All conflict of interest articles
-
ArticleSplit SEC loosens conflict-of-interest rules for independent auditors
The Securities and Exchange Commission has moved forward with relaxing its conflict-of-interest rules for independent auditors by a 3-2 vote.
-
Article
SEC risk alert provides compliance roadmap for investment advisors
A risk alert issued recently by the SEC examines disclosure deficiencies by investment advisors managing private funds.
-
Article
CCOs face SEC charges over conflicts of interest
Two chief compliance officers—one former, one current—are facing charges from the SEC as part of a lawsuit filed against a California-based investment advisory firm over failure to disclose financial conflicts of interest.
-
Article
Hong Kong’s SFC fines RHB Securities Hong Kong $6.4M
Hong Kong’s Securities and Futures Commission has fined RHB Securities Hong Kong $6.4 million for failing to comply with regulatory requirements on conflicts of interest and supervision of account executives.
-
Article
Self-disclosure can root out conflicts of interest
The world is a complicated place. Life choices and side hustles are increasingly pushing employees toward potential conflicts of interest. A solid risk management strategy can keep them happy while creating the visibility needed to protect company interests.
-
Blog post
What is a conflict of interest?
A look at the case of Dr. Brenda Fitzgerald, the now former head of the Center for Disease Control, who invested in tobacco stocks after she became director.
-
Blog post
Conflict of Interest—the revolving door turns both ways
A look at the case of U.K. entity HS2, the taxpayer-owned company building Britain’s new high-speed rail line, which recently revoked a key contract amid allegations of conflicts of interest involving the U.S. engineering firm CH2M.
