Wayne Bolton

Principal, Compliance

All Sessions by Wayne Bolton

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Day 1: Jun 17, 2020

10:30 am

10:30 am

Conflict of Interest

Building a Compliance Program that will Meet the New Rules on Managing 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 some of the changes in expectations taking effect on Dec 2020, you must ensure your conflict of interest requirements are up to the new standards. Delve into the details of the new requirements to:

  • Meet guidance requirements about material conflicts of interest
  • Create an action plan to 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

Create an action plan to ensure your organization meets the new rules on managing conflicts of interest

Day 2: Jun 18, 2020