• LOGIN
  • REGISTER

Money Management IndiaMoney Management India

  • Home
    • about
    • contact
  • insights
    • insights articles
    • the private wealth series
    • the private wealth series videos @vimeo
    • the alternatives series videos @vimeo
    • the fintech series videos @vimeo
    • podcast @anchor
  • Research
    • business directory
    • amc dossiers
  • Networking
    • events
    • discussions @twitter
    • career dossiers
  • membership

Category archive

Factors to consider in compliance monitoring program

15 April, 2015 by MMI Team
Using a tick-the-box approach for monitoring of conflicts of interests will probably lead to regulatory issues and reputational disasters. Wealth firms will need to have code of conduct and conflict of interests programmes adjusted so as to be appropriate for their business model. Conflicts of interests are everywhere. Firms in financial services, especially in wealth
  • Published in Business Issues
Tagged under: compliance, conflicts of interests

© All Rights Reserved
Terms

TOP