9a. BD/IA – Institutional Conflicts of Interest (Intermediate)

Addressing conflicts of interest remains an area of regulatory focus and scrutiny and firms need to identify and address various types of conflicts. This panel discussion will focus on broker-dealers and investment advisers with institutional business and the identification and treatment of conflicts of interest in light of applicable FINRA and SEC rules and interpretive guidance. The session will help participants identify potential institutional conflicts and review best practices for when to disclose, mitigate or eliminate institutional conflicts. FINRA?s 2013 Report on Conflicts of Interest will be reviewed.

Learning Objectives:

  • Distinguish the duties owed by BDs and IAs to institutional accounts in addressing conflicts
  • Discuss current regulatory rules and guidance addressing conflicts associated with institutional business
  • Identify potential institutional conflicts of interest and how best to address such conflicts
  • Understand the potential effect of OBAs on institutional business


Sponsored by:

Intermediate                        Program Level: Date: October 21, 2020 Time: 10:00 am - 11:15 am Brad Busscher Richard Chen

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