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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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)

27 Aug 2012

MAS Imposes Composition Amount of $500 on HSBC Holdings PLC for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

27 Aug 2012

MAS Imposes Composition Amount of $5,250 on Liu Yanlong for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

23 Aug 2012

MAS Reprimands Shanmugam S/O Kasee for Contraventions of Section 7(1) (Now Repealed) of the Financial Advisers Act [“FAA”]

Financial Advisers Act, Section 7(1) (Now Repealed)

06 Aug 2012

MAS imposes composition amounts of $10,000 and $5,000 on UOB Kay Hian Private Limited [“UOBKH”] for contraventions of Regulation 16 and Regulation 18 of the Securities and Futures (Licensing and Conduct of Business) Regulations [“SF(LCB)R”] respectively


03 Aug 2012

MAS Imposes Composition Amount of $5,000 on Mr Colin Chan Meng Tak for Contravention of Section 99B(1) of the Securities and Futures Act (CAP.289) ["SFA"]


Last Modified on 26/11/2016