Compliance Breakfast Forum: Conflicts of Interest
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
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Anti-money laundering (AML) compliance has long been a foundational obligation for broker-dealers and a growing […]
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Artificial intelligence and automated decision tools are rapidly becoming embedded in the operational and compliance […]
