Conflicts of Interest Workshop
The presence of Conflicts of Interest within firms continues to be a primary area of concern for regulators everywhere and it plays an important part in the Conduct Risk agenda.
Firms are obliged to identify potential Conflicts of Interests, and to prevent these from having a detrimental effect on their clients’ interests. Firms are also required to implement a Conflicts of Interest policy, formally documenting their approach to the management of Conflicts.
Whilst it is a regulatory obligation for authorised firms, the identification and management of potential Conflicts of Interest is not always easy, particularly in integrated firms offering multiple services to a broad range of clients.
This one-day course is packed with case studies to demonstrate how Conflicts of Interest can arise. It explores the rules and the regulator’s expectations, as well as the practical steps required to successfully identify and manage Conflicts.
Who is this for?
The course is particularly suitable for junior Compliance staff (typically those with 1-3 years of experience) who wish to further develop their knowledge and professional skills. It is also useful for more experienced Compliance staff who might need a refresher on conflicts of interest.
After attending this course, participants will:
- Know what constitutes a Conflict of Interest
- Understand where in an integrated firm Conflicts of Interest can arise, and whose responsibility it is to identify and manage them
- Know what the Compliance function should be doing to spot potential Conflicts
- Understand practical techniques for Compliance Officers in managing different types of Conflict
- What is a Conflict of Interest?
- Where can Conflicts of Interest arise in my firm?
- Whose responsibility is it to identify and manage Conflicts of Interest?
- What should Compliance be doing to spot potential Conflicts of Interest?
- What practical techniques can Compliance use to manage Conflicts of Interest successfully?
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.