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Conflicts of Interest

A peer shares an example of the firm's conflicts questionnaire, issued to staff annually as a way for compliance to spot new potential conflicts of ...
Indian female agent helping client sign the application document
This form is used annually, completed by staff and scoured by compliance to look for new potential conflicts of interest
Disclosure requirements 'problematic,' ILPA says
Man's hands holding a card with the inscription Conflict Of Interest on a yellow background
A securitization participant shall not, for a period commencing on the date on which a person has reached, or has taken substantial steps to reach, ...
Entrepreneurs are receiving money that is a bribe of their partners with both of whom are corrupt in the company room.
It’s been 13 years in the making but the SEC has taken a step toward promulgating a Dodd-Frank era rule that would seek to prevent ...
Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers
SEC Commissioner Uyeda
"I have concerns whether today’s rule proposal correctly strikes this balance. Thus, comments from market participants will be especially important in consideration of any final rule"
SEC Commissioner Crenshaw
"As we were all witness to in 2008, these intermediaries might be incentivized to, essentially, bet against the performance of an asset backed security that ...
SEC Commissioner Peirce
"I apologize for the proposal’s unnecessarily short comment period, which continues a troubling pattern in the face of public and Congressional concern"
silver brick and golden coins laying on dollar banknotes
This is an SEC proposed rule that seeks to bar conflicts of interest in the sale of asset-backed securities

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