Conflicts Of Interest And Spread Charges - A Continuing Focus For Global Regulators.
Legal News & Analysis - Asia Pacific - Regulatory & Compliance - Banking & Finance
29 July 2020
A series of briefings that take a 'bite-size' look at international trends in different jurisdictions, drawing on Baker McKenzie's expert financial services practitioners.
Global financial regulators are maintaining their focus on the way that fees are disclosed to clients and factors, particularly compensation structures and conflicts of interest, which may encourage sales staff of financial intermediaries to inappropriately recommend or sell investment products. This edition takes a bite-size look at regulatory initiatives aimed at reviewing and controlling pricing practices used by intermediaries and related issues of conflicts of interest in Hong Kong, Singapore, United Kingdom, and the United States.
Download the full briefings here. (11 Pages PDF).
For further information, please contact:
Stephanie Magnus, Principal, Baker & McKenzie.Wong & Leow