A New Look at Conflicts of Interest

Regina D. Stover
SVP and Chief Fiduciary Officer
Pittsburgh, Pennsylvania

This session includes a general overview of potential fiduciary conflicts of interest with specific focus on insider and related party transactions including use of affiliated broker/dealers and purchasing securities from affiliated underwriting syndicates. You will also learn about the potential conflicts with the use of material non-public information in the management of accounts, fiduciary versus investment management compensation, personal securities trading, use of soft dollars, voting proxies, and use of proprietary products.

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