oct 22, 2012 - Carlo V. di Florio Delivers Speech to the
National Society of Compliance Professionals
Description:
Carlo di Florio illuminates "the role of risk management and risk controls within firms in identifying and managing conflicts of interest, especially the significance of managing conflicts of interest for the criteria laid out in SEC and FINRA compliance program rules and the U.S. Federal Sentencing Guidelines on effective compliance and ethics programs."
Added to timeline:
Fiduciary Compliance
Date:
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