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Keyword: Conflicts of interest

124 results found
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CSA to host roundtable on derivatives rules

Regulators to prep industry for forthcoming conduct regime

client meeting

FCA seeks radical shift in consumer treatment

Tougher standards aim to improve competition and results for customers

Court.

Former rep’s side hustles end in SRO sanctions

Real estate deals, outside businesses and exempt market sales violated MFDA rules, panel 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

gavel

SEC sanctions rating agency for conflicts

Egan-Jones, founder, fined in settlements with regulators

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OSC, MFDA team up in case against fund rep

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

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

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

compliance puzzle

As CFRs loom, some still struggle with CRM2

BCSC compliance reviews find CRM2 failings alongside registration and marketing gaffes