Violation of duty

A duty may be intentionally violated if the necessary due diligence is disregarded. The following is a list of typical violations of duty:

  • Conflicts of interest
  • False/non-investor oriented explanation
  • Failure to pursue the investment strategy
  • Buying out
  • Offloading
  • Price management
  • Unnecessary regrouping of deposits
  • Front running: completion of own transactions prior to larger customer transactions
  • Disregard for risk

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