Webinar: Making Your Conflicts of Interest Compliance Program Defensible

Description: An overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective conflicts management program.

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Making Your Conflicts of Interest Compliance Program Defensible

Employee conflicts of interest and code of conduct violations continue to make headlines, and can bring substantial fines and penalties along with lasting damage to the firm’s reputation. Regulatory scrutiny has intensified as The SEC, FINRA, state departments of insurance, OCC, FDIC, and other federal regulators, as well as international supervisory bodies all continue to focus on identifying and punishing individual offenders and firms that fail to maintain effective controlsand oversight.

Conflicts of interest has evolved into a complex compliance management issue that requires a consistent and methodical process for the submission, approval and tracking of requests and their fulfillment related to gifts and entertainment, political contributions, personal trading, outside business activities, and other potential conflicts of interest.

This session will provide an overview of relevant regulatory and industry trends, as well as how the evolution of technology has impacted the ability of firms to maintain an efficient and effective conflicts management program.

Topics that will be covered

  • How the regulatory climate is evolving
  • Recent enforcement actions
  • Common challenges and pitfalls to avoid
  • Installing operational best practices in your conflicts of interest program
  • The role of technology in achieving defensible compliance
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