Addressing Conflict of Interests (COI) that can have an outsized impact on the overall efficacy of a firm’s compliance and ethics program should be a top priority. The danger of poor COI mitigation is not only the immediate impact from individual COIs but also a broader risk to the entire program.
Join Keith Pyke from MCO and Jane Shahmanesh from Adherence LLC for the on-demand webinar Conflicts of Interest and the Changing Landscape of Risk featuring a discussion of practical ways to better ensure conflict mitigation and conduct compliance in light of the unprecedented challenges of today’s regulatory landscape.
Key Takeaways include:
- How the conflict landscape has evolved
- What regulators now expect of their member firms
- How technology can be used to help identify and manage conflicts
To effectively address Conflicts of Interest, firms must ensure that actual and potential conflicts of interest are identified, declared and adequately managed with appropriate risk mitigation. Compliance officers must ensure they have implemented adequate policies and controls.
MyComplianceOffice provides a single integrated solution to manage conflicts of interest as part of your Conduct Risk program. Our software assists you in automating your policies & procedures and embedding them within your business. Learn more about how we can help you identify and mitigate potential conflicts from the activities of employees, third parties and the company.
The giving and receiving of gifts and entertainment has the possibility to be perceived as a conflict of interest. It’s important that organizations review their practices and implement a code of conduct in order to improve training, compliance monitoring, attestation and reporting, and more closely manage risk. Download our report for a deeper look at gifts and entertainment trends in global organizations.
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