Series 34 Exam » Forex Regulatory Requirements » Conflicts of Interest

Conflicts of Interest

Conflicts of Interest

I am not sure what they are getting at here.  In general, all conflicts of interest would need to be disclosed.  The interpretive notices to Rule 2-29 and Rule 2-9 give us some insight into this general principal.

Interpretive notice to Rule 2-29: Disclosing conflicts of interest for securities futures products.

Firms must make sure they:

  • disclose all conflicts of interest
  • review promotional material; firms must make sure that promotional material is accurate and does not gloss over any conflicts of interest

Interpretive notice to Rule 2-9: Ethics training.

Ethics program should address: avoidance of conflicts of interest and proper disclosure and handling of conflicts of interest.

Study Guide >>Forex Regulations >> Conflicts of Interest

This entry was written by vbala, posted on June 4, 2009 at 3:19 pm, filed under Forex Regulatory Requirements. Bookmark the permalink. Follow any comments here with the RSS feed for this post. Post a comment or leave a trackback: Trackback URL.

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  1. By Forex Regulatory Requirements on June 29, 2009 at 6:17 pm

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