| Date |
Relevant Legislation |
Action Taken |
| 20 Nov 2007 |
Securities and Futures Act, Section 218 |
Ms Angela Yeo Yoke Foong Pays Civil Penalty for Contravening Insider Trading Provision |
| 25 Sep 2007 |
Securities and Futures Act, Section 218 |
Mr Wong Chin Ming Pays Civil Penalty for Contravening Insider Trading Provision |
| 17 Sep 2007 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $2,500 on Toh Soon Huat for Late Notification to SGX-ST of Changes in Substantial Shareholdings
|
| 19 Jul 2007 |
Securities and Futures Act, Section 218 |
Mr Toh Ho Tay Pays Civil Penalty for Contravening Insider Trading Provision |
| 25 Apr 2007 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $2,500 on the Capital Group Companies, Inc for Failing to Notify SGX-ST and the Trustee of Cambridge Industrial Trust of Changes in Substantial Unitholdings
|
| 25 Apr 2007 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $2,500 on Royal Union Corporation (China) Pte Ltd for Failing to Notify SGX-ST of Changes in Substantial Shareholdings |
| 25 Apr 2007 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $2,500 on Royal Institution Pte Ltd for Failing to Notify SGX-ST of Changes in Substantial Shareholdings |
| 25 Apr 2007 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $9,000 on Deborah Ang for Failing to Notify SGX-ST of Changes in Substantial Shareholdings
|
| 25 Apr 2007 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $5,000 on Athena Georgene Ang for Failing to Notify SGX-ST of Changes in Substantial Shareholdings
|
| 25 Apr 2007 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $4,000 on Douglas Elliot Barnett for Failing to Notify SGX-ST of Changes in Substantial Shareholdings |
| 25 Apr 2007 |
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $4,500 on Kingdon Capital Management for Failing to Notify SGX-ST of Changes in Substantial Shareholdings |
| 20 Apr 2007 |
Securities Industry Act, Section 82 |
MAS Imposes a Composition Amount of $7,500 on Travelex Singapore Pte Ltd for Conducting Regulated Activity without a Licence |
| 19 Apr 2007 |
Securities Industry Act, Section 97(1)
|
MAS Revokes the Capital Markets Services Representative's Licence of Mr Chan Lye Huat on Grounds of Conviction |
| 19 Apr 2007 |
Securities Industry Act, Section 97(1)
|
MAS Revokes the Capital Markets Services Representative's Licence of Mr Foo Ven Chang on Grounds of Conviction |
| 6 Feb 2007 |
Securities and Futures Act, Section 197 |
Mr Pai Keng Pheng Pays Civil Penalty for Contravening False Trading Provisions |
| 11 Jan 2007 |
Securities and Futures Act, Section 197 |
Mr Tan Pomas Candranegara Pays Civil Penalty for Contravening False Trading Provisions |
