Conduct risks during equity fundraising process

The IOSCO has published a Consultation Report with the aim of proposing guidance  to address the potential conflict of interest and associated conduct risks in the equity capital fundraising process. The Guidance reflects an expectation of high standards of conduct by market intermediaries and though it is not binding, IOSCO encourages its members to consider the extent this should be implemented in the context of their legal and regulatory framework, given the significance of the associated risks.

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