Identifying Conflicts of Interest for Broker-Dealers

December 2013


The Financial Industry Regulatory Authority (“FINRA”) recently published a Report on
Conflicts of Interest (hereinafter, the “Report”)1 wherein FINRA reviewed the conflicts
management practices of several large firms in order to better understand how the industry is
identifying and managing conflicts of interest in their practice. A conflict of interest can arise
when, in any relationship, there exists a duty of care or trust between two or more parties.
Conflicts occur frequently in the financial services industry, but it is the way in which a conflict
is identified and then managed that is of importance.


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