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Date
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Relevant Legislation
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Action Taken
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24 Aug 2010
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Financial Advisers Act, Sections 59(1)(b), 19(2)(b)(i) and 11(1)(l)(ii) |
MAS Prohibits Kenneth Toh Soon Heng from Providing Any Financial Advisory Service relating to Structured Notes for a year |
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24 Aug 2010
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Securities and Futures Act, Sections 95(6), 95(2)(b)(i) and 87(3)(j) |
MAS Prohibits Toh Ong Tiam from Dealing in Structured Notes Transactions for a year |
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24 Aug 2010
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Financial Advisers Act, Section 59(1)(b) read with Sections 19(2)(b)(i) and 11(1)(l)(ii) |
MAS Prohibits Sylvia Chen Peirong from Providing Any Financial Advisory Service for six months |
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24 Aug 2010
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Financial Advisers Act, Section 59(1) |
MAS Notifies Jason Yeo Choon Yong of Dissatisfaction with his past performance |
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24 Aug 2010
|
Financial Advisers Act, Section 59(1) |
MAS Notifies Cheong Su Yeen of Dissatisfaction with her past performance |
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24 Aug 2010
|
Financial Advisers Act, Section 59(1) |
MAS Notifies Sam May Queen of Dissatisfaction with her past performance |
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24 Aug 2010
|
Financial Advisers Act, Section 59(1) |
MAS Notifies Desmond Orlando Danker of Dissatisfaction with his past performance |
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18 Aug 2010
|
Financial Advisers Regulations, Regulation 10 |
MAS Imposes a Composition Amount of $1,250 on Roland Rabang Pagdanganan for Failing to Notify the Authority of his Substantial Change in Shareholding |
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17 Aug 2010
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Financial Advisers Act, Section 12(1) |
MAS Issues Reprimand to Ms Frances Lee Cheng Heng for Contravention of Section 12(1)of the Financial Advisers Act |
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26 July 2010
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Securities and Futures Act, Section 218 |
High Court Orders Insider Trader to Pay Civil Penalty
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5 July 2010
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Financial Advisers Act, Section 22(1) and Securities and Futures Act, Section 82(1) |
MAS Issues Reprimands to Commerz Capital International Pte Ltd and Mr Mansinghani Kishore Mirchumal for Breaches of the Financial Advisers Act and the Securities and Futures Act |
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29 June 2010
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Securities and Futures Act, Section 99(6) and Financial Advisers Act, Sections 23(10)
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MAS withdraws the Exempt Fund Manager and Exempt Financial Adviser status of Boston Asset Management Pte Ltd |
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28 June 2010
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Financial Advisers Act, Sections 58 |
MAS Imposes Composition Amount of $10,000 on Target Insurance Brokers Pte Ltd for Failure to Comply with Written Directions Issued |
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28 June 2010
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Financial Advisers Act, Sections 58 |
MAS Imposes Composition Amount of $10,000 on Pacific Insurance Brokers Pte Ltd for Failure to Comply with Written Directions Issued. |
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27 May 2010
|
Securities and Futures Act, Section 218 |
High Court makes first civil penalty order against former Chief Financial Officer for insider trading. |
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19 May 2010
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Securities and Futures (Licensing and Conduct of Business) Regulations, Regulations 16(2), 40(1) and 42(2) |
MAS Issues Reprimands to Navigator Investment Services Ltd for Breaches of the Securities and Futures (Licensing and Conduct of Business) Regulations. |
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15 Apr 2010
|
Securities and Futures (Licensing and Conduct of Business) Regulations, Second Schedule, Paragraph 5(7)(d) |
MAS Issues Reprimand to Quantum Asset Management Pte Ltd for Breach of the Securities and Futures (Licensing and Conduct of Business) Regulations |
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26 Mar 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $5,000 on Mr Eric Kong Hong Lim for Failing to Notify the SGX-ST of Change in Substantial Shareholdings Within Stipulated Timeframe
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26 Mar 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $500 on Mr John W. Moon for Failing to Notify the SGX-ST of Change in Substantial Shareholdings Within Stipulated Timeframe
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26 Mar 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $500 on JWM Capital LLC for Failing to Notify the SGX-ST of Change in Substantial Shareholdings Within Stipulated Timeframe
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26 Mar 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $500 on Moon Capital Management LP for Failing to Notify the SGX-ST of Change in Substantial Shareholdings Within Stipulated Timeframe
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26 Mar 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $600 on ING Groep N.V. for Failing to Notify the SGX-ST and the Trustee of Ascendas Real Estate Investment Trust of Change in Substantial Unitholdings Within Stipulated Timeframe
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26 Mar 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $7,500 on National Australia Bank Limited for Failing to Notify the SGX-ST and the Trustee of MacarthurCook Industrial Real Estate Investment Trust of Change in Substantial Unitholdings Within Stipulated Timeframe
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26 Mar 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $7,500 on Oxley Capital Holdings Limited for Failing to Notify the SGX-ST and the Trustee of MacarthurCook Industrial Real Estate Investment Trust of Change in Substantial Unitholdings Within Stipulated Timeframe
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4 Mar 2010
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Securities and Futures Act, Section 104(1)(b)
Securities and Futures (Licensing and Conduct of Business) Regulations, Regulations 16(1)(b) and 21
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MAS Imposes Composition Amount of $25,000 on iFast Financial Pte Ltd for Breaching Trust Account Requirements |
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $5,000 on Amsteel Corporation Berhad for Late Notification to the SGX-ST of Change in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $5,000 on Lion Corporation Berhad for Late Notification to the SGX-ST of Change in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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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
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $5,000 on Lion Diversified Holdings Berhad for Late Notification to the SGX-ST of Change in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $2,500 on Lion Forest Industries Berhad for Late Notification to the SGX-ST of Change in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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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
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12 Feb 2010
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Securities and Futures Act, Section 137
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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
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $2,500 on Ms Ang Bee Yan for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $5,000 on Dr Chen May for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $5,000 on Mr Chen Mong Chea for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $5,000 on Mr Chen Mun for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $5,000 on Dr Ho May Ching for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $4,750 on Third Avenue Management LLC for Late Notification to the SGX-ST of Changes in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $2,500 on Dubai Investment Group Ltd for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
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12 Feb 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $2,500 on Dubai Ventures Group LLC for Failing to Notify the SGX-ST of Change in Substantial Shareholdings
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11 Feb 2010
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Financial Advisers Act, Sections 21(1) and 22(1)
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MAS Reprimands Mr. Tan Hwee Huat Ernest for His Breaches of Sections 21(1) and 22(1) of the Financial Advisers Act
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29 Jan 2010
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Securities and Futures Act, Section 137
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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
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29 Jan 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $2,000 on Franklin Resources, Inc. for Late Notification to the SGX-ST of Change in Substantial Shareholdings
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29 Jan 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $1,000 on TIG Advisors, LLC for Late Notification to the SGX-ST of Change in Substantial Shareholdings
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29 Jan 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $2,500 on Mr Keitaro Okada for Late Notification to the SGX-ST of Change in Substantial Shareholdings
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29 Jan 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $5,000 on Mr Mo Zhi Guo for Late Notification to the SGX-ST of Change in Substantial Shareholdings
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29 Jan 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $2,500 on Mr Toh Soon Huat for Late Notification to the SGX-ST of Change in Substantial Shareholdings
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29 Jan 2010
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Securities and Futures Act, Section 137
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MAS Imposes Composition Amount of $5,000 on Mr Tong Yu for Late Notification to the SGX-ST of Change in Substantial Shareholdings
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