Conflicts of Interest in Capital Markets and Investment Banking

Accreditation Wreath Icon AL
SKU: SEC015
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Conflicts of interest in capital markets and investment banking firms are more and more common. This CLE course will offer useful and effective tips and strategies for managing these conflicts from how to raise concerns to how to find remedies when conflicts arise.

The course will present methods that firms may use to identify and mitigate risks associated with conflicts of interest as well as apply practical compliance approaches when they arise.

The course will offer formal and informal examination findings which serve to highlight conflict of interest concerns.

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