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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30 May 2017

Financial Penalties Imposed on Credit Suisse and UOB for 1-MDB Related Transactions


11 Apr 2017

MAS Revokes the Capital Markets Services Licence of One Asia Investment Partners Pte. Ltd.

Securities and Futures Act, Section 95(5)(a)

29 Mar 2017

MAS Imposes Composition Amount of $10,000 on Maiora Asset Management Pte. Ltd. for Late Regulatory Submissions Due to Poor Controls

Securities and Futures (Licensing and Conduct of Business) Regulations, Second Schedule, Paragraph 5(7J)

22 Mar 2017

First conviction of market misconduct under the joint investigations arrangement with the Commercial Affairs Department

Securities and Futures Act, Section 201; Section 204

13 Mar 2017

Prohibition Orders against individuals involved in 1MDB related breaches


08 Mar 2017

MAS Takes Civil Penalty Enforcement Action against Mr Wang Boon Heng and Ms Foo Jee Chin for Unauthorised Share Trading

Securities and Futures Act, Section 201

16 Feb 2017

Court Orders Civil Penalties for False Trading and Unauthorised Trading


02 Dec 2016

MAS Imposes Penalties on Standard Chartered Bank and Coutts for 1MDB-Related AML Breaches


25 Nov 2016

Masterminds Behind the Manipulation of Blumont Asiasons and LionGold Shares Charged


11 Oct 2016

MAS Directs Falcon Bank to Cease Operations in Singapore


Last Modified on 26/11/2016