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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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"]


31 Jul 2012

MAS Imposes Composition Amount of $500 on Amrita Capital Ltd for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

31 Jul 2012

MAS Imposes Composition Amount of $500 on HRL Investments (S) Pte Ltd for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

31 Jul 2012

MAS Imposes Composition Amount of $4,250 on Mr Edwin Sugiarto for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

31 Jul 2012

MAS Imposes Composition Amount of $500 on Mr Paul Lee Vui Yung for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

31 Jul 2012

MAS Imposes Composition Amount of $4,250 on Advance Assets Management Ltd for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

31 Jul 2012

MAS Imposes Composition Amount of $500 on Mr Harry Lee Vui Khiun for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

31 Jul 2012

MAS Imposes Composition Amount of $500 on Mr Lee Vui Han for Contravention of Section 137 of the Securities and Futures Act

Securities and Futures Act, Section 137

26 Jul 2012

MAS Reprimands Ng Chai Ching (Huang Zaiqing) for Contravention of Paragraph 22(d) of the Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers ["FAA-N07"]

Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers ["FAA-N07"], Paragraph 22(d)

Last Modified on 26/11/2016