|
Date
|
Relevant Legislation
|
Action Taken
|
| 06 Nov 2009 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,000 on UBS AG for Late Notification to the SGX-ST of Changes in Substantial Shareholdings |
| 06 Nov 2009 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $3,500 on Atlantis Investment Management Ltd for Late Notification to the SGX-ST of Changes in Substantial Shareholdings |
| 06 Nov 2009 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,500 on Isetan Mitsukoshi Holdings Ltd for Late Notification to the SGX-ST of Changes in Substantial Shareholdings |
| 06 Nov 2009 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,500 on Dubai Ventures Group Ltd for Late Notification to the SGX-ST of Changes in Substantial Shareholdings |
| 06 Nov 2009 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,500 on Citigroup Global Markets Limited for Late Notification to the SGX-ST of Changes in Substantial Shareholdings |
| 23 Oct 2009 |
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 Yeo Keng Seng
|
| 29 Sep 2009 |
Financial Advisers Act, Section 7(1) and 13(1) |
MAS Imposes a Composition Amount of $20,000 on Portfolio Builders (S) Pte Ltd, $7,500 on Martin Jeremy Gill, $7,500 on Richard James Hardy and $2,500 on John McNulty for Licensing Breaches Under the Financial Advisers Act
|
| 26 Aug 2009 |
Securities and Futures Act, Section 218
|
Mr Toh Leng Poh Pays Civil Penalty for Contravening Insider Trading Provision
|
| 24 Aug 2009 |
Financial Advisers Act, Section 6(1) and 7(1) |
MAS Imposes Composition Amounts of $15,000 on Primebay Ltd, $5,000 on Peter Alexander Cross and $5,000 on Matthew Philip Smalley for Contraventions under the Financial Advisers Act |
|
24 July 2009
|
Securities and Futures Act, Section 137
|
MAS Imposes a Composition Amount of $5,000 on Gainwell Assets Limited for Failing to Notify SGX-ST of Changes in Substantial Shareholdings |
|
7 July 2009
|
- |
MAS Releases Investigation Findings on Sale and Marketing of Structured Notes Linked to Lehman Brothers |
|
8 Jan 2009
|
Securities and Futures Act, Section 219
|
Mr Chu Chwee Tiak Pays Civil Penalty for Contravening Insider Trading Provision
|
|
31 Mar 2009
|
Financial Advisers Regulations, Regulation 10
|
MAS Imposes a Composition Amount of $2,500 on Carol Seah Ah Kiat for Failing to Notify the Authority of her Substantial Changes in Shareholdings
|
