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Keyword: Conflicts of interest

116 results found
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

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Trading apps, finfluencers, crypto to face SEC scrutiny

Regulator details its compliance review priorities for the year ahead

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FCA sanctions asset manager over conflicts

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

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

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

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OSC adopts measures to facilitate trailer fee ban

Temporary relief aims to help firms implement new rules on June 1

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Judges disagree over fiduciary duty claim

Majority dismisses appeal, rejects proposed class action

hit the target

New guidance targets unfair incentive practices

CCIR-CISRO proposals aim to align incentive structures with fairness principles

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

The high price of industry misconduct

ASIC reports faulty advice compensation tops A$3 billion

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Seg funds to face DSC ban too

CCIR, CISRO consultation will also consider outright ban on upfront commissions