Matt Williams

Partner


All Sessions by Matt Williams

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Day 1: Jun 17, 2020

12:30 pm

12:30 pm

Panel Discussion: Conflicts of Interest

Building a Compliance Program that will Meet the New Expectations on Addressing Conflicts of Interest

Identifying and managing conflicts of interest between registrants and clients has been a major focus for all financial services firms. But with the Client-Focused Reform changes taking effect on June 30, 2021, you must ensure your management of conflicts of interest are up to the new standards. Delve into the details of the new requirements to:

  • Meet regulatory expectations in addressing material conflicts of interest
  • Focus on regulatory expectations regarding proprietary products, 3rd party compensation, internal incentives, embedded compensation, and referral arrangements
  • Document that reasonable steps were taken to identify existing conflicts of interest, and those that are foreseeable

Ensure your organization meets the new rules on addressing conflicts of interest

Day 2: Jun 18, 2020