Conflict of Interest Remains Top SEC Priority


The SEC continues to identify conflicts of interest as a key focus of its risk-based strategy. In recent remarks before the National Society of Compliance Professionals, Carlo V. di Florio?Director, Office of Compliance Inspections and Examinations, reiterated that conflicts of interest are a top priority of the agency’s examination program.

LOADING PDF: If there are any problems, click here to download the file.