All posts tagged "conflict of interest"
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677Fintech / RegtechSouth Korea to Designate More ‘Data Specialising Institutions’
Data specialising institutions are allowed to converge anonymised and pseudonymised data originating from different businesses for analytics purposes.
January 14, 2022 -
160Australia & NZASIC Finds Conflict Management Failures at Super Funds
ASIC identified a "clear failure" to identify investment switching by directors and executives of superannuation trustees as a source of potential conflict.
November 4, 2021 -
384Securities & TradingUS Fed to Bar Officials from Buying Individual Stocks, Bonds
Fed policymakers and senior staff will be limited to purchasing diversified investment vehicles, such as mutual funds.
October 23, 2021 -
180Australia & NZAFMA Calls for Removal of ‘LIBOR Cap’ Imposed on Foreign Banks
AFMA is concerned that the LIBOR Cap will be replaced with a capping mechanism to be determined solely by the ATO.
October 22, 2021 -
175EnforcementHK Court Jails Former Convoy, Gransing Executives
Former Convoy executives conspired to dishonestly arrange for bond placement commissions to be diverted to a company they substantially owned.
October 18, 2021 -
368Australia & 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 -
393EnforcementBursa 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 -
345EuropeFCA 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 -
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Korea 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 -
283IndiaRBI 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
