Lecture “Conflicts of Interest”

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Lecturer: Michael Hogan

Conflicts of Interest

“In this lecture, we will explore the importance of conflicts of interest in compliance programs. At the base of the notion of conflicts of interest is a recognition that different people and entities in business relationships are motivated by varying, and often conflicting, interests and incentives. A bank, for example, is interested in making money as inexpensively as possible, while a depositor of the bank is interested in ensuring that as little risk as possible is taken in respect of her money on deposit. In this classic example, laws and regulations have been adopted to strike a compromise between the interests of the bank, the depositor, and other interested parties (including the government). Compliance programs seek to maintain the requirements of the rules and regulations while ensuring their spirit is maintained through appropriate procedures. In the modern world, we have experienced several crises in which conflicts of interest figured prominently. In several situations, individuals have been held accountable under the law. The topic thus remains important and timely.”

About the lecturer:

  • Chief Compliance Officer da Charles Schwab Investment Mgmt;
  • Managing Director at Charles Schwab & Co.
  • More than 35 years of professional experience working in financial industry in the areas of compliance, risk management, banking and legal in companies as Brown Brothers Harriman & Co., Wellington Management Company LLP and Charles Schwab; 
  • Juris Doctor by Suffolk University Law School;
  • Master by Lindenwood University e Degree by Bates College;
  • Holds FINRA Series 7 license
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