Session 6a. BD/IA – Conflicts of Interest

This session will focus on the identification, mitigation, disclosure and management of conflicts of interests for both broker-dealers and investment advisers.  The focus will be on offering insights, as applicable, into conflict identification, risk mitigation, disclosure, reporting, and internal controls. The panel will also address how to conduct and prepare a conflicts of interest inventory.  Recent SEC and FINRA focus areas and guidance will be covered.

Learning Objectives:

  • Determine conflicted relationships with clients, affiliates, employees, and service providers
  • Follow the money to identify potential conflicts such as revenue sharing, rebates, mark-ups, etc.
  • Learn how to mitigate, remove, or at least adequately disclose, identified conflicts
  • Determine the applicable reporting requirements and how to document supervision of such conflicts (policies, procedures and testing)