Divided Loyalties: Ethics, Conduct & Conflict of Interest Management in the Current Regulatory Environment

Arnold & Porter’s Financial Services practice advises domestic and internationally headquartered banks and other financial institutions on the full range of regulatory, compliance, and enforcement matters. Our team helps clients design and strengthen compliance programs that address employee ethics, conduct risk, and conflicts of interest, including gifts and entertainment, expenses, vendor selection, and insider lending. We guide institutions through evolving supervisory expectations from federal and state banking regulators, drawing on deep experience in examinations, investigations, and enforcement matters. This session reflects our commitment to helping financial institutions identify emerging risks, such as prediction market activity, and build practical, defensible governance frameworks.

Anthony Raglani is moderating a panel of industry experts and compliance officers that will discuss best practices for addressing and managing employee ethics, conduct, and conflicts of interest, including lending, client entertainment, gift acceptance, expenses, vendor selection, and prediction market activity.