOR THE PURPOSE OF INDUCING THE PURCHASE OR SALE OF FUTURES CONTRACTS

* ACTS RELATING TO ACCOUNTS

AND RECORDS DONE WITH

INTENT TO FALSIFY OR MISLEAD

* FAILURE TO PAY MONEY INTO

A SEGREGATED ACCOUNT AND TO COMPLY WITH RULES CONCERNING THAT ACCOUNT WITH INTENT TO DEFRAUD

* DESTROYING, CONCEALING OR ALTERING ANY BOOK OF ACCOUNT WITH INTENT TO DELAY OR OBSTRUCT AN EXAMINATION OR AUDIT

*

LEAVING HONG KONG WITH

INTENT TO PREVENT, DELAY OR OBSTRUCT AN EXAMINATION OR AUD IT

* UNREGISTERED DEAL ING

A FINE OF $100 000

AND

IMPRISONMENT FOR FIVE YEARS

A FINE OF $100 000 AND

IMPRISONMENT FOR FIVE YEARS

A FINE OF $20 000 AND

IMPRISONMENT FOR ONE YEAR

A FINE OF $50 000 AND

IMPRISONMENT FOR FIVE YEARS

A FINE OF $50 000 AND IMPRISONMENT FOR TWO YEARS

A FINE OF $50 000 AND IMPRISONMENT FOR TWO YEARS

A FINE OF $50 000 AND A DAILY PENALTY OF $500

A FINE OF $1 MILLION AND

IMPRISONMENT FOR SEVEN YEARS

A FINE OF $1 MILLION AND

IMPRISONMENT FOR SEVEN YEARS

A FINE OF $500 000 AND IMPRISONMENT FOR FIVE YEARS

A FINE OF $500 000 AND IMPRISONMENT FOR FIVE YEARS

A FINE OF $500 000 AND IMPRISONMENT FOR FIVE YEARS

A FINE OF $500 000 AND IMPRISONMENT FOR FIVE YEARS

(1) ON INDICTMENT.

A FINE

OF $500 000, IMPRISONMENT FOR FIVE YEARS AND A DAILY PENALTY OF $1 000

/(2) ON LOMMÄRT