Conflicts during the capital raising process can damage investor confidence
To qualify, firms must promptly return money to harmed clients
Central counterparties should consider potential conflicts in various relationships
The former BMO Nesbitt Burns advisor admitted he sold new issues to clients, in part, to generate additional commissions for himself and the firm
A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have conflicts of interest”
Take the necessary steps to know your clients thoroughly and determine if one family member’s actions could put you in a conflict of interest situation
New notice cites importance of establishing special committees of independent directors to protect the interests of minority shareholders
Streamlining of rules, further guidance should be considered
Review of compensation-related conflicts reveals that disclosure alone is not sufficient
The aim is to avoid conflicts of interest when selecting reps to attend conferences