National Society of Compliance Professionals
Panel Information
Date: Tuesday, October 21, 2014
Time: 2:00PM – 3:PM
Where: Gayload National Harbor Resort & Convention Center
Session 2b BD Conflicts of Interest
- Conflicts of Interest – everybody has them
- Aviod the black eye – find, address, monitor & mitigate
- Impact – fiduciary and confidentiality obligations
- How are you suppose to disclosre?
- Differences and similarities between large and small firms