| Date |
Relevant Legislation |
Action Taken
|
| 28 Nov 2006 |
Securities and Futures Act, Section 197 |
Mr Teo Wen Shuen, Mr Foong Kim Wah and Mr Ng Cheng Hong Pay Civil Penalties for Contravening False Trading Provisions |
| 3 Nov 2006 |
Securities and Futures Act, Section 82 |
MAS Imposes a Composition Amount of $7,500 on CLSA Singapore Pte Ltd for Conducting Regulated Activity Without a License |
| 5 Oct 2006 |
Securities and Futures Act, Section 218
|
Mr Anthony Yeo Beng Kiat Pays Civil Penalty for Contravening Insider Trading Provisions |
| 12 Sep 2006 |
Securities and Futures Act, Section 83
|
MAS Imposes a Composition Amount of $5,000 on Mr Lam Chee Choong Dave For Conducting Regulated Activity Without A Licence
|
| 8 Aug 2006 |
Financial Advisers Act, Section 32
|
MAS Imposes a Composition Amount of $10,000 on ABN AMRO Bank, N.V. for Failure to Establish and Maintain an Insurance Broking Premium Account |
| 8 Aug 2006 |
Financial Advisers Act, Notice FAA-N03
|
MAS Imposes a Composition Amount of $10,000 on United Overseas Bank Ltd for Breach of Disclosure Requirements |
| 8 Aug 2006 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $30,000 on Franklin Resources, Inc for Failing to Notify SGX-ST of Changes in Substantial Shareholdings |
| 8 Aug 2006 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $7,500 on EDBV Management Pte Ltd for Failing to Notify SGX-ST of Changes in Substantial Shareholdings |
| 8 Aug 2006 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $16,000 on DBS Asset Management Ltd for Failing to Notify SGX-ST of Changes in Substantial Shareholdings |
| 17 May 2006 |
-
|
Market Conduct Regulatory Actions from 1 Jan 2006 |
| 17 May 2006 |
-
|
MAS Revokes the Capital Markets Services Representative Licence of Ms Chua Siew Lian on Grounds of Conviction |
| 17 May 2006 |
-
|
MAS Revokes the Capital Markets Services Representative Licence of Mr Lim Tiong Kheng Steven on Grounds of Conviction |
| 17 May 2006 |
Securities and Futures Act, Section 88 |
MAS Revokes the Capital Markets Services Representative Licence for Mr Mow Ah Kwee for Breach of Licence Condition |
| 17 May 2006 |
Securities and Futures Act, Section 299
|
MAS Imposes a Composition Amount of $5,000 on UOB Asset Management Ltd for Use of an Expired Prospectus |
| 11 May 2006 |
Securities and Futures Act, Section 197 |
Mr Frank Kuhn Swi Wha Pays Civil Penalty for Contravening False Trading Provisions |
| 4 Apr 2006 |
Securities and Futures Act, Section 203 |
Trek 2000 International Ltd Pays Civil Penalty for Continuous Disclosure Breach |
| 20 Feb 2006 |
Securities and Futures Act, Section 218 |
Ms Goh Yu Ming Pays Civil Penalty for Contravening Insider Trading Provisions |
| 7 Feb 2006 |
Securities and Futures Act, Section 218 and 219 |
Mr Frankie Quek Swee Heng and Ms Lee Boon Hiok Pay Civil Penalties for Contravening Insider Trading Provisions |
| 1 Feb 2006 |
-
|
Publication of regulatory actions for market conduct breaches: 2005 |
