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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18 May 2012

MAS Reprimands United Overseas Bank Limited for Contravention of Section 99B(3)(a) of the Securities and Futures Act (CAP. 289) ["SFA"] and Section 23B(3)(a) of the Financial Advisers Act (CAP. 110) ["FAA"]

Securities and Futures Act, Section 99B(3)(a), and, Financial Advisers Act, Section 23B(3)(a)

07 May 2012

MAS Reprimands IIFL Securities Pte Ltd for Contravention of Section 107(1) of the Securities and Futures Act [“SFA”]

Securities and Futures Act, Section 107(1)

04 May 2012

MAS Reprimands DBS Trustee Limited for Contravention of Section 60 of the Trust Companies Act (CHAPTER 336) (The “TCA”)

Trust Companies Act, Section 60

19 Apr 2012

MAS Reprimands Mr Wong Chow Lin @ Benjamin Wong for Contravention of Section 83 of the Securities and Futures Act [“SFA”]

Securities and Futures Act, Section 83

11 Apr 2012

MAS Takes Civil Penalty Enforcement Action Against Lau Kee Swan for Contravening the Employment of Manipulative and Deceptive Devices Provision

Securities and Futures Act, Secition 201 (b)

26 Mar 2012

MAS Imposes Composition Amount of $17,500 on Malaysian Chinese Association for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe

Securities and Futures Act, Section 137

29 Feb 2012

MAS Reprimands Ferrell Asset Management Pte Ltd for Breaches of the Securities and Futures (Licensing and Conduct of Business) Regulations (CAP. 289, Regulation 10) and the Financial Advisers Regulations (CAP. 110, Regulation 2)

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

08 Feb 2012

MAS Imposes Composition Amount of $2,500 on Mr Lim Keng Hock Jonathan for failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe

Securities and Futures Act, Section 137

08 Feb 2012

MAS Imposes Composition Amount of $3,250 on Ms Ting Hong Lean Marilyn for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe

Securities and Futures Act, Section 137

08 Feb 2012

MAS Issues Reprimand to SingCapital Pte Ltd for Misconduct Pursuant to Section 97 of the Financial Advisers Act (CHAPTER 110) (THE "FAA")

Financial Advisers Act, Notice FAA-N02

Last Modified on 26/11/2016