In the US Securities Exchange National Exam Program Risk Alert issued by the Office of Compliance Inspections and Examinations February 2017 “Five Most Frequent Compliance Topics Identified by OCIE Examinations of Investment Advisers” includes Inaccurate Disclosures of conflicts. This webinar will help you how to avoid a deficiency in this area.
Undisclosed conflicts of interest can cause great harm to an advisor from a regulatory standpoint. Learn how to identify the conflicts mitigate and properly disclose. Learning what a conflict is and how it can be managed within the firm ultimately strengthens the firm’s overall compliance program.
- Definition of Conflicts of Interest
- General Conflicts for Investment Advisors/Financial Services
- How to Identify Conflicts of Interest
- Eliminating the Conflict
- Mitigating the Conflict
- Disclosing the Conflict
- Monitoring Conflicts
- Investment Advisors
- Portfolio Managers
- Financial Planners
- Compliance Consultants
- Financial Services