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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03 Oct 2013

Securities and Futures Act, Sections 197 and 198


01 Oct 2013

MAS Imposes Composition Amount of $4,250 on Atorka Group hf. for Contravention of Section 137 of the Securities and Futures Act [“SFA”]

Securities and Futures Act, Section 137

18 Sep 2013

MAS Imposes Composition Amount of $3,500 on Aapico Hitech Public Company Limited for Contravention of Section 137 of the Securities and Futures Act  [“SFA”]

Securities and Futures Act, Section 137

02 Sep 2013

MAS Reprimands Mr Sandoli Nicola Walter Giuseppe for Contravention of Section 99B(1) of the Securities and Futures Act (CAP. 289) ["SFA"]

Securities and Futures Act, Section 99B(1)

30 Aug 2013

MAS Imposes Composition Amount of $2,000 on CIM Investment Management Limited for Contravention of Section 137 of the Securities and Futures Act  [“SFA”]

Securities and Futures Act, Section 137

30 Aug 2013

MAS Imposes Composition Amount of $2,750 on Credit Suisse Group AG for Contravention of Section 137 of the Securities and Futures Act  [“SFA”]

Securities and Futures Act, Section 137

30 Aug 2013

MAS Imposes Composition Amount of $5,000 on Mr Leong Ka Cheong Christopher of Section 137 for Contravention of Section 137 of the Securities and Futures Act  [“SFA”]


31 Jul 2013

MAS ISSUES REPRIMAND TO EMPIRICAL RESEARCH PTE LTD FOR BREACHES OF THE SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS (CAP. 289, REGULATION10)

Securities and Futures (Licensing and Conduct of Business) Regulations, Second Schedule, Paragraphs 5(7)(d) (now repealed)

25 Jul 2013

MAS Reprimands Ong First Tradition Pte Ltd for Contravention of Section 82 of the Securities and Futures Act [“SFA”]

Securities and Futures Act, Section 82

24 Jul 2013

MAS Takes Civil Penalty Action and Issues Prohibition Order Against Mr Lee Wee Soon for False Trading and Market Manipulation

Securities and Futures Act, Section 197(1)(b) and Section 198(1)

Last Modified on 26/11/2016