9g. IA/PF Lab – Conflicts of Interest & Employee Reporting Requirements (SESSION IS FULL!)


This interactive session will focus on the identification and management of conflicts of interest for investment advisers. The session will highlight best practices regarding typical conflicts of interest advisers encounter (client/firm, client/employee, and client/3rd party). Both internal and regulatory reporting requirements will be addressed.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Obtain practical strategies and guidance for assessing conflicts, eliminating, mitigating, and disclosing conflicts of interests.
• Practical guidance for maintaining a conflicts of interest inventory
• Review Conflicts of Interest Policies and reporting requirements, including outside client relationships
• Learn how your peers in compliance are managing conflicts

Sponsored by:

Lab                        Program Level: Intermediate Date: October 23, 2019 Time: 9:45 am - 10:45 am Adán Araujo Jennifer Dickinson