Return-Path: Delivered-To: edward@transocean.com Received: from vps.transocean.com by vps.transocean.com with LMTP id 2DPDJrm14FkuFAAAInt2oQ for ; Fri, 13 Oct 2017 05:46:49 -0700 Return-path: Envelope-to: edward@transocean.com Delivery-date: Fri, 13 Oct 2017 05:46:49 -0700 Received: from cy105.mta.exacttarget.com ([136.147.181.105]:56505) by vps.transocean.com with esmtps (TLSv1.2:ECDHE-RSA-AES256-GCM-SHA384:256) (Exim 4.89) (envelope-from ) id 1e2zMG-0001R2-4y for edward@transocean.com; Fri, 13 Oct 2017 05:46:49 -0700 Received: by cy105.mta.exacttarget.com id hs2qqk163hsi for ; Fri, 13 Oct 2017 12:45:45 +0000 (envelope-from ) From: "Compliance Trainer" To: Subject: Managing Conflicts of Interest in Financial Services Date: Fri, 13 Oct 2017 06:45:45 -0600 List-Unsubscribe: MIME-Version: 1.0 Reply-To: "Compliance Trainer" List-ID: <10962064_17549.xt.local> X-CSA-Complaints: whitelistcomplaints@eco.de x-job: 10962064_17549 Message-ID: Content-Type: multipart/alternative; boundary="BjIU0Gkp5Q2H=_?:" X-Spam-Status: No, score=-0.9 X-Spam-Score: -8 X-Spam-Bar: / X-Ham-Report: Spam detection software, running on the system "vps.transocean.com", has NOT identified this incoming email as spam. The original message has been attached to this so you can view it or label similar future email. If you have any questions, see root\@localhost for details. Content preview: onlinecompliancepanel-webinar-mailer-SF-LISA-MARSDEN-OCT31-EB http://cl.exct.net/?qs=1884bad140990407d8916083559dbe6478b7eb7a27452929adf32915315a32145e070c7a3341dce4936e988e3a492a11 Conflicts of Interest in Financial Services; Identify, Eliminate, Mitigate and Disclose LIVE WEBINAR Date: Tuesday, 31 October 2017 Time: 10:00 AM PDT | 01:00 PM EDT [...] Content analysis details: (-0.9 points, 3.0 required) pts rule name description ---- ---------------------- -------------------------------------------------- 0.0 URIBL_BLOCKED ADMINISTRATOR NOTICE: The query to URIBL was blocked. See http://wiki.apache.org/spamassassin/DnsBlocklists#dnsbl-block for more information. [URIs: onlinecompliancepanel.com] 0.0 HEADER_FROM_DIFFERENT_DOMAINS From and EnvelopeFrom 2nd level mail domains are different -0.0 RP_MATCHES_RCVD Envelope sender domain matches handover relay domain -0.0 SPF_PASS SPF: sender matches SPF record -1.9 BAYES_00 BODY: Bayes spam probability is 0 to 1% [score: 0.0000] 0.0 HTML_MESSAGE BODY: HTML included in message 0.2 KAM_LOTSOFHASH Emails with lots of hash-like gibberish 0.8 KAM_INFOUSMEBIZ Prevalent use of .info|.us|.me|.me.uk|.biz domains in spam/malware X-Spam-Flag: NO This is a multi-part message in MIME format. --BjIU0Gkp5Q2H=_?: Content-Type: text/plain; charset="utf-8" Content-Transfer-Encoding: 8bit onlinecompliancepanel-webinar-mailer-SF-LISA-MARSDEN-OCT31-EB http://cl.exct.net/?qs=1884bad140990407d8916083559dbe6478b7eb7a27452929adf32915315a32145e070c7a3341dce4936e988e3a492a11 Conflicts of Interest in Financial Services; Identify, Eliminate, Mitigate and Disclose LIVE WEBINAR Date: Tuesday, 31 October 2017 Time: 10:00 AM PDT | 01:00 PM EDT http://cl.exct.net/?qs=1884bad140990407d8916083559dbe6478b7eb7a27452929adf32915315a32145e070c7a3341dce4936e988e3a492a11 Call 510-857-5896 38780 Tyson Lane Suite 210 Fremont, CA-94536 Save upto 30% on registration* Hurry! offer closes onOctober 15, 2017 midnight.Call 510-857-5896 to know more. http://cl.exct.net/?qs=1884bad140990407d8916083559dbe6478b7eb7a27452929adf32915315a32145e070c7a3341dce4936e988e3a492a11 http://cl.exct.net/?qs=1884bad140990407319a97971a82795d10ed7f7f5812892ef9d9a39e646795b09f6093ee93474d8916411c2dd92e5dc2 mailto:customersupport@onlinecompliancepanel.com Conflicts of interest are a particularly important challenge for large financial institutions and asset managers with complex structures. 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Key Learning Objectives - How to Identify Conflicts of Interest - Eliminating the Conflict - Mitigating the Conflict - Disclosing the Conflict - Monitoring Conflicts http://cl.exct.net/?qs=1884bad140990407d8916083559dbe6478b7eb7a27452929adf32915315a32145e070c7a3341dce4936e988e3a492a11 View More http://cl.exct.net/?qs=1884bad140990407c02102f19000ad109fe2d49374113ee0ddbb6bcb9ec29a2d45d913cedfd327fce6a07c19d0c5e2f9 http://cl.exct.net/?qs=1884bad140990407d8916083559dbe6478b7eb7a27452929adf32915315a32145e070c7a3341dce4936e988e3a492a11 YES I am Attending http://cl.exct.net/?qs=1884bad140990407f2597dd3ab107a5940f52ddb7220b818a315f22fc30522ef49fd3cfd0807c7f65f0e95e803c565c1 NO I Want a Different Course http://cl.exct.net/?qs=1884bad140990407bdfc4a350579e0319c4bd6ceb9128c2523e3b3f67da9c3e346ca6d7c596dc566795f546baf69cd3f Lisa M. Marsden Owner, Coulter Strategic ServicesMs Marsden has been in the financial services industry for over 25 years. 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Conflicts of Interest in Financial Services; Identify, Eliminate, Mitigate and Disclose
LIVE WEBINAR
Date: Tuesday, 31 October 2017
Time: 10:00 AM PDT | 01:00 PM EDT
OCP_Logo
Call 510-857-5896
38780 Tyson Lane Suite 210 Fremont, CA-94536
Save upto 30% on registration* Hurry! offer closes on
October 15, 2017 midnight.Call 510-857-5896 to know more.
Conflicts of interest are a particularly important challenge for large financial institutions and asset managers with complex structures. Due to these firms’ extensive affiliations and the dynamic nature of their businesses, conflicts are constantly arising and changing. Conflicts that are deemed to have the potential or are likely to be perceived as having the potential to have a direct and significant affect on the research must be eliminated, mitigated, or managed. Learning what a conflict is and how it can be managed within the firm ultimately strengthens the firm's overall compliance program. Join this training program to learn how to identify, eliminate, mitigate and disclose conflicts of interest.

Key Learning Objectives
  • How to Identify Conflicts of Interest
  • Eliminating the Conflict
  • Mitigating the Conflict
  • Disclosing the Conflict
  • Monitoring Conflicts
instructorLisa M. Marsden
Owner, Coulter Strategic Services
Ms Marsden has been in the financial services industry for over 25 years. Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.
View More
Similar On-Demand Webinar 
Advanced Financial Statement Analysis - Liquidity, Activity, Leverage, Operating Performance, Cash Flow, Z-Score and Case Studies 
View More
Workshop 
Statistical Techniques for Medical Device Manufacturers 
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