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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02 Oct 2012

MAS Reprimands CGIM Pte Ltd for Breaches of the Securities and Futures (Licensing And Conduct Of Business) Regulations (Cap. 289, Regulation 10) and Financial Advisers Regulations (Cap. 110, Regulation 2)

Securities and Futures (Licensing and Conduct of Business) Regulations, Second Schedule, Paragraphs 5(7)(d) (now repealed) and 7(6)(d), and Financial Advisers Regulations, Regulation 37(2)(d)

26 Sep 2012

MAS Imposes Composition Amount of $5,000 on Lin Daoqin for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

26 Sep 2012

MAS Imposes Composition Amount of $5,000 on Lin Xiujin for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

21 Sep 2012

MAS Imposes Composition Amount of $2,500 on Datin Tinawati Binti Nordin for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

21 Sep 2012

MAS Imposes Composition Amount of $2,500 on Adamus Avenue Sdn Bhd for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

21 Sep 2012

MAS Imposes Composition Amount of $2,500 on Datuk Shahrazi Bin Sha'ari for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

11 Sep 2012

MAS Issues Prohibition Orders Against Ngo Poon Khiam and Ng See Kim Kelvin for Contravening False Trading Provision

Securities and Futures Act, Section 197(1)(b)

10 Sep 2012

MAS Takes Civil Penalty Enforcement Action Against Mr Shi Jiangtao for Contravening Provision to Prevent Insider Trading

Securities and Futures Act, Section 218(2)(a)

28 Aug 2012

MAS Reprimands AmFraser Securities Pte Ltd for Contravention of the Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers [“FAA-N13”]

Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers [“FAA-N13”], Paragraph 14

28 Aug 2012

MAS Takes Civil Penalty Action and Issues Prohibition Order Against Mr Teoh Teck Shin for Contravening Provisions to Prevent False Trading

Securities and Futures Act, Section 197(1)(b)

Last Modified on 26/11/2016