Home Conflicts of interest Page 7

Keyword: Conflicts of interest

262 results found
online investing

Retail investor issues get top billing on IOSCO agenda

Broker conflicts, finfluencers, gamification among regulators' priorities

Fund rep’s side hustle results in ban, fine

Clients lost more than $1.5 million on rep's failed fintech venture

Trader screen

FCA to revive research bundling

Regulator aims to ease asset managers' access to investment research

tightrope

Risks arise as exchanges evolve, IOSCO says

Expansion of business lines multiplies conflicts and regulatory challenges

European Union headquarters

ESMA consults on green bond scrutineers

Consultation proposes registration, supervisory standards for independent reviewers

ESMA sanctions rating agency

European regulator said violations involved conflicts of interest

Fund managers need to spruce up IRCs

OSC, AMF call for freshening up fund governance

CIRO panel sanctions fund rep over conflicts

Serving as a client's executor totally incompatible with rep's role, panel says

SEC beefs up personal trading rules

Financial sector funds now out of bounds for regulator's employees

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Disclosure failures violated best-interest rules: SEC

Broker failed to alert investors to cheaper investing channel, regulator alleges