All posts tagged "Conflicts of Interest"
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586Crypto / Digital AssetsIOSCO Forms New Task Force Targeting DeFi Regulation
The task force, chaired by MAS assistant managing director Tuang Lee Lim, will help coordinate policy action to address the risks in DeFi.
March 26, 2022 -
296Australia & NZNZ FMA Asked to Improve Conflicts Handling Process
An independent review has found shortcomings in the way the FMA handled a conflict of interest last year and proposed changes to its processes.
March 22, 2022 -
354Crypto / Digital AssetsUS Fed Approves New Trading Rules for Senior Officials
The rules aim to support public confidence in the impartiality and integrity of the FOMC's work by guarding against "even the appearance of any conflict of interest".
February 28, 2022 -
373ChinaCSRC Relaxes Rules for Appointing Securities and Fund Personnel
Passing a proficiency test is no longer a prerequisite qualification for personnel with certain work experience, and educational requirements have been scrapped.
February 23, 2022 -
929Crypto / Digital AssetsCrypto-related Financial Stability Risks are Increasing: FSB
Crypto-related financial stability risks could "rapidly escalate", underscoring the need for "timely and pre-emptive" evaluation of possible policy responses.
February 17, 2022 -
15.1KContributed Article
Credible Data for a Sustainable Future
Ashley Alder, Chair of IOSCO and CEO of the HK SFC, calls for greater consistency and transparency for ESG ratings and data.
February 14, 2022 -
689Securities / DerivativesTaiwan to Finalise Risk Management Rules for Futures Trust Companies
Futures trust companies are required to set up dedicated risk management departments with "adequate and competent" full-time personnel by 31 December.
February 12, 2022 -
1.1KAML / KYCHK Gov Issues Discussion Paper on Proposed VASP Regime
Licensing will be available to companies incorporated elsewhere as long as they have a registration in Hong Kong.
February 11, 2022 -
604Australia & NZASIC, SFC Offer Guidance on FX Practices Following Joint Review
Financial groups should promote a strong risk culture, put in place appropriate supervision and surveillance, and ensure fairness and transparency in trade execution.
January 28, 2022 -
791ESG / SustainabilitySEBI Proposes Regulatory Framework for ESG Rating Providers
SEBI says reliance on unregulated ESG rating providers poses risks to investors, transparency and the efficiency of securities markets.
January 27, 2022
