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Monetary Authority of Singapore Bans 6 Individuals for Mis-selling Investment Products
The Monetary Authority of Singapore (MAS) has banned 6 former financial advisors from Prudential (2), AIA (3) and Citibank (1) for 2 to 7 years for mis-selling of mis-selling of investment products.
” Monetary Authority of Singapore Bans 6 Individuals for Mis-selling Investment Products “
The prohibition orders (POs) will prohibit these individuals from providing any financial advisory service and from taking part in the management, acting as a director or becoming a substantial shareholder of any financial advisory firm for periods ranging between 2 to 7 years.
One of the individuals is also prohibited from performing any regulated activity under the Securities and Futures Act, and from taking part in the management, acting as a director, or becoming a substantial shareholder of any capital market services firm, for a period of 2 years.
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The individuals have committed one or more of the following types of misconduct:
forgery;
making false or misleading statements to clients when providing financial advice;
making false or misleading representations to the insurer;
providing financial advice without due consideration of clients’ financial situation; and
improper switching.
2 of the former financial advisors (Prudential, AIA) received heavier ban of 7 and 4 years as their misconduct involves vulnerable clients, while The remaining 4 ex-advisors received ban of 2 – 3 years.
Vulnerable client is any client who meet two of the following criteria:
(i) aged 62 years or older;
(ii) is not proficient in written or spoken English;
(iii) has below GCE ‘O’ level or ‘N’ level qualifications, or equivalent academic qualifications.
Lee Boon Ngiap, Assistant Managing Director (Capital Markets), MAS:
“Representatives of financial institutions who give advice on financial products have a duty of care to their customers. MAS will take stern action against representatives who betray the trust placed in them and provide false or misleading information or give irresponsible advice to their customers. And MAS will publicise these actions to send a clear message that such misconduct will not be tolerated and that, where warranted, we will not hesitate to weed out errant representatives from the industry.”
Monetary Authority of Singapore (MAS) is Singapore’s central bank, which was formed back on 1 January 1971. It promotes sustained, non-inflationary economic growth through appropriate monetary policy formulation and close macroeconomic surveillance of emerging trends and potential vulnerabilities. MAS manages Singapore’s exchange rate, foreign reserves and liquidity in the banking sector. It is also an integrated supervisor overseeing all financial institutions in Singapore — banks, insurers, capital market intermediaries, financial advisors, and the stock exchange.
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