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Keyword: Conflicts of interest

261 results found
"A stack of pennies on a financial newspaper with stock quotes. Shallow DOF, gold-toned."

Fund manager fined, banned in OSC settlement

Firm violated securities rules by breaching concentration limits, misleading investors

SEC sanctions rating agency for conflicts

Egan-Jones, founder, fined in settlements with regulators

OSC, MFDA team up in case against fund rep

Rep violated MFDA rules, OSC rules and firm's policies, panel finds

LME faces hedge fund complaint over nickel turmoil

Trade group unhappy with market controls, cancelled trades

man reading tablet and writing on paper

Retail investor fund costs need oversight: ESMA

Sweeping compliance review finds issues with fund industry charging practices

social media

European regulators seek to rein in firms’ nudges

ESMA aims to boost protections against emerging risks such as gamification

As CFRs loom, some still struggle with CRM2

BCSC compliance reviews find CRM2 failings alongside registration and marketing gaffes

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Trading apps, finfluencers, crypto to face SEC scrutiny

Regulator details its compliance review priorities for the year ahead

FCA sanctions asset manager over conflicts

Fund manager fined £9.1 million for failing to oversee gifts and perks

For banks, SPACs still pay — but their future looks bleak

Deals are likely to dry up as regulation tightens, a report says