How to Design an Effective Conflict of Interest Policy A compliance officer's role includes effectively managing conflicts of interest to enhance a firm's... READ MORE
An Overview of Regulation Best Interest On June 5, 2019, the SEC announced new rules and interpretations clarifying required standards of... READ MORE
FMSB Final Conflicts of Interest Statement of Good Practice The FICC Markets Standards Board (FMSB) published the final version of a Statement of Good Practice... READ MORE
SEC Issues New Conflict Rules Amid Praise and Criticism The U.S. Securities and Exchange Commission (SEC) approved new conflict of interest rules for... READ MORE
Three Steps to an Effective COI Compliance Program Chances are your organization has developed a conflict of interest (COI) policy. But does it have... READ MORE
