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Control Your Conflicts: Strategies for Transparency & Integrity

APRIL 2024 | ON DEMAND

Regardless of jurisdiction, supervisors expect firms to act in the best interests of their clients. Linked to this expectation is the requirement that a firm must manage its conflicts of interest fairly, both between itself and its clients, and between one client and another. Additionally, firms need to manage conflicts that may arise from its employees (including directors and NEDs) and a firm’s activities. For example, how do you decide which supplier to use? Who's involved in the decision making?

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This on-demand webinar explores the topic of managing conflicts effectively within financial services.

Key Discussion Areas:

  • The importance of identifying and disclosing conflicts of interest
  • Regulatory requirements and compliance considerations
  • Understanding Conflicts of Interest
  • Best practices for mitigating conflicts and maintaining transparency
  • Strategies for ethical decision-making in complex situations
  • Case studies and lessons learned

Whether you’re a financial professional, compliance officer or industry stakeholder, this session offers valuable insights and practical guidance for navigating the ethical landscape of financial services.

Navigate conflicts with ease and enjoy crystal-clear compliance

Speakers

Priscilla Gaudoin

Priscilla Gaudoin

Head of Risk & Compliance

In a career spanning 27 years, Priscilla has worked as a consultant, CCO and MLRO providing regulatory oversight and advice to firms across the financial services industry. She is responsible for our thought leadership programme, writing regular articles and white papers, and hosting webinars on a variety of regulatory matters.

Her dual role also encompasses the oversight of risk management at Ruleguard.

She is a Fellow of the International Compliance Association, a certified GRC practitioner, and a member of the Institute of Risk Management.

Matthew Bruce

Matthew Bruce

Platform Director

Matthew is our Platform Director and leads the development roadmap for the Ruleguard platform.  He has 15+ years of experience in software development and has worked on Ruleguard since its launch.​

Matthew plays a key role in delivering a programme of features and improvements that continue to delight users and deliver tangible business value. He’s passionate about product management that balances strategic and tactical objectives.