All posts tagged "conflict of interest"
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198Australia & NZAustralia Funds Industry Prone to Conflicts of Interest
A "long, complex value chain" of intermediaries between fund managers and retail investors raises the potential for conflicts of interest.
September 27, 2021 -
239EnforcementBursa Malaysia Punishes RHB Investment Bank Representatives
The dealer’s representatives engaged in discretionary trading without proper authorisation, causing "significant losses" to a client.
September 14, 2021 -
311EuropeFCA Proposes Rule Changes to Encourage SPAC Listings
The FCA proposes to exempt SPACs that identify an acquisition target from being suspended, if they have certain investor protections in place.
May 4, 2021 -
1.2KFeatureKorea to Require ESG Disclosures from Listed Companies
Large companies will have to disclose ESG information from 2025. This will expand to all KOSPI-listed companies from 2030.
January 15, 2021 -
254IndiaRBI Directs Banks to Enhance Internal Audit Function
Banks are encouraged to adopt the international standards for internal audit, such as those issued by the BCBS or the Institute of Internal Auditors.
January 12, 2021 -
264EnforcementFormer Convoy Executives Found Not Guilty in ‘Enigma Network’ Case
The judge ruled that the evidence provided by prosecutors was not sufficient to prove there was any attempt to deceive the stock exchange or Convoy directors or investors.
December 2, 2020 -
642EnforcementSEBI Orders Special Audit of Shuttered Franklin Templeton Funds
A forensic audit firm has reportedly been tasked with determining whether Franklin Templeton colluded with bond issuers and if conflicts of interest were present at the firm.
June 3, 2020 -
861EnforcementFSC Taiwan Fines Investment Trust for Intranet Loopholes
A Capital Investment Trust fund manager reportedly bought shares in dozens of companies that he knew would be purchased in the funds he helped manage.
April 24, 2020 -
735EnforcementICAC Charges Ex-HKEX Official for Bribery, Misconduct
A former joint-head of HKEX's IPO Vetting Team has been charged over HK$9.15mn in bribes and misconduct in public office between June 2017 and April 2019.
March 26, 2020 -
2.5KCapital Regulation25 Years Since Barings Collapse: What Has Changed?
Peter Guy explores whether regulation, compliance and financial technology have improved risk management in the 25 years since Barings Bank's spectacular crash.
March 10, 2020
