Webinar: Navigating the Complexity of COI Compliance for Firms Large and Small
Description: How to efficiently manage conflicts of interest for broker-dealers, investment advisers, insurers, and other financial services.
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Efficiently managing conflicts of interest across the range of potential conflict areas presents a significant challenge for broker-dealers, investment advisers, insurers and other financial services firms. Firms must manage requests to review potential conflicts of interest while continuously monitoring registered representative activity for exceptions to conflicts of interest policies. And, supervisors and other stakeholders must distinguish between activities that are within the bounds of good compliance and the firm’s policies, and material conflicts that pose potential non-compliance risk.
RegEd’s fully integrated Conflicts of Interest Management Solution Suite enables firms to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s registered population. The solution comprises five modules which can be implemented individually or together:
- Gifts and Gratuities
- Outside Business Activities
- Political Contributions
- Personal Securities Account Management
- Conflicts of Interest Questionnaires