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Conflicts of Interest

Banks providing asset management services may encounter a variety of actual or potential conflicts of interest. Banks acting as fiduciaries must put the interests of account beneficiaries before the interests of the bank.

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Conflicts of Interest (Comptroller's Handbook, January 2015)
Provides examiner guidance for evaluating risk management practices in place to control conflicts of interest and self-dealing


Related News and Issuances

03/06/2008 OCC 2008-5 Conflicts of Interest: Risk Management Guidance – Divestiture of Certain Asset Management Businesses