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 您所選取的商品項目

> Conflicts of Interest at Uptown Bank

商品編號: 9-122-022
出版日期: 2022/04/14
作者姓名:
Heese, Jonas
商品類別: Other
商品規格: 24p

再版日期: 2022/08/05
地域: Central America and Caribbean;North America;United States
產業: Financial service sector;Investment management services
個案年度: 2013 -  

 


商品敘述:

In 2013, two employees debated whether to blow the whistle on their employer, Uptown Bank, after completing an internal review that revealed undisclosed conflicts of interest. Uptown Bank''s Asset Management business disproportionately invested clients'' money in Uptown Bank''s mutual funds over funds managed by other banks, letting Uptown Bank collect additional fees-and the bank had not disclosed this conflict of interest to clients. Both employees agreed that failing to disclose the conflict was a problem, but beyond that, they saw the situation very differently. One employee, Neel, perceived the internal review as a good-faith effort by Uptown Bank''s senior management to identify and address the problem. The other, Akash, thought that the entire business model was problematic, even with a disclosure, and believed that Uptown Bank may have even broken the law. They considered their options: Should they escalate the issue internally or report it to Uptown Bank''s board of directors? Should they go even further and report their findings to the U.S. Securities and Exchange Commission? What would the potential risks and rewards of speaking out be?


涵蓋領域:

Banks and banking;Business ethics;Business law;Compliance management;Conflicts of interest;Corporate accountability;Corporate disclosure;Corporate governance;Decision making;Employee incentives;Finance and investing;Financial markets;Financial performance measurement;Government policy and regulation;Investment management;Legal liability;Motivating people;Organizational values;Social psychology;Whistleblowing


相關資料:

, (9-123-005), p, by Jonas Heese