|
Date
|
Relevant Legislation
|
Action Taken
|
| 4 Mar 2010 |
Securities and Futures Act, Section 104(1)(b)
Securities and Futures (Licensing and Conduct of Business) Regulations, Regulations 16(1)(b) and 21
|
MAS Imposes Composition Amount of $25,000 on iFast Financial Pte Ltd for Breaching Trust Account Requirements |
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Amsteel Corporation Berhad for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Lion Corporation Berhad for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Lion Development (Penang) Sdn Bhd for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Lion Diversified Holdings Berhad for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,500 on Lion Forest Industries Berhad for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $7,500 on Lion Industries Corporation Berhad for Failing to Notify the SGX-ST of Change in Substantial Shareholdings Within Stipulated Timeframe
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,500 on Tan Sri Cheng Heng Jem for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,500 on Ms Ang Bee Yan for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Dr Chen May for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Mr Chen Mong Chea for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Mr Chen Mun for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Dr Ho May Ching for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $4,750 on Third Avenue Management LLC for Late Notification to the SGX-ST of Changes in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,500 on Dubai Investment Group Ltd for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
|
| 12 Feb 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,500 on Dubai Ventures Group LLC for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
|
| 11 Feb 2010 |
Financial Advisers Act, Sections 21(1) and 22(1)
|
MAS Reprimands Mr. Tan Hwee Huat Ernest for His Breaches of Sections 21(1) and 22(1) of the Financial Advisers Act
|
| 29 Jan 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Energy Resource Investment Pte Ltd for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 29 Jan 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,000 on Franklin Resources, Inc. for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 29 Jan 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $1,000 on TIG Advisors, LLC for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 29 Jan 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,500 on Mr Keitaro Okada for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 29 Jan 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Mr Mo Zhi Guo for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 29 Jan 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $2,500 on Mr Toh Soon Huat for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
| 29 Jan 2010 |
Securities and Futures Act, Section 137
|
MAS Imposes Composition Amount of $5,000 on Mr Tong Yu for Late Notification to the SGX-ST of Change in Substantial Shareholdings
|
