All posts tagged "Conflicts of Interest"
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77EuropeUK FCA Finalises Rule Changes for SPAC Listings
The FCA will remove the presumption of suspension at the point when an acquisition target is identified, for SPACs that meet certain criteria.
July 28, 2021 -
83EuropeESMA Outlines Disclosure Expectations for SPACs
The guidance is aimed at enhancing the comprehensibility and comparability of SPAC prospectuses and ensuring investors are adequately protected.
July 18, 2021 -
67Capital RegulationCSRC Proposes New Rules for Subsidiaries of Futures Companies
CNY 300 million in net capital will be required for a futures company to establish a subsidiary. The activities of overseas subsidiaries will be restricted.
July 18, 2021 -
80Australia & NZAPRA Wants Banks to Be Ready for Potential Negative Rates
APRA proposes to introduce new expectations for banks requiring them to prepare for scenarios where interest rates fall to zero or turn negative.
July 14, 2021 -
81IndiaRBI Issues New Guidelines on Outsourcing for Coop Banks
Cooperative banks should not outsource policy formulation, internal audit, KYC compliance, credit approval and portfolio management.
July 3, 2021 -
202FeatureISSB Climate Reporting Standard Could be Ready by July 2022
IOSCO publishes indicative timeline for development of global climate reporting standard, sets sights on ESG data and ratings providers.
June 29, 2021 -
82EnforcementSFC Probes CLSA Over CEFC Energy Bond Deal
A former CLSA managing director has accused CLSA of “blatant” misbehaviour as bond underwriter for the now-defunct CEFC Energy.
June 25, 2021 -
65Australia & NZASIC Issues Guidance on Ongoing Fee Arrangements
A new information sheet provides guidance on ongoing fee arrangements, fee disclosure statements, and ongoing fee consents.
June 17, 2021 -
168Australia & NZ
APRA Targets Risk Culture in Superannuation Sector
APRA is piloting a risk culture survey with plans to roll it out to a number of superannuation entities in 2022.
June 1, 2021 -
134Australia & NZASIC Files Federal Court Suit Against AMP Companies
ASIC has taken court action against AMP for charging deceased customers insurance premiums and advice fees. AMP has already remediated the impacted customers.
May 31, 2021
