Conflicts of interest a key concern for Finra

Management of conflicts of interest needs attention, says regulator

Roberto Setola

Improper management of conflicts of interest is a big risk for the financial sector, the OpRisk Europe conference in London heard this week. Roberto Setola, head of operational risk at the US Financial Industry Regulatory Authority (Finra), told delegates that over the past few years, regulators in both the US and Europe have agreed that this is a serious concern for the industry, and it has become a key priority for Finra.

One of the main features of the issue for Finra is ensuring that a firm

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Investment banks: the future of risk control

This survey report explores the current state of risk controls in investment banks, the challenges of effective engagement across the three lines of defence, and the opportunity to develop a more dynamic approach to first-line risk control

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