Lexology PRO | USA | 11 Aug 2022
The SEC has revised its rules on clearinghouse governance structure to mitigate conflict of interests, over objections from its Republican commissioners that the reforms are too “prescriptive”.
LK Shields | Ireland | 28 Jun 2022
Conflicts of interest are part of doing business, and when they arise it is important for directors to handle them appropriately. The existence of a…
Lexology PRO | Asia-Pacific, Australia | 28 Apr 2022
The Australian Competition and Consumer Commission has raised concerns that the algorithms employed by the country’s top online marketplaces could be used to preference their own products to the detriment of rival sellers.
Lexology PRO | USA | 31 Mar 2022
The US securities regulator is set to apply heavier disclosure restrictions to special purpose acquisition companies, issuing a clutch of measures that a dissenting commissioner has warned will reduce SPAC transactions to just another form of IPO.
McCarter & English LLP | USA | 23 Sep 2021
If a company has one or more Organizational Conflicts of Interest (“OCIs”), its ability to compete for (or perform) a government contract in a fair…
PRO Compliance | USA | 24 Nov 2020
The US Treasury’s Office of the Comptroller of the Currency handed JPMorgan Chase Bank a $250 million penalty over internal controls and audit failures.
Macfarlanes LLP | United Kingdom | 2 Mar 2020
On 27 February 2020, the Financial Conduct Authority (FCA) wrote to the CEOs of all regulated asset management firms setting out its expectations for…
K&L Gates LLP | China, USA | 19 Feb 2020
Late last month, yet another decorated academic from a prestigious American research institution found himself in the crosshairs of a criminal…
Perlman & Perlman LLP | USA | 4 Dec 2019
On August 9, 2019, Politico Magazine posted an article about alleged discontent by current and former Liberty University officials…
DLA Piper | Italy | 1 Nov 2019
It is of todays’ date (31 October 2019), the press release published by both IVASS and CONSOB by which the terms for submitting comments to the…