Supervision and Disclosure of Conflicts of Interest

May 06, 2020
On Demand

Your desk!


This webcast is a part of ACA's free Spring Conference Webcast Series. In response to the impact the coronavirus (COVID-19) pandemic is having on our clients and the financial services industry, ACA has launched our Spring 2020 Compliance and Performance Conference in a virtual format.

On Demand

The SEC is very focused on investment advisers conflicts of interest and what firms are doing to mitigate those conflicts. Additionally, the SEC released a risk alert on conflicts of interest back in July 2019. The staff examined over 50 investment advisers with this focus area in mind and nearly all of the examined advisers received deficiency letters.

Panelists discuss the deficiency areas in the risk alert and what investment advisers can do to properly identify and mitigate their conflicts of interest.