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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20 Jun 2014

MAS Reprimands Mr Mason Robert for Contravention of Section 99B(1) of the Securities and Futures Act (Cap.289) ["SFA"]

Securities and Futures Act, Section 99B(1)

20 Jun 2014

MAS Imposes Composition Amounts of $10,000 and $30,000 on Standard Chartered Bank for Contraventions of Section 23B(3) of the Financial Advisers Act (Cap.110) ["FAA"] and Section 99B(3) of the Securities and Futures Act (Cap.289) ["SFA"] respectively

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

22 May 2014

MAS Issues Prohibition Orders Against Teo Choon How Terence from Carrying on Business as an Insurance Intermediary and Providing any Financial Advisory Service

Insurance Act, Section 35V(1)(a) and Financial Advisers Act, Section 59(1)(d)

20 May 2014

MAS takes Civil Penalty Action and issues Prohibition Order against Koh Huat Heng for Insider Trading

Securities and Futures Act, Section 219(2)(a)

09 May 2014

MAS Reprimands Singapore Consortium Investment Management Limited for Contravention of Section 99B(3) of the Securities and Futures Act (CAP. 289) ["SFA"]

Securities and Futures Act, Section 99B(3)

02 May 2014

MAS Imposes Composition Amount of $2,500 on Pacific Carriers Limited for Contravention of Section 137 of the Securities and Futures Act [“SFA”]

Securities and Futures Act, Section 137

22 Apr 2014

MAS Imposes Composition Amount of $2,500 on Harry F. Hopper III for Contravention of Section 137 of the Securities and Futures Act [“SFA”]

Securities and Futures Act, Section 137

15 Apr 2014

MAS Imposes Composition Amount of $5,500 on Mermaid Maritime Public Company Limited for Contravention of Section 137G(1) of the Securities and Futures Act [“SFA”]

Securities and Futures Act, Section 137

01 Apr 2014

MAS obtains Default Judgement of $2.97M against Norman Phua Chun Han for Insider Trading and Employment of Manipulative and Deceptive Devices

Securities and Futures Act, Section 218(2)(a) and/or Section 218(2)(b)

25 Mar 2014

MAS Reprimands Mr Danny Koh Yee Meng for Contravention of Section 99B(1) of the Securities and Futures Act (Cap.289) ["SFA"]

Securities and Futures Act, Section 99B(1)

Last Modified on 26/11/2016