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The weekly news source for investment management legal and compliance professionals

News October 29, 2018 Issue

Procedures Designed to Prevent Conflicts of Interest are Not Just for Show

Conflicts of interest are among the big red flags that the SECís Division of Enforcement looks for when investigating advisers. Firms that disclose such conflicts to clients and adopt procedures to handle the conflicts can avoid compliance problems, while at the same time build trust with both existing and prospective clients. But when advisers violate their own procedures and then fail to disclose that they did so, they will not only damage or lose that trust, they are likely to draw in investigators.

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