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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

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

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

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

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