The Business Times

CFA Society Singapore Advocacy Team

Performance reports for investors must be credible and avoid misstatements which may mislead investors.
INSIGHTS FROM CFA SOCIETY SINGAPORE

Fund performance presentations – standards and potentially unethical practice

In presenting performance reports to investors, managers must give a fair and complete presentation of data

Should a professional be recommended to investors, issues such as potential conflicts of interest and referral fees need to be disclosed.
INSIGHTS FROM CFA SOCIETY SINGAPORE

Referrals to family and friends: Issues that could turn sour

Should a professional be recommended to investors, issues such as conflicts of interest and referral fees need to be disclosed to avoid...

Financie professionals are not required to be experts on all the laws that govern their activities but they must be vigilant in maintaining their knowledge of the requirements.
INSIGHTS FROM CFA SOCIETY SINGAPORE

Ethics issue: Failure to maintain knowledge of the law

Finance professionals must comply with laws and regulations that directly govern their professional activities and protect clients’ interests.

Masterminds of the 2013 penny-stock crash artificially inflated the share price of 3 companies - Blumont Group, Asiasons Capital and LionGold Corp
INSIGHTS FROM CFA SOCIETY SINGAPORE

Manipulating the market via multiple accounts

IN 2013, Singapore-listed Blumont Group, Asiasons Capital, and LionGold Corp were suspended from trading following a collapse in their share price. This...

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