Introduction to Conflicts of Interest
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.
- Rules and Expectations
- Identifying Conflicts of Interest
- Records and Policy
- Managing Conflicts
- Disclosing Conflicts
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.