All conflict of interest articles

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    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.

  • SFC

    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.

  • COIpanel

    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.