Regulatory Alerts2018-10-08
Added
Guidelines on Addressing Conflicts of Interest arising from Issuing or Promulgating Research Analyses or Research Reports [FAA-G13]
The Monetary Authority of Singapore issued these guidelines to govern licensed and exempt financial advisers regarding conflicts of interest in research reports. The document outlines specific examples of potential conflicts and establishes the standards and practices expected when issuing or promulgating research containing investment product recommendations. It serves as a regulatory framework for managing such conflicts to ensure integrity in financial advisory services.
Guidelines
Last Revised Date: 08 October 2018
Guidelines on Addressing Conflicts of Interest arising from Issuing or Promulgating Research Analyses or Research Reports [FAA-G13]
Guidelines on conflicts of interest that may arise from issuing or promulgating research analyses or research reports that contain opinions or recommendations about a specific investment product.
Corporate Governance
Representative-related
Disclosures
Advisory and Sales
Record Keeping
Applies to:
Licensed Financial Adviser
,
Exempt Financial Adviser
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Guidelines on Addressing Conflicts of Interest arising from Issuing or Promulgating Research Analyses or Research Reports [FAA-G13]
(159.8 KB)
These guidelines apply to all licensed financial advisers and exempt financial advisers.
They set out examples of potential conflicts of interest that may arise from issuing or promulgating research reports that contain opinions or recommendations about clearly identifiable investment products. They cover the standards and practices expected of financial advisers in dealing with such conflicts of interest.
08 Oct 2018 FAA-G13 (Amendment) 2018 takes effect. 18 Oct 2013 Previous version last revised on 18 Oct 2013 (97.5 KB) [Cancelled] 02 Apr 2013 Previous version issued on 02 Apr 2013 (104 KB) [Cancelled]
Governs the regulation of financial advisers in Singapore, including their representatives and supervisors.