Private Banking Sales and Advisory Practices

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MAS Imposes Civil Penalty of $11.2 million on UBS for Deceptive Trades by its Client Advisors

MAS conducted thematic inspections on the sales and advisory practices of selected financial institutions operating in the private banking industry over 2018 and 2019. This information paper highlights inspection observations and MAS’ supervisory expectations that relevant financial institutions should benchmark themselves against.


Original link: https://www.mas.gov.sg/publications/monographs-or-information-paper/2020/private-banking-sales-and-advisory-practices