9e. ALL LAB - Best Practices for Enforcing Codes of Ethics and Conduct (Intermediate)

Wednesday9e
Written By Meghan Flanagan

This panel will cover some best practices for enforcing your firm’s Code of Ethics. It will address conflicts of interest arising from personal trading, private securities transactions, outside business activities, gifts and entertainment, and political contributions. This session is closed to both regulators and members of the press.

Meghan Flanagan
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