Conflicts of interest are in sharp focus of regulatory compliance authorities around the globe.
It is no longer enough to simply have KYE (Know Your Employee) systems and processes in place to monitor potential conflicts. Compliance teams must be capable of proactively flagging suspicious activity. They must also quickly produce reporting and documentation that confirms or disproves assumptions of ethical issues and compliance risk.
Rapid analysis and accurate reporting can help identify conflicts of interest and is vital when examined by regulatory compliance authorities.
Your ultimate guide to conflicts of interest in the financial services industry has the strategies you need to reduce insider trading risk and compliance risk, and enhance your overall compliance management process.
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