All posts tagged "conflict of interest"
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988Fintech / RegtechTaiwan FSC Clarifies Rules on Virtual Bank Boards
Banks cannot have executives or board members serving concurrently as directors or supervisors at the virtual banks in which they are invested.
September 13, 2019 -
523IndiaRBI Tightens Criteria for Board Appointments at State Banks
The revised criteria for determining the 'fit and proper' status of proposed candidates include age, education, experience, and track record, among other criteria.
August 5, 2019 -
1.3KEnforcementSFC Fines Credit Suisse $2.8m over Research Reports
Credit Suisse has been fined $2.8m for failing to disclose investment banking relationships and market making activities in research reports on Hong Kong-listed securities.
June 20, 2019 -
3.8KEnforcementSFC Warns Brokers, Traders on Client Facilitation Conduct
The SFC has found brokers that are failing to comply with the expected standards on client facilitation, and plans to take action against both individuals and firms.
May 17, 2019 -
907Australia & NZAustralian Regulators Under Scrutiny for Accepting Industry Gifts
ASIC was reportedly found to have accepted expensive gifts and hospitality from financial firms including Macquarie Bank even as it was under multiple investigations by the corporate regulator.
January 23, 2019 -
723ChinaChina Mulls New Rules to Prevent Conflict of Interest at Ratings Agencies
The new rules would prohibit firms from providing consulting services to companies they rate and require disclosures of any conflicts of interests.
January 9, 2019 -
727Australia & NZ
Licensees Should Avoid Employee Allocations in Equity Raising – ASIC
Following a review of allocations practices in equity raising transactions, ASIC said allocations to employees should be avoided as they can present conflicts of interest.
December 21, 2018
