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News Archive - Enforcement Actions




2010
2009
2008
2007  
2006
2005 and earlier  


Enforcement Actions 2010


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

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Last modified on 04/03/2010