The Central Bank of the Russian Federation, thanks to supervisory measures, detected cases of conflicts of interest between brokers during public offerings. The agency conveys this as follows:hit liner» With reference to the letter from the regulator published by the National Association of Equity Market Participants (NAUFOR).
“As a result of audit activities, it was determined that brokers did not keep electronic records of all conflict of interest information,” the document stated.
As it turned out, they do not take into account information about conflicts of interest when participating in IPOs. Additionally, an agreement with an issuer for the purpose of attracting investors to participate in the IPO was not classified correctly. For example, we are talking about a situation where the broker does not give clients the opportunity to determine the price for participation in the IPO themselves in the mobile application, but sets it to the maximum.
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