transcript   Transcript

Approaching Conflicts in Financial Services Firms

Recorded on: Nov. 13, 2017
Running Time: 00:58:54

Full Transcript:

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Taken from the Web Program Taken from the Web Program Financial Services Industry Regulatory Compliance Forum 2017 recorded November 2017 in New York

Approaching Conflicts in Financial Services Firms [00:58:54]
  • Maintaining a global conflicts program
  • Identifying conflicts
  • Mitigating conflicts
  • Recent enforcement cases
Clifford E. Kirsch, Scott M. Kirwin, Scott Weinstein

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • FINRA Report on Conflicts of Interest (October 2013)
    Clifford E. Kirsch
Presentation Material
  • Approaching Conflicts in Financial Services Firms
    Clifford E. Kirsch, Scott M. Kirwin, Scott W. Weinstein
    Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
    Scott M. Kirwin ~ Vice President & Associate General Counsel, Fidelity Investments
    Scott W. Weinstein ~ Vice President, Corporate Compliance, New York Life Insurance Co
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