Regulatory Alerts2018-10-08
Added
Guidelines for Conduct of Business for Execution-Related Advice [FAA-G08]
The Monetary Authority of Singapore issued these guidelines to establish standards for dealers and their representatives when providing execution-related advice on capital markets products. The document mandates specific requirements for disclosures, record keeping, and advisory conduct to ensure compliance with regulatory obligations. It also references proposed legislative amendments aimed at exempting certain execution-related advice from the Financial Advisers Act.
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