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Potential conflicts emerge as regulators crack down on misconduct reporting

Regulators’ demand for increasingly detailed conduct reports on private banking staff could lead to “possible regulatory conflicts” which, in turn, might create lengthy and cumbersome reporting processes between subsidiaries and their headquarters, according to international law firm Herbert Smith Freehills. In February, the Securities and Futures Commission (SFC) implemented its revised licensing rules, requiring banks to disclose whether a former employee…

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