All posts tagged "Conflicts of Interest"
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834EnforcementSGX RegCo to Enhance Enforcement, Whistleblowing Frameworks
The proposed enforcement framework will seek to achieve swifter outcomes from the disciplinary process. Whistleblowing policies will become mandatory for listed issuers.
August 6, 2020 -
461MalaysiaMalaysia Issues Director Conduct Guidelines for Listed Issuers
The guidelines set out the obligations of directors of listed companies and their subsidiaries, and requirements for the establishment of group-wide frameworks.
July 30, 2020 -
436Australia & NZNew Zealand FMA Warns Derivatives Issuers to Ensure Compliance
Self-assessments by derivatives issuers have identified risks stemming from the way they handle client money, provide advice to retail clients, and handle vulnerable customers.
July 29, 2020 -
690FeatureHKMA Proposes New Code of Practice for Banks’ Trust Companies
The HKMA is looking to address a lack of conduct requirements for trust businesses used by banks and their subsidiaries for wealth management purposes.
July 13, 2020 -
397ChinaChina Issues Final Rules on Handling Corporate Bond Defaults
The final rules establish trustee managers, bondholder meetings and intermediaries as investor safeguards in the disposal of defaulted corporate bonds.
July 7, 2020 -
656Hong KongSFC Asks HKEX to Raise Guard Against Conflicts of Interest
The SFC says Listing Department personnel should not attend business meetings with prospective listing applicants, and HKEX should further reinforce ‘Chinese Walls’.
July 4, 2020 -
234Australia & NZNew Zealand Sets Out Disclosure Rules for Financial Advisers
Financial advisers will have to disclose to clients details about fees, the range of products they advise on, conflicts of interest and commissions they may earn.
June 30, 2020 -
380IndiaRBI Reassesses Ownership, Control, Governance at Private Sector Banks
The RBI has released a discussion paper proposing reforms to improve bank governance, and has formed a working group to review rules on private sector bank ownership and control.
June 15, 2020 -
687Big PictureFMSB Offers Guidance on LIBOR Transition Conduct Risks
Uncertainties associated with the transition may make it harder for firms to identify how to treat their customers fairly, and to demonstrate that they have done so, the FMSB says.
June 12, 2020 -
310IndiaIndian Court Halts Franklin Templeton Fund Liquidation
Franklin Templeton had planned to allow unitholders to vote on whether to allow six shuttered funds to be liquidated, but the Court says it must first release a forensic audit report on the funds in question.
June 11, 2020
