Rules to apply equally to business and personal dealings with clients
Two more brokerage firms have agreed to settlements with a slew of U.S. regulators concerning conflicts of interest in equity research. Deutsche Bank Securities Inc. will pay $87.5 million to settle conflict-of-interest charges involving research and investment banking, the Securities and Exchange Commission as well as industry and state regulators said Thursday.In addition, Thomas Weisel […]
Scope of rules narrowed to curtail costs
Firms required to implement policies by July 1
OSC, QSC allege undisclosed conflicts of interest in Shoppers recomendations
Lengthy revision process makes new comment period necessary