All posts tagged "Conflicts of Interest"
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454Australia & 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 -
406FeatureRBI 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 -
282FeatureUS 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 -
295Securities / DerivativesSEC 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 -
472Australia & NZASIC Consults on Payment-for-order-flow Prohibition
Payment-for-order-flow arrangements are already prohibited in Australia. ASIC proposes amendments to address scenarios not currently covered by the rules.
August 26, 2021 -
321ChinaAMAC Issues Conduct Guidelines for Managers of Retail Funds
Directors, supervisors and senior managers should "lead by example" and consciously advocate the implementation of a healthy industry culture.
August 20, 2021 -
390MalaysiaBNM Amends Rules on Managing Financial Adviser Conduct
Advisers will have to provide customers with suitable product options from at least three different providers when recommending insurance or takaful products.
August 16, 2021 -
176Australia & NZ
ASIC Finds ‘Robust’ Valuation Practices in Fund Industry
Valuation practices for illiquid assets were robust, timely and consistent with regulatory guidance and industry standards, ASIC found in a review.
August 11, 2021 -
336ChinaChina: New Rules Issued to Address Unreliable Bond Ratings
The rules require credit rating agencies to strengthen their methodologies and systems, improve corporate governance, and avoid conflicts of interest.
August 8, 2021 -
284EuropeUK 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
