2014 NSCP National Conference – Washington, DC

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