This Information Paper provides guidance to financial advisers on sound principles in key areas of their disciplinary action (DA) framework. This helps to achieve more consistent outcomes in their application of DA and to raise standards among financial advisers through sharing of good practices.
Information Paper on Culture and Conduct Practices of Financial Institutions
Information on culture and conduct outcomes financial institutions should work towards in specific areas such as governance, hiring, communication channels and performance management. The paper also provides examples of good practices gathered from a thematic survey and dialogue sessions conducted by MAS with banks, insurers and capital market intermediaries.