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You should have assets around $3 million to $300 million or managing $20 million to $3 billion.
Top Headlines in the Last 7 Days
(18th – 24th Dec 2017)
No. 1 MAS Issues Lifetime Ban to Ex-BSI Banker
Monetary Authority of Singapore (MAS) has issued a lifetime Prohibition Order (PO) against ex-BSI banker Mr Yeo Jiawei. The prohibition order prevents him from providing any capital markets & financial advisory services and being involved as management, director or substantial shareholder of any capital markets and financial advisory services firm in Singapore. This comes into effect on 18th December 2017.
Mr Yeo, a former Wealth Manager of BSI Bank, was investigated by the Commercial Affairs Department (CAD) on 1MDB-related matters and convicted by the State Courts of Singapore on a number of charges, including money laundering, cheating, and tampering of witnesses during CAD’s investigation.
Mr Kevin Scully, CEO of NRA Capital Pte Ltd was also issued a 3 year Prohibition Order. MAS found he had failed to ensure that NRA’s valuation of PetroSaudi Oil Services Limited was carried out with sufficient care, judgement and objectivity. Including these latest actions, MAS has issued to-date POs against a total of eight persons involved in 1MDB-related breaches. Learn More …
The 2023 Investment Day | 5/9 HK & 12/9 SG
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No. 2 SFC Reprimands and Fines Standard Chartered Securities Hong Kong $2.6 Million
The Securities and Futures Commission (SFC) has reprimanded and fined Standard Chartered Securities (Hong Kong) $2.6 million for internal control failures relating to short selling orders and breach of the Securities and Futures.
Between January 2014 to August 2015, Standard Chartered Securities (Hong Kong) failed to put in place adequate system and control procedures that resulted in at least 61 instances of regulatory breaches involving short sales executed by 11 traders from different trading desks. Learn More …
No. 3 MAS Issues 5 Year Prohibition Orders against Ex-DBS Vickers Remisier
Monetary Authority of Singapore (MAS) has issued a 5 year prohibition orders against Mr Tey Thean Yang Dennis. Between 2012 to 2013, he had used different trading accounts to enter orders in the underlying securities to affect the price of the Contract for Differences (CFD).
Mr Tey had executed the CFD trade and subsequently removed the orders in the underlying securities. Through these trades, he made a total profit of $30,239. On 22nd March 2017, he was sentenced to a total of 16 weeks’ imprisonment. Learn More …
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