Compliance Communications Blog

"Taking Conflict of Interest Knowledge to the Board"



9/15/15: An article by Jeffrey Kaplan and Rebecca Walker takes on the idea that instruction on conflicts of interest issues primarily moves from the compliance office to the troops. In the article, they make an unassailable case that “Board members have a particular need to understand...conflict issues because their job is to resolve conflicts between management and shareholders.” It’s a good article, moving effortlessly from setting COI rules to blatant and subtle examples of COI risk areas. Check the author’s notes for Walker’s book on the topic and Kaplan’s always-worthwhile COI blog.

Click Here to Read the Article

Subscribe To The Communicate Compliance Blog

Essential Tips And Insights For Compliance Professionals