Key Details

Duration: 3 Hours
Delivery: Inhouse

Overview

This course provides an overview of the regulatory obligations relating to the identification and management of conflicts of interest within regulated firms.This awareness-level training explores the various types of conflicts that might arise within a firm’s activities and explains the regulators’ expectations, including both principles and specific rules governing conflicts....

This course provides an overview of the regulatory obligations relating to the identification and management of conflicts of interest within regulated firms.

This awareness-level training explores the various types of conflicts that might arise within a firm’s activities and explains the regulators’ expectations, including both principles and specific rules governing conflicts. It considers the need for firms to identify relevant conflicts and the rules relating to policies and record-keeping. It also explores ways in which firms might seek to manage conflicts of interest when they arise and sets out the conditions relating to disclosure of conflicts.

This course is suitable for all employees who require an overview of the topic and can be tailored to include reference to your firm’s specific policies and procedures. Where required, it can also be supplemented by additional face-to-face training for those members of staff who would benefit from more detailed and/or bespoke training.

  • Introduction
  • Rules and Expectations
  • Identifying Conflicts of Interest
  • Records and Policy
  • Managing Conflicts
  • Disclosing Conflicts