|
Date
|
Relevant Legislation |
Action Taken |
| 28 Nov 2008 |
Financial Advisers Regulations, Regulation
37(1)(a) and 37(1)(e) |
MAS Issues Reprimand to Sterling Knight (Pte) Ltd for Breaches under the Financial Advisers Regulations |
| 1 Sep 2008 |
Securities and Futures Act, Section 218 |
Mr Yap Sew Pays Civil Penalty for Contravening Insider Trading Provision |
| 10 Jul 2008 |
Securities and Futures Act, Section 218
|
Mr Teo Chuan Teck Pays Civil Penalty for Contravening Insider Trading Provision |
| 27 Jun 2008 |
Securities and Futures Act, Sections 95(3), 95(2)(b)(i), 87(3)(g) and Guidelines on Fit and Proper Criteria |
MAS Suspends the Capital Markets Services Representative's Licence of Mr Loo Chang Yuan @ Loo Hock Guan |
| 30 May 2008 |
Securities and Futures Act, Section 201(b) |
MAS Revokes the Capital Markets Services Representative's Licence of Chia Hock Joo on Grounds of Conviction |
| 30 May 2008 |
Insurance Act, Section 35W |
MAS Issues Reprimand to Oriental Special Risk Services Pte Ltd for licensing breaches under the Insurance Act |
| 18 Mar 2008 |
Financial Advisers Act, Section 13
Insurance (Intermediaries) Regulations, Regulations 3, 4 and 11 |
MAS Imposes a Composition Amount of $56,250 on Inter-Alliance International (Singapore) Pte Ltd for Licensing Breaches under the Financial Advisers Act and Financial Breaches under the Insurance (Intermediaries) Regulations, and Warns Chief Executive Officer |
| 5 May 2008 |
Securities and Futures (Licensing and Conduct of Business) Regulations, Regulation 5
|
MAS Imposes a Composition Amount of $5,000 on David Loh Kim Kang for Failing to Notify the Authority of his Appointments as Director and/or Acquisition of Substantial Shareholdings |
| 5 May 2008 |
Securities and Futures (Licensing and Conduct of Business) Regulations, Regulation 5
|
MAS Imposes a Composition Amount of $5,000 on Han Seng Juan for Failing to Notify the Authority of his Appointments as Director and/or Acquisition of Substantial Shareholdings |
