All posts tagged "Conflicts of Interest"
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37IndiaRBI to Require Banks, NBFCs to Seek Annual Auditor Approval
Banks and NBFCs will be required to obtain approval for the appointment and reappointment of their statutory auditors on an annual basis.
May 3, 2021 -
268FeatureJapan FSA Issues Proposal to Revise Corporate Governance Code
The changes will improve board independence, promote board diversity, and enhance climate-related and ESG disclosures by top-tier listed companies.
April 8, 2021 -
145ChinaBlackRock Paves Way for Mutual Fund Business in China
BlackRock has withdrawn its private fund manager registration to pave the way for the launch of its new wholly-owned mutual fund unit in China.
April 7, 2021 -
208EuropeFMSB Issues Draft Standard on ‘Appropriate’ Use of Term SONIA
The main use cases where a robust rationale may be identified for using Term SONIA in lending products include trade finance, working capital, and Islamic finance products.
March 29, 2021 -
110Australia & NZASIC Bans Director, Account Managers at FX Broker
Clients were pressured to deposit funds into their trading accounts, engage in high-risk trading, and delay or cancel withdrawal requests.
March 22, 2021 -
133Australia & NZNew Zealand Launches New Financial Advice Regime
Anyone who gives regulated financial advice to retail clients must either hold or operate under a Financial Advice Provider licence granted by the FMA.
March 16, 2021 -
318Asia-PacificThailand SEC to Enhance Protections for Digital Asset Investors
The SEC is consulting new qualifications for retail investors in digital assets, and requiring digital asset fund managers and investment advisors to be licensed.
March 1, 2021 -
133ChinaCBIRC Punishes Staff for Violating Personal Investment Rules
The regulator found that 429 individuals engaged in prohibited financial activity involving CNY 160 million and has taken action in 106 cases so far.
February 16, 2021 -
604Hong KongHKMA Raises Expectations for Bank Codes of Conduct
Codes of Conduct should include provisions to address conflicts of interest, promote a culture of accountability and encourage staff to report unethical practices.
February 15, 2021 -
216FeatureSFC Sets Out Conduct Standards Expected in Capital Raisings
The proposals establish the standards of conduct expected of intermediaries participating in bookbuilding, pricing, allocation and placing activities.
February 9, 2021
