Cordium on Conflicts of Interest |

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Cordium on Conflicts of Interest

Advising hedge funds on enhancing policies

The SEC is shining the spotlight on conflicts of interest, with the agency’s Enforcement Division’s Asset Management Unit (AMU) prioritising the issue, setting out particular priorities, and pursuing enforcement actions that generally entail financial penalties - including fines and disgorgement of profits - but sometimes go further and censure, or strike off, individuals or even firms. “Many enforcement actions can ultimately be tied back to conflicts of interest,” explains Cordium Managing Director and Partner, Patrick Shea, who heads up Cordium’s compliance consulting division and runs the firm’s Boston office.

Having been a compliance lawyer in the investment industry for years, Shea has seen thinking on conflicts evolve. The aspiration to eliminate all conflicts in the 1960s has given way to a more pragmatic approach today. “Regulators have recognised that some conflicts of interest are inherent to the investment management industry. Though some conflicts can be eliminated, many of them need to be identified, mitigated, managed and disclosed,” he points out.

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