2018-10-08

Added 2026-07-10

Guidelines on Addressing Conflicts of Interest Arising from a Related Corporation Issuing Research Analyses or Reports

The Monetary Authority of Singapore issued these guidelines to require financial institutions to implement effective controls and segregation of duties when their related corporations issue research reports. The document mandates that institutions establish written internal policies to manage conflicts of interest arising from trading activities, financial interests, and external business relationships. Specific requirements include enforcing strict information barriers, prohibiting improper pre-issuance trading, and maintaining blackout periods to prevent staff with access to non-public information from exploiting research recommendations.

Singapore

Monetary Authority of Singapore

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