Risk and Compliance Insights | Conflicts of Interest - Page 3 | MyComplianceOffice

Posts about Conflicts of Interest (3):

MAS Bans PFOF Payment for Order Flow

MAS Bans Payment for Order Flow (PFOF) from 1 April 2023

In late 2022, the Monetary Authority of Singapore (MAS) announced a complete ban on payment for...

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Outside business activity and moonlighting compliance risks for financial employees

Outside Business Activity: Putting the Spotlight on Moonlighting

“Remember - NO TWO-TIMING - NO MOONLIGHTING”, reads a recent email from Infosys to its employees....

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Arched stone building illuminated at night with tree branches and blue sky in the background.

FCA Conflicts of Interest in Asset Management Explained

Conflicts of interest are one of the FCA’s primary conduct concerns for asset managers. The...

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Crypto-Regulations-Singapore

Crypto Regulations in Singapore and Recent Enforcements

The regulatory framework for Digital Assets and Cryptocurrencies (Crypto) has been rapidly...

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Failure to Disclose Relationship Leads to a Public Crisis

Failure to disclose connected persons and personal relationships as required by firm policies and...

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Hong-Kong-Regulator-Fines-Citigroup

Hong Kong’s Regulator Fines Asian Bank Over Stock Trading Misconduct

In January 2022, Hong Kong’s financial-markets regulator fined a large Asian Bank HK$348.25m...

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A collection of blue and white graphs on a clipboard displays various bar and line charts, conveying data analysis and business growth visually.

Integrated Data Helps Manage Conduct Risk

During the webinar Conduct, Compliance and Ethics in Capital Markets, an executive panel with...

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Close-up view of the bases of large, white stone columns on the exterior of a classical-style building.

Insider Trading Leads to Criminal and Civil Penalties

A consulting firm partner who was advising a global bank on the acquisition of a FinTech loan...

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Black notebooks, eyeglasses, and a gift box with a red bow on a wooden desk.

Now’s the Time to Wrap Up Gifts & Entertainment Policies

It’s that time of year again! The end of the year brings opportunity for corporate gift giving and...

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