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 $7,500 ON MR ALEXANDER ABRAMOV 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 MS LU DI 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 $2,750 ON TAN KIM SENG 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 $7,500 ON MR ALEXANDER FROLOV 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 $5,000 ON MR SHAN BAIYU 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 MR LIONEL LEE CHYE TEK  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 MR TAY TENG GUAN ARTHUR 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 THE ROYAL BANK OF SCOTLAND GROUP PLC 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 $7,500 ON MR ROMAN ABRAMOVICH 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 $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

Last Modified on 26/11/2016