All posts tagged "Conflicts of Interest"
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243Securities & TradingUS Investment Banks Pause Work on New SPAC Deals
New rules from the SEC have reportedly prompted Goldman, Bank of America and Citigroup to scale back their involvement in SPAC deals.
May 18, 2022 -
266ChinaSSE Consults on Market Making Rules for STAR Market
The consultation comes as the CSRC releases final regulations on the introduction of a market-making mechanism for the STAR Market.
May 17, 2022 -
354IndiaRBI Issues New Rules on NBFC Compliance Function
Upper and middle layer NBFCs have until 1 October 2023 to install a compliance function and chief compliance officer.
April 21, 2022 -
412IndiaSEBI Seeks to Loosen Restrictions on Mutual Fund Sponsors
A new working group will recommend new eligibility criteria that could allow private equity funds and other pooled investment vehicles entities to sponsor mutual funds.
April 13, 2022 -
484India
RBI Identifies Faults in Risk, Compliance, Audit Functions
The RBI has bolstered its supervisory focus at banks amid findings of compliance, risk management and internal audit weaknesses.
April 5, 2022 -
460Securities & TradingUS SEC Proposes Enhanced Protections for SPAC Investors
The proposal aims to provide SPAC investors additional disclosures and protections similar to those they would receive in an IPO.
April 1, 2022 -
567FeatureIOSCO Forms New Task Force Targeting DeFi Regulation
The task force, chaired by MAS assistant managing director Tuang Lee Lim, will help coordinate policy action to address the risks in DeFi.
March 26, 2022 -
268Australia & NZNZ FMA Asked to Improve Conflicts Handling Process
An independent review has found shortcomings in the way the FMA handled a conflict of interest last year and proposed changes to its processes.
March 22, 2022 -
342Securities & TradingUS Fed Approves New Trading Rules for Senior Officials
The rules aim to support public confidence in the impartiality and integrity of the FOMC's work by guarding against "even the appearance of any conflict of interest".
February 28, 2022 -
359ChinaCSRC Relaxes Rules for Appointing Securities and Fund Personnel
Passing a proficiency test is no longer a prerequisite qualification for personnel with certain work experience, and educational requirements have been scrapped.
February 23, 2022
