In the face of the COVID-19 pandemic, protecting vulnerable consumers is a regulatory priority. Recently, the SEC has emphasized the need for maintaining market integrity and following controls and procedures. In addition, recent SEC and FINRA actions have shown that enforcing conflicts of interest remains a priority and conduct risk-based inspections will continue to advance.
Join MCO and two members of FrontLine Compliance, Amy Lynch, Founder and President and Giselle Casella, Senior Consultant, for the on-demand webinar Maintaining Market Integrity in Today’s Regulatory Environment and delve into the areas of concern compliance professionals need to navigate to manage today’s challenging regulatory expectations.
Key Takeaways include:
- Implications of recent regulatory guidance and alerts
- Lessons learned to date during lockdowns
- Anticipated implications for the future of compliance
- High risk areas for CCOs
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.
Ready to learn more? Let us know and one of our experts will be in touch.