For complex organizations, conflicts of interest can go way beyond the typical "outside employment" and "serving on a board" type of conflicts. You can maximize the use of disclosure manager by tracking and managing ALL of your conflicts across the organization, such as:
- ad hoc disclosures
- pre-hire disclosures (particularly handy for executives with employment agreements from former employers)
- tracking Reg O (for you finserv folks)
- tracking third party conflicts during new or renewing contracts (thanks, SR 1319 for this rule!)
- streamlining your FINRA OBA process
- tracking board and subsidiary board annual conflict exercise
Please sign in to leave a comment.