Managing conflicts of interest is at the heart of most compliance failures.

Our conflicts of interest module allows for the proactive and reactive completion of conflicts disclosures by staff and external parties.

The focus on conflicts should be at the heart of every compliance officer as it is always one of the key issues that drives failures.  Our module is available as part of the Compliance Desktop | Compliance Technology Platform and can be used by any client as a part of their program.

We focus on helping companies with:

  • establishing their policy on conflicts and procedures surrounding disclosures
  • how to use the technology tools to collect disclosures
  • how to proactively check and search for conflict situations
  • How to investigate conflict situations when they happen

 

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The Compliance Desktop | Compliance Technology Platform has a module called Conflicts which is the technology support for most clients to enable their policy electronically.