The SEC expects advisers to identify their conflicts of interest and assess risks associated with their advisory business. These tasks are not as simple as they sound, particularly since each adviser has unique factors that must be considered in its attempt to identify conflicts and risks. This web cast will:

• Discuss key risk areas identified by the SEC
• Provide tips on how to conduct and document a risk assessment
• Review the most common conflicts of interest
• Discuss best practices in mitigating conflicts and risks
• Explain why disclosure may or may not “cure” the issue