Conflicts of Interest Management Questions

Knowledge of frameworks and controls to identify, disclose, and manage conflicts of interest for employees, officers, and third parties. Topics include policy design, required financial and non financial disclosures, pre approval and waiver mechanisms, restrictions on outside business activities, related party transaction reviews, employee trading restrictions, monitoring and surveillance, escalation and remediation protocols, and recordkeeping. Candidates should be able to propose pragmatic disclosure workflows and enforcement approaches that balance operational needs with integrity.