Regina D. Stover
SVP and Chief Fiduciary Officer
MELLON FINANCIAL CORPORATION
Pittsburgh, Pennsylvania
This session includes a general overview of potential fiduciary
conflicts of interest with specific focus on insider and related party
transactions including use of affiliated broker/dealers and purchasing
securities from affiliated underwriting syndicates. You will also learn
about the potential conflicts with the use of material non-public
information in the management of accounts, fiduciary versus investment
management compensation, personal securities trading, use of soft
dollars, voting proxies, and use of proprietary products.