Regulatory Matters

Governance, Mutual Fund disclosure and Fair Practice code

We recognise the influence we have as an advisory and investment firm and the responsibility we have towards our clients.
We adopt a governance framework that emphasises transparency and accountability, and are guided by our values of commercial discipline, respect, integrity, teamwork and trust in everything we do.

 

Governance

Being a registered wealth management firm, we at Seguro believe it is our responsibility to identify regulations and notifications that may affect or govern the investing and trading practices of our clients.

Therefore, we make the conscious effort to keep our clients up to date on the latest developments in the investment and financial markets as well as the practices of Financial Regulators across the markets or Stock Exchanges and Security and Exchange Commissions in our areas of interest.

Seguro’s Advisory and investment activities are regulated by the standard trading and investment regulations and notifications issued by the relevant regulatory authorities of the region of operations. In such events, Seguro is bound to disallow any unusual or unauthorized trading and investment activities to their clients to maintain fair trade and investment practices at all times.

 

Mutual Fund Disclosure

As an investor in Mutual Funds, we recommend that you go through the latest information and the risk factors about the various Mutual Fund schemes before investing in them. This information is available in the Scheme Information Document (SID), Statement of Additional Information (SAI), Key Information Memorandum (KIM), addenda, performance reports, fact sheets, portfolio disclosures and brochures on the website of the respective Asset Management Company (AMC).
 

Fair Practice Code

Fair Practice Code Policy sets minimum fair practice standards for Seguro Group to follow during the processing, advisory, and the procedure to be followed thereafter.

The objectives of this policy are as follows:

  • Promote fair practices by setting minimum standards when dealing with clients
  • Increase transparency so that clients can have a better understanding of what type of products, terms and conditions and service levels can be expected from the Company
  • Foster client confidence through transparent dealing
  • Comply with Regulator directives in this regard