All posts tagged "Conflicts of Interest"
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55Asia-PacificThai SEC Consults on Three-tiered Investments by Funds
The SEC is consulting on whether to allow mutual funds to make three-tiered investments in funds under the same company's management.
October 21, 2021 -
100ChinaCBIRC Tightens Rules for Major Shareholders of Banks, Insurers
The rules prohibit major shareholders from concealing their equity relationships, interfering with operations, and engaging in connected transactions.
October 18, 2021 -
108Securities & TradingTaiwan FSC Amends Personnel Rules for Mutual Funds
Eleven overseas firms offering securities investment trust funds in Taiwan will need to set up a local risk management department by end-2022.
October 14, 2021 -
133Securities & Trading
Taiwan FSC to Relax Rules for Securities Investment Trust Funds
Greater flexibility is provided for securities investment trust funds to invest in IPO stocks, CoCo bonds and TLAC bonds.
October 13, 2021 -
160EnforcementUS Inspector General Probes Fed Officials’ Stock Trades
The Office of Inspector General will conduct an independent review to determine whether Fed officials violated ethics rules and the law.
October 6, 2021 -
254AML / KYCKorean VASPs Barred From Trading Native Tokens
A new conflict of interest rule bars VASPs from trading native tokens and their staff from trading virtual assets on their own platforms.
September 30, 2021 -
211Australia & 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 -
221FeatureRBI Finalises Guidelines for OTC Derivatives Market Makers
The guidelines impose requirements on governance, dealing conduct, risk management, internal control, internal audit and record-keeping.
September 23, 2021 -
191Feature
US Fed to Review Ethics Rules Following Disclosures by Officials
Financial disclosures filed by senior Fed officials showed multiple stock trades in 2020 worth millions of dollars, raising concerns over conflicts of interest.
September 20, 2021 -
198Securities & TradingSEC Committee Endorses Stricter Enforcement of SPAC Rules
The investor advisory committee recommended increased enforcement of existing disclosure rules for SPACs, including in relation to the sponsor's role.
September 14, 2021
