Conflict of interest
-
‘Be an investing badass!’ Recent SEC cases citing fraud, disclosure issues
“The Cash Flow King” was ordered to pay disgorgement of $2,967,535 and prejudgment interest thereon of $340,396 to the SEC, which was deemed satisfied by the restitution ordered in the DOJ’s parallel criminal case.
-
Dubai regulator tells firms to improve policies on managing conflicts of interest
Review reveals shortcomings including lack of clarity in existing policies, failure to carry self-assessment, and narrow scope on what counts as conflict of interest.
-
ASIC roundup: Court upholds A$250m penalty on ASX, Netwealth to pay over A$100m in compensation
The Australian Securities and Investments Commission’s latest actions and news, December 15 – 19, 2025.
-
FINRA fines Deutsche Bank $2.5m for disclosure, supervisory failures
Conflicts of interest in research reports have potential to influence content of reports, including investment recommendations, ratings, etc.
-
FINRA fine on broker-dealer spotlights supervisory controls
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
-
In the name of love – managing workplace relationships
HR and legal experts weigh in on the ramifications of rules, compliance, and enforcement regarding romance in the workplace, especially when a subordinate is involved.
-
FCA’s car finance redress estimates deemed too high
Millions of customers of motor finance schemes are expected to start receiving compensation from banks and lenders next year.
-
How prediction markets are shaking up sports gambling in America
Kalshi is spearheading a legal battle to expand access to online betting, with support from some in Trump’s circle.