Tribunal draws a hard line on undisclosed client benefits
The decision turned on the adviser’s acceptance of personal benefits from a client, the lack of proper compliance disclosure, and the higher standard expected of a KI.
#conflictofinterest
Judgment in Delta case highlights D&O insurance limitations
With directors held accountable for undisclosed deals and conflicts of interest, the judgment brings to light the crucial issue of whether D&O policies will stand behind executives embroiled in misconduct.
The downside to a side hustle
It is the sole prerogative of an employer to regulate when moonlighting may be permitted, and if so, on what terms.
