|
Date
|
Relevant Legislation
|
Action Taken
|
| 29 Dec 2011 |
Financial Advisers Act, Section 23B(3)(a) |
MAS Reprimands Great Eastern Financial Advisers Private Limited for Contravention of Section 23B(3)(a) of the Financial Advisers Act (Cap. 110) |
| 20 Dec 2011 |
Securities and Futures (Licensing and Conduct of Business) Regulations, Regulation 40(1) |
MAS Imposes Composition Amount of $50,000 to UOB Asset Management for Failing to Send Monthly Statements of Account to Customers |
| 14 Dec 2011 |
Securities and Futures Act, Sections 253(1) and 300(1) |
MAS Issues Reprimand to State Street Global Advisors Singapore Limited for Contravention of Sections 253(1) and 300(1) of the Securities and Futures Act (Cap. 289)
|
| 06 Dec 2011 |
Securities and Futures Act, Section 218 |
Mr Yao Hongyuan Pays Civil Penalty for Contravening Insider Trading Provision |
| 02 Dec 2011 |
Securities and Futures (Licensing and Conduct of Business) Regulations, Second Schedule, Paragraph 5(7)(d) |
MAS Issues Reprimand to Lumen Advisors Pte Ltd for Breach of the Securities and Futures (Licensing and Conduct of Business) Regulations (Cap. 289, Regulation 10)
|
| 30 Nov 2011 |
Financial Advisers Act, Section 23B(3) and Securities and Futures Act, Section 99B(3) |
MAS Takes Regulatory Action Against 15 Financial Institutions for Contravention of Section 23B(3) of the Financial Advisers Act and/or Section 99B(3) of the Securities and Futures Act |
| 28 Nov 2011 |
Securities and Futures (Licensing and Conduct of Business) Regulations, Second Schedule, Paragraph 5(7)(d), and Financial Advisers Regulations, Regulation 37(2)(d) |
MAS Issues Reprimand to Milkiway Capital Investment Pte Ltd for Breaches of the Securities and Futures (Licensing And Conduct Of Business) Regulations (Cap. 289, Regulation 10) and Financial Advisers Regulations (Cap. 110, Regulation 2) |
| 20 Sep 2011 |
Trust Companies Act (Chapter 336), Section 72(1) |
MAS Issues Reprimand to Ms Caroline Van Der Meer, for Misconduct Pursuant to Section 72(1) of the Trust Companies Act (Chapter 336) |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $5,000 on Mr Zhang Yan for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $2,500 on The Royal Bank of Scotland Group PLC for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $2,500 on Mr Tay Teng Guan Arthur for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $2,750 on Mr Tan Kim Seng for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $5,000 on Mr Shan Baiyu for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $7,500 on Mr Roman Abramovich for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $2,500 on Ms Lu Di for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $2,500 on Mr Lionel Lee Chye Tek for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $2,500 on General Nice Investment (China) Limited for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $5,000 on Evraz Group S.A. for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $7,500 on Mr Alexander Frolov for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 16 Sep 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $7,500 on Mr Alexander Abramov for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 6 Sep 2011 |
Financial Advisers Act, Section 12(1) |
MAS Reprimands Ms Peng Yan for a Contravention of Section 12(1) of the Financial Advisers Act |
| 6 Sep 2011 |
Financial Advisers Act, Section 12(1) |
MAS Reprimands Mr Tan Kuan Aun Kelvin for a Contravention of Section 12(1) of the Financial Advisers Act |
| 6 Sep 2011 |
Financial Advisers Act, Section 12(1) |
MAS Reprimands Mr Lim Wee Boon for a Contravention of Section 12(1) of the Financial Advisers Act |
| 24 Aug 2011 |
Financial Advisers Act, Section 58 |
MAS Imposes a Composition Amount of $5,000 on Tan Gek Hua Maureen for Failing to Comply with Examination Requirements |
| 12 Aug 2011 |
Financial Advisers Act, Sections 6(1) and 7(1) |
MAS Reprimands AAM Advisory Pte. Ltd. and Mr Andrew Gordon McKay for Contraventions under the Financial Advisers Act |
| 22 Jul 2011 |
Securities and Futures Act, Section 197(1)(b) |
