Enforcement Actions

Information on formal regulatory and enforcement actions taken by MAS for breaches of the Securities and Futures Act (Cap. 289), the Financial Advisers Act (Cap. 110) and the Insurance Act (Cap. 142) is published on this page. The information will remain on this page for a period of five years from the date of publication except for prohibition orders which are still in force after the expiry of the five year period. Information on such prohibition orders will remain on this page until they cease to be in force.

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10 Oct 2018

Variation of Prohibition Orders against Mr Lim Fang Wee and Mr Kevin Scully


30 Aug 2018

MAS issues Prohibition Orders against Mr Lee Chang Yeh Bentley for fraudulent and dishonest conduct


31 Jul 2018

MAS issues Prohibition Order against Alan Tay Yeow Kee for insider trading


24 Jul 2018

MAS issues Prohibition Orders against Chan Seet Fun for misappropriation of client monies


03 Jul 2018

MAS Reprimands Taiyo Asset Management Pte Ltd for Recurring Late Regulatory Submissions, and Tey Eng Chee Thomas for Failing to Discharge his Duty and Function as Director

Securities and Futures Act, Section 334(2), Securities and Futures (Licensing and Conduct of Business) Regulations, Second Schedule, Paragraphs 5(7I)(a), 5(7I)(c) and 5(7J)

08 Jun 2018

Further Discussions with Malaysian 1MDB Taskforce


17 May 2018

MAS issues prohibition orders against six individuals for misselling investment products


11 May 2018

Civil Penalty Action taken against Kunye Tagi for insider trading


03 May 2018

MAS issues Prohibition Orders against Mr Lim Fang Wee for dishonest conduct


19 Mar 2018

MAS Imposes Penalties on Standard Chartered Bank and Standard Chartered Trust for AML/CFT Breaches


Last Modified on 26/11/2016