Keyword: Conflicts of interest

205 results found
Investment entities need to improve disclosure practices: CSA

Firm failed to reveal conflicted fee payments, regulator charged

Investment entities need to improve disclosure practices: CSA

New rules aim to improve transparency, investor protection in private fund market

Judge's gavel

Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement

client meeting

FCA says there's work to be done in terms of ensuring value and enhancing competition

Old and new sign

Margins, profits to be squeezed as consumer protections boosted

Blackboard rating

Regulators found firms are failing to identify and manage conflicts in clients' best interests

Magnifying glass image

Report on industry conflicts to be published soon with CSA, CIRO

AI technology

Proposed rules would require firms to identify and combat conflicts built into technologies

Group split

IOSCO report details recommendations for carbon market regulation

Crypto money

Global group's rules target recent turmoil and misconduct in crypto markets