Enhance Your Conflicts of Interest Policy and Processes with Your Ultimate Guide

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.

Download your complimentary business guide with the details, including:

• Understanding conflicts of interest
• When personal trading becomes insider trading
• Dealing with trade surveillance complexities
• Monitoring and managing MNPI
• The potential influence of personal relationships
• Attestation best-practices
• Putting the spotlight on moonlighting
• Gifts, entertainment, and hospitality
• How to more effectively identify and address conflicts of interest