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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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)

26 Jul 2012

MAS Reprimands The Great Eastern Life Assurance Company Limited for Contravention of (1) Paragraph 23 of the Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers ["FAA-N07"]; and (2) Paragraph 14 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-N07"], Paragraph 23, and Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers ["FAA-N13"], Paragraph 14

26 Jul 2012

MAS Reprimands IG Asia Pte Ltd for Contravention of Regulations 24A(1) and 24A(2) of the Securities and Futures (Financial and Margin Requirements for the Holders of Capital Markets Services Licences) Regulations (RG.13) ["SF(FMR)REGS"]

Securities and Futures (Financial and Margin Requirements for the Holders of Capital Markets Services Licences) Regulations, Regulations 24A(1) and 24A(2)

26 Jul 2012

MAS Reprimands Alicia Kang Yee San for Contravention of (1) Paragraph 22(d) of the Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers ["FAA-N07"]; and (2) Paragraph 13(c) 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-N07"], Paragraph 23, and Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers ["FAA-N13"], Paragraph 14

26 Jul 2012

MAS Reprimands Aon Consulting (Singapore) Pte Ltd for Contravention of (1) Paragraph 23 of the Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers ["FAA-N07"]; and (2) Paragraph 14 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-N07"], Paragraph 23, and Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers ["FAA-N13"], Paragraph 14

24 Jul 2012

MAS Reprimands: i) Raghavendra Manjunatha Rao; ii) Kogila Durai (Formerly Known as Kogilavani D/O Sinnadurai Appanna Mrs Vickneshwaran Kogilavani); and iii) Abdul Nazar Bin Syed Ibrahim for Contraventions of Section 7(1) (Now Repealed) of the Financial Advisers Act ["FAA"]

Financial Advisers Act, Section 7(1) (Now Repealed)

17 Jul 2012

MAS Reprimands OANDA Asia Pacific Pte Ltd for Contravention of Section 28A(2) of the Monetary Authority of Singapore Act (CAP. 186) ["MAS Act"]

Monetary Authority of Singapore Act, Section 28A(2)

Last Modified on 26/11/2016