Employee conduct risk and conflict of interest (COI) is a crucial area for financial institutions due to the reputational and regulatory risks. Employee COI is a complex area involving multiple roles, policies, and regulators. Unchecked, employee COI and unethical sales practices can rise to the level of enterprise risk with the potential for significant regulatory actions, fines and reputational risk.
This webinar featured an expert panel that offered insight into important industry trends, best practices, and what organizations should do to minimize non-compliance risk.
Neil Katkov, PhD
Head of Risk and Compliance
John M. Schobel
CEO & Founder
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.