Transcription of Report on Conflicts of Interest - October 2013
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Report on Conflicts of Interest - October 2013
A Report FROM THE FINANCIAL INDUSTRY REGULATORY AUTHORITY Report on Conflicts of InterestREPORT ON Conflicts OF Interest October 2013 October 20131 EXECUTIVE SUMMARYC onflicts of Interest can arise in any relationship where a duty of care or trust exists between two or more parties, and, as a result, are widespread across the financial services industry. While the existence of a conflict does not, per se, imply that harm to one party s interests will occur, the history of finance is replete with examples of situations where financial institutions did not manage Conflicts of Interest fairly. Indeed, many of the foundational pieces of legislation governing financial services in the United States contain provisions crafted precisely to address conflict Report focuses solely on broker-dealers, the entities the Financial Industry Regulatory Authority (FINRA) regulates.
2 REPORT ON CONFLICTS OF INTEREST—OCTOBER 2013 The enterprise-level framework discussion examines how firms address conflicts across their business lines from a top-down perspective. The new product and new business discussion explores how firms
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