1. Leading Case of Negligence by an Investment Adviser Sets Standard of Care
2. Guided by Greed
3. SFC Suspends Andrew Nicholas Barber for Unsuitable Investment Advice
"The SFAT's Reasons for Determination confirm that express warnings on the face of the investment product documentation do not absolve an investment adviser from their duty to properly explain the risks involved to the client. Although the SFAT accepted that Barber had gone over the documentation with the client, the Code of Conduct for Persons Licensed by or Registered with the SFC requires an investment adviser, when providing services to a client in derivative products, including futures contracts or options, or any leveraged transaction, to assure themselves that the client understands the nature and risks of the products and has sufficient net worth to be able to assume the risks and bear the potential losses of trading in such products."
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10/26 - 11/02
- Compare toxic financial product with melamine
- Why are banks allowed to sell structured products ...
- Trace the IP address of SiewKhim
- Scuffle in HK Protest Over Lehman-Linked Products
- Speaker's Corner - 1 Nov 2008 5 to 7 pm
- Speaker’s Corner 1 November 2008 - Speech
- Use your real name
- Educate the public about the structured products
- Invest in transparent and fair products
- Petition #4 - Review Complaint Handling Process
- High Notes Investor Group - Press release 30 Oct 0...
- Buy Government Bonds through ATM
- Undergraduate reply to Prof Lan
- News about Jubilee Notes arranger
- Conflict of interest between bank and customer
- Old news that may be useful
- NTUC Bonus Cut was a bad idea
- Financial Services Authority fines Lloyds Bank in ...
- Reply to Today Paper - "Structured Products ....."...
- Be empathic to investors who lost their savings
- LET'S NOT FORGET ABOUT PERSONAL RESPONSIBILITY'
- Misleading Prospectus
- Thomas Jefferson's views on the banking system
- Talking point - minibonds and structured products
- Videos about speeches in Speaker's Corner
- US Attorney General recovers for investors in auct...
- High risk from inception
- Do you hear the people sing - version #4
- Mini-bond investor gives his view
- Savings of retired workers
- Collective legal action (1)
- Buying Government Securities
- Regulator should disallow the sale of bad products...
- Singapore Kopitiam Forum
- Nature and risk of the structured product
- Make Government Bonds easily available
- Not a happy time for me
- Misleading advertisements
- Why does the stock market fall?
- Unconditional help from volunteers
- NUS dean also exposed to loss
- Enforce the law
- Well regarded persons oversee the financial instit...
- Town Council invest in Minibond
- Jump on bandwagon
- Malaysia act against land banking
- Can investors understand CDO?
- Biggest loss in the the structured products
- CLSA Asks 500 Staff to Take Pay Cuts of Up to 25%
- Collapse of the global financial system
- Lehman Brother bond
- A fair compensation
- Prospectus needed
- A fair rate of return
- Electricity prices: 82% higher her than in Hong Ko...
- Profit margin in creating the structured product
- BBC radio documentary on structured products
- Call to MAS - pass general guideline for compensti...
- Husband's objection
- Blog for High Note investors
- Complaint Form
- It will be handled 'fairly'
- Interviews with Financial Institutions
- Unhappy with the interview
- Deposit Guarantee scheme in New Zealand
- Singapore Government guarantees bank deposits
- Leveraged Dual Currency Investments
- Pinnacle Notes - lodge a complaint now
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