1b. ALL LAB – Managing Conflicts of Interest and Employee Reporting Obligations (Intermediate - CLOSED)

Many financial firms are struggling to determine the best way to handle conflicts of interest and employee reporting requirements. The regulators have refocused on these issues in their exams. In this session, attendees will learn effective ways to identify and track conflicts of interest and employee reporting. Participants will be challenged to share their experiences to help others. 

This session is closed to both regulators and members of the press.

The following learning objectives will be met using case studies, examples, group discussions, and other application activities: 

• Review Conflicts of Interest Policies and reporting requirements.

• Obtain strategies for assessing conflicts, documenting, eliminating, mitigating, and disclosing conflicts of interest.

• Discuss best practices for managing conflicts of interest and employee reporting.

• Interact with peers to learn how others manage conflicts and employee reporting requirements.

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