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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16 Feb 2017

Court Orders Civil Penalties for False Trading and Unauthorised Trading


25 Nov 2016

Masterminds Behind the Manipulation of Blumont Asiasons and LionGold Shares Charged


20 May 2016

MAS Withdraws V Wealth Capital Pte Ltd’s status as a Registered Fund Management Company, pursuant to Section 99(6)(a) of the Securities And Futures Act (Chapter 289)

Securities and Futures Act, Section 99(6)(a)

03 May 2016

MAS Takes Civil Penalty Enforcement Action against Mr Pu Weidong and Triumpus Assets Management Pte Ltd for Insider Trading

Securities and Futures Act, Sections 218 and 219

25 Jan 2016

MAS Takes Civil Penalty Action Against Wong Teck Kui for Insider Trading

Securities and Futures Act, Section 219

14 Oct 2015

MAS takes Civil Penalty Action against Vincent Rajiv Louis for Insider Trading

Securities and Futures Act, Section 218

15 Sep 2015

MAS Reprimands Willis (Singapore) Pte Ltd for Contravention of Section 35ZE of the Insurance Act (Cap. 142) [“IA”]

Insurance Act, Section 35ZE

07 Sep 2015

MAS Issues Prohibition Order against Mr Lau Chee Heong in relation to the Employment of Manipulative and Deceptive Devices

Securities and Futures Act, Sections 201

02 Sep 2015

MAS Imposes Composition Amount of $15,000 on Mercer (Singapore) Pte. Ltd. for Contraventions of Section 23B(3) of the Financial Advisers Act (Cap.110) ["FAA"] and the Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers [“FAA-N13”]

Financial Advisers Act, Section 23B(3), FAA-N13

30 Jul 2015

MAS Imposes Composition Amount of $5,000 on Aviva Ltd for Contravention of Section 23B(3) of the Financial Advisers Act (Cap.110) ["FAA"]

Financial Advisers Act, Section 23B(3)

Last Modified on 26/11/2016