Conflicts of Interest in Capital Markets and Investment Banking

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Ohio CLE
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Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a self-study established sponsor (sponsor number 14232) by the Ohio Commission on Continuing Legal Education. To view our full accreditation details please .

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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