Conflicts of Interest in Capital Markets and Investment Banking

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About This Course

This CLE program will discuss helpful tips and tools for managing conflicts of interest in capital markets and investment banking firms. Panelists will discuss practices that raise conflict of interest concerns and how to remedy these issues.

After attending this session, you will be able to:

  • Understand how some firms identify and mitigate risks associated with conflicts of interest
  • Apply practical compliance approaches to mitigate and monitor for conflicts of interest
  • Know of and explain certain informal and formal examination findings which highlight conflict of interest concerns.

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