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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16 Sep 2011

MAS IMPOSES COMPOSITION AMOUNT OF $5,000 ON MR ZHANG YAN 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

16 Sep 2011

MAS IMPOSES COMPOSITION AMOUNT OF $2,500 ON GENERAL NICE INVESTMENT (CHINA) LIMITED 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

06 Sep 2011

MAS REPRIMANDS MS PENG YAN FOR A CONTRAVENTION OF SECTION 12(1) OF THE FINANCIAL ADVISERS ACT (CAP. 110) [“FAA”]

Financial Advisers Act, Section 12(1)

06 Sep 2011

MAS REPRIMANDS MR TAN KUAN AUN KELVIN FOR A CONTRAVENTION OF SECTION 12(1) OF THE FINANCIAL ADVISERS ACT (CAP. 110) [“FAA”]

Financial Advisers Act, Section 12(1)

06 Sep 2011

MAS REPRIMANDS MR LIM WEE BOON FOR A CONTRAVENTION OF SECTION 12(1) OF THE FINANCIAL ADVISERS ACT (CAP. 110) [“FAA”]

Financial Advisers Act, Section 12(1)

24 Aug 2011

MAS IMPOSES A COMPOSITION AMOUNT OF $5,000 ON TAN GEK HUA MAUREEN FOR FAILING TO COMPLY WITH EXAMINATION REQUIREMENTS

Financial Advisers Act, Section 58

12 Aug 2011

MAS REPRIMANDS AAM ADVISORY PTE. LTD. AND MR ANDREW GORDON MCKAY FOR CONTRAVENTIONS UNDER THE FINANCIAL ADVISERS ACT (CAP. 110) [“FAA”]

Financial Advisers Act, Sections 6(1) and 7(1)

07 Jul 2009

Investigation Report on the Sale and Marketing of Structured Notes linked to Lehman Brothers


17 May 2006

Market Conduct Regulatory Actions from 1 Jan 2006


09 Apr 2004

MAS Sets Out Approach for Publishing Market Conduct Regulatory Actions

MAS Sets Out Approach for Publishing Market Conduct Regulatory Actions

Last Modified on 26/11/2016