Michelle Jacko will be presenting, “Identifying and Managing Conflicts of Interest – With or Without the Rule” at the NSCP National Conference on October 16, 2017, from 1:55PM – 3:10PM (ET), in Washington, D.C.
This session will examine the rules regarding conflicts of interest and share ways to identify and manage various conflicts within the organization, which includes a discussion with or without the DOL Rule.
- Examine the current regulatory expectations, guidance and trends
- Discuss firms’ process for identifying, escalating and addressing conflicts and how the DOL Rule impacted process changes or refinements
- Explore and update regulatory efforts related to compensation/proprietary products inquiry, firm culture sweep, and recruitment disclosure
- Share recent enforcement actions and lessons learned
- Analyze dual registrant considerations for structure and governance