Price adjustments, Compliance Rule 2-43(a)
Felix Shipkevich - April 13, 2009FDMs will bear the burden of invalid prices generated by their own software, traders, matching systems, or user interfaces.
MAS issues guidelines on Fair Dealing
Felix Shipkevich - April 3, 2009Guidelines emphasize responsibilities of the Board and Senior Management of financial institutions to deliver fair dealing outcomes when providing financial advisory services to customers. They are to be read together with the Financial Advisers Act. They apply to the selection, marketing, and distribution of investment products, to the provision of advice for these products, and [...]