Court of Appeal Affirms High Court's Civil Penalty Order Against Pheim Asset Management Sdn Bhd and Chief Executive Officer Dr Tan Chong Koay
|
| 1 Jul 2011 |
Securities and Futures Act, Section 197(1)(b) |
Mr Wong Chow Lin @ Benjamin Wong Pays Civil Penalty for Contravening False Trading Provision
|
| 2 Jun 2011 |
Financial Advisers Act, Section 13(1) |
MAS Issues Reprimand to GS Wealth Pte Ltd for Contravention of Section 13(1) of the Financial Advisers Act |
| 30 May 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $4,750 on Lee Foundation, States of Malaya for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 30 May 2011 |
Securities and Futures Act, Section 137 |
MAS Imposes Composition Amount of $4,750 on Lee Foundation for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] of Changes in Substantial Shareholdings Within Stipulated Timeframe |
| 23 May 2011 |
Securities and Futures (Licensing and Conduct of Business) Regulations, Regulations 26(1)(a) and 26(2) |
MAS Issues Reprimand to DBS Asset Management Limited for Breaches under the Securities and Futures (Licensing and Conduct of Business) Regulations (Cap. 289, Regulation 10) |
| 13 May 2011 |
Financial Advisers Act, Section 58 |
MAS imposes a composition amount of $5,000 on Koh Nghee Kiat for failing to comply with examination requirements |
| 6 May 2011 |
Securities and Futures (Licensing and Conduct of Business) Regulations, Regulation 37(2) |
MAS reprimands Newedge Financial Singapore Pte Ltd for contravention of Regulation 37(2) of the Securities and Futures (Licensing and Conduct of Business) Regulations |
| 28 Apr 2011 |
Financial Advisers Act, Section 12(1) |
MAS issues reprimand to Ms Soh Muar Hong for Contravention of Section 12(1) of the Financial Advisers Act |
| 28 Apr 2011 |
Securities and Futures Act, Section 218 |
Mr Song Qing Pays Civil Penalty for Contravening Insider Trading Provision
|
| 14 Apr 2011 |
Financial Advisers Act, Section 12(1) |
MAS issues reprimand to Mr Tan Chong Boon for Contravention of Section 12(1) of the Financial Advisers Act |
| 14 Apr 2011 |
Financial Advisers Act, Section 12(1) |
MAS issues reprimand to Mr Lau See Yong for Contravention of Section 12(1) of the Financial Advisers Act |
| 10 Mar 2011 |
Securities and Futures Act, Section 82(1) |
MAS Imposes Composition Amount of $15,000 on Schaeffer Investments Pte Ltd for Contravention of Section 82(1) of the Securities and Futures Act |
| 1 Mar 2011 |
Securities and Futures Act, Section 218 |
Court of Appeal Affirms High Court's Civil Penalty Order Against Kevin Lew for Insider Trading |
| 17 Feb 2011 |
Financial Advisers Regulations, Regulation 37(1)(a) and 37(1)(e) |
MAS Issues Reprimand to Pacific Insurance Brokers Pte Ltd for Breaches under the Financial Advisers Regulations |
| 01 Feb 2011 |
Securities and Futures Act, Section 203 |
MAS Issues Warning to China Yongsheng Limited for Non-Disclosure of Material Information |
| 28 Jan 2011 |
Securities and Futures Act, Sections 137A and 137B |
MAS Imposes Composition Amount of $2,400 on ING Groep N.V. for Failing to Notify the Singapore Exchange Securities Trading Limited ["SGX-ST"] and the Trustee of Ascendas Real Estate Investment Trust of Change in Substantial Unitholdings Within Stipulated Timeframe |
| 25 Jan 2011 |
Financial Advisers Act, Notice FAA-N03 |
MAS Imposes a Composition Amount of $5,000 on Affinity Financial Consulting Pte Ltd for Breach of Disclosure Requirements |
| 24 Jan 2011 |
Financial Advisers Regulations, Regulation 10(1) |
MAS Imposes a Composition Amount of S$1,250.00 on Matthew Edward Dabbs for Failing to Notify the Authority of his Change in Shareholding |
| 21 Jan 2011 |
Securities and Futures Act, Section 82(1) |
MAS Issues a Cease and Desist Letter to Commerz Capital International Pte Ltd and Mr Mansinghani Kishore Mirchumal ("Mirchumal") for False Representations; and Reprimands Mirchumal for Contravention of Section 82(1) of the Securities and Futures Act (Cap. 289) |
| 12 Jan 2011 |
Securities and Futures Act, Section 40 |
MAS Imposes Composition Amount of $15,000 on New York Mercantile Exchange for Failure to Comply with Section 40 of the Securities and Futures Act (Cap. 289) |
