All posts tagged "Conflicts of Interest"
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211IndiaSEBI Approves Proposals to Tighten Investment Adviser Regulation
The proposals approved include higher net worth requirements for investment advisers, a cap on fees, and segregation of investment advice from product distribution.
February 21, 2020 -
354Fintech / RegtechIOSCO Offers Guidance on Regulating Crypto-asset Trading Platforms
The report provides a toolkit of possible measures for key considerations relevant to authorities for regulating crypto-asset trading platforms.
February 14, 2020 -
490Fintech / Regtech
IOSCO Highlights Debt Market Concerns in Annual Work Programme
The 2020 work programme provides an update on five existing priorities and an overview of planned work on a new priority - corporate debt and leveraged loans.
January 31, 2020 -
153India
SEBI Grants Two-Year Reprieve for Separation of Chairman, MD Roles
The top 500 listed companies by market cap have two additional years to comply with a requirement to separate the roles of chairman and managing director.
January 16, 2020 -
494EnforcementSFC Fines RHB Securities for Internal Control Failures
RHB Securities failed to effectively implement its policy for avoiding conflicts of interest between its research reports and investment banking relationships, among other compliance issues.
January 2, 2020 -
389IndiaSEBI Introduces Mandatory Stewardship Code for Fund Managers
The new stewardship code will help institutional investors protect their clients' wealth, improve corporate governance, and promote the development and regulation of the securities market.
December 28, 2019 -
327JapanJapan Solicits Feedback on Revised Stewardship Code
The changes add expectations that sustainability issues will be considered in the investment process, and introduce expectations for service providers.
December 24, 2019 -
227International
IOSCO Offers Guidance on Reducing Conflicts in Debt Capital Raising
The guidance includes proposed regulatory measures to address potential conflicts of interest and associated conduct risks that could arise in the debt capital raising process.
December 18, 2019 -
671Big PictureFund Managers to Remain in Regulatory Spotlight in 2020: Moody’s
Asset managers will remain in the regulatory spotlight as authorities actively work to reduce conflicts of interest in financial advice and elevate supervision of fund liquidity management.
December 10, 2019 -
443Australia & NZASIC Urges Better Conduct from Lead Managers in Mining IPOs
Among ASIC's concerns is the prevalence of conflicts of interest, whereby lead managers act for both the company and investing clients while holding direct interests and board seats in the company.
December 6, 2019
