Conflicts of Interest: Institutional Focus

Overview

This course discusses the rules for monitoring and avoiding conflicts of interest with your clients. The conflicts we will explore involve insider trading, gifts and gratuities, outside business activities, and supervision. It covers how to review and monitor these activities to uncover potential or active conflicts and to ensure that the activity is stopped and measures are put in place to keep it from occurring in the future

Learning Objectives

Students who successfully complete this course will be able to:

  • understand insider trading
  • understand gifts and gratuities
  • understand outside business activities
  • understand supervision

Designed for

Institutional

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