2e. ALL LAB – Managing Conflicts of Interest in the Firm’s Business Activities (Intermediate)

Financial firms face conflicts of interest that extend beyond the typical ones addressed in a Code of Ethics/Code of Conduct. Many firms struggle to identify and manage these conflicts as they are often embedded in the core of a firm’s business activities. Regulators look to firms to effectively mitigate or disclose all of a firm’s material conflicts of interest. In this session, attendees will learn effective ways to identify and track conflicts of interest.  Participants will be challenged to share their experiences and best practices to help others.  This session is closed to both regulators and members of the press.

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