What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]
Join Compliance Science (CSI) and Compliance Risk Concepts (CRC) as we present a Conflicts of Interest roundtable discussion.
The success of any end-to-end Conflicts Management Program is predicated on the knowledge and expertise of the team responsible for creating and implementing the required processes and infrastructure to support a sustainable and scalable program. Our discussion will focus on recommendations specific to monitoring and mitigating potential conflicts as well as enhancements to existing compliance policies, procedures, and processes.
A preview of the topics we will be covering include a comprehensive discussion covering the following discrete types of conflicts prevalent in all financial services organizations:
• Conflicts applicable to all employees
• Firm vs. Client Conflicts
• Client vs. Client Conflicts
• Employee vs. Client Conflicts
• Employee vs. Firm Conflicts
• Vendor vs. Client Conflicts