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.

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Published In: Business Organization Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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