Webinar: Policy to Practice: Mitigating Employee Conflicts of Interest
Overview:
Conflicts of interest are a persistent challenge for financial firms, carrying the risk of regulatory penalties, reputational harm, and loss of client trust. In this webinar, Policy to Practice: Mitigating Employee Conflicts of Interest, we will examine how firms can move beyond written policies to implement more robust and effective controls that manage actual, apparent, and potential conflicts with greater confidence.
Attendees will gain practical insights into key areas of risk, such as personal trading, MNPI, and gifts and hospitality (GEH), and learn what regulators expect in terms of oversight and internal safeguards. The session will also highlight enforcement examples and explore how RegTech supports proactive monitoring, employee attestations, and real-time conflict detection.
For more event details, please visit our website: https://www.legalbusinessonline.com/Conflicts_of_Interest
Registration
Please contact Fazlan for more information about the event:
Phone: +65 9381 8370
Email: fazlan.fuad@thomsonreuters.com
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