Conflict-of-Interest Mitigation
Recognition for publicly disclosing measures taken to mitigate conflicts of interest, including dealing desk independence, principal trading disclosure, and risk management separation.
Assessment Criteria
What We Look For
- Public disclosure of conflict-of-interest mitigation measures
- Statement on dealing desk independence or separation
- Disclosure of any principal/proprietary trading against clients
- Description of risk management governance structure
Evidence Requirements
What We Verify
- Direct URL to conflict mitigation disclosure
- Must go beyond regulatory minimum boilerplate
Scoring Weight: 15 points out of 100 total methodology points.
Results History
Winners by Quarter
No Award Issued
No nominee provided sufficient publicly verifiable documentation of conflict-of-interest mitigation procedures to meet our evidence threshold this quarter. While several nominees reference conflicts of interest in regulatory filings, none published dedicated public disclosure pages describing specific mitigation measures, dealing desk independence structures, or risk management governance beyond regulatory boilerplate.
No Award Issued
Pilot edition: formal awards were not issued. Conflict-of-interest disclosure remains the least developed area of broker transparency across the industry.