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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19 Nov 2013

MAS takes Civil Penalty Enforcement Action against Ng Yu Jin for Contravening Law against Employment of Manipulative and Deceptive Devices

Securities and Futures Act, Section 201(b)

19 Nov 2013

MAS takes Civil Penalty Enforcement Action against Phua Lay Leng for Insider Trading

Securities and Futures Act, Section 218(2)(a)

07 Nov 2013

MAS Reprimands Mr Koji Yamamoto for Contravention of Section 99B(1) of the Securities and Futures Act (CAP. 289) [“the SFA”]

Securities and Futures Act, Section 99B(1)

31 Oct 2013

MAS Takes Civil Penalty Enforcement Action Against Ang Choon Cheng for Contravening Law Against False Trading and Employment of Manupulative and Deceptive Devices

Securities and Futures Act, Section 197(1)(b) and Section 201(b)

18 Oct 2013

MAS Imposes Composition Amount of $2,500 on Mr Christopher Marcus Gradel for Contravention of Section 137 of the Securities and Futures Act  [“SFA”]

Securities and Futures Act, Section 137

04 Oct 2013

MAS Imposes Composition Amount of $5,000 on Iternum Melewar Sdn Bhd for Contravention of Section 137 of the Securities and Futures Act  [“SFA”]

Securities and Futures Act, Section 137

04 Oct 2013

MAS Imposes Composition Amount of $5,000 on Khyra Legacy Berhad for Contravention of Section 137 of the Securities and Futures Act  [“SFA”]

Securities and Futures Act, Section 137

04 Oct 2013

MAS Imposes Composition Amount of $5,000 on Melewar Equities Sdn Bhd for Contravention of Section 137 of the Securities and Futures Act  [“SFA”]

Securities and Futures Act, Section 137

04 Oct 2013

MAS Imposes Composition Amount of $5,000 on Melewar Steel Services Sdn Bhd for Contravention of Section 137 of the Securities and Futures Act  [“SFA”]

Securities and Futures Act, Section 137

04 Oct 2013

MAS Imposes Composition Amount of $5,000 on Melewar Industrial Group Bhd for Contravention of Section 137 of the Securities and Futures Act  [“SFA”]

Securities and Futures Act, Section 137

Last Modified on 26/11/2016