Conflicts of interest
Brokers perform a key role in many financial markets. They introduce buyers to sellers, perform a useful role in price-discovery and provide a source of market information and commentary to market participants...
Dealers have been given the go-ahead to bundle together execution and clearing businesses – offering cut-price clearing as a way to attract clients to their trading desks. That could shut would-be rivals...
Risk would like to invite you to join us on 14 April 2014 at 10am EST / 3pm GMT for our next FREE webinar. Joining the panel discussion will be: Moderator: Duncan Wood, Editor, RISK. Athanassios Diplas, Senior Advisor, ISDA. Barry Hadingham, Head of Derivatives and Counterparty Risk, AVIVA INVESTORS. Neil Murphy, Director, Collateral Product Management, IBM RISK ANALYTICS. Click to register.
More Conflicts of interest articles
Customers were told to switch pensions regardless of situation or requirements, says regulator
Hong Kong regulator and courts find promoter had undisclosed interests in fund investments
NEW YORK – The SEC has filed civil charges against Thomas Priore, owner and president of ICP Asset Management. The claims cover fraudulently managed investment products relating to mortgages at the height of the mortgage crisis in 2007. It is claimed...
Credit rating agencies must register and be supervised in the EU
NEW YORK - Merrill Lynch, now part of Bank of America, has been fined $1 million by the US Securities and Exchange Commission (SEC) for violating securities law by failing to admit conflicts of interest in recommending its brokerage services to pensions...
The SEC has lifted the lid on the conflicts of interest in the rating of subprime mortgage-backed securities
The IOSCO has published a consultation paper (CP) on market intermediary management of conflicts of interest that arise in securities offerings.
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.
Topics of interest
Hong Kong, 1st - 31st Dec 2014
Japan, 24th Apr 2014
Japan, 24th Apr 2014
USA, 30th Apr 2014
USA, 8th - 9th May 2014