Webinar: Keeping a Grip on Employee Conduct and Conflicts of Interest

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1 October 2020 12:00 - 13:00 EDT (17:00 BST, 18:00 CEST)
United States

Employee conduct risk and conflict of interest (COI) is a crucial area for financial institutions due to the reputational and regulatory risks. Employee COI is a complex area involving multiple roles, policies, and regulators. Unchecked, employee COI and unethical sales practices can rise to the level of enterprise risk with the potential for significant regulatory actions, fines and reputational risk.

Join us for this live webinar during which our expert panel will offer insight into important industry trends, best practices, and what organizations should do to minimize non-compliance risk.

Event details

Capital Markets, Corporate Banking, Life & Health Insurance, Property & Casualty Insurance, Retail Banking, Wealth Management
Geographic Focus
North America