TRAINING > CONFLICTS OF INTEREST
Conflicts of Interest
The management of conflicts of interest has always been one of the key principles that underpins integrity of markets and the financial services industry. Principle 8 of the Principles for Businesses makes it a fundamental obligation of FCA regulated firms.
There has been an increasing focus on conflicts of interest and how effective firms management of conflicts with supervisory deep dives becoming more and more commonplace.
Below are details of the suggested course outlines for our more popular courses on conflicts of interest.
Suggested Course Content
Introduction to Conflicts of Interest
This course is for those who are relatively new to regulation, or whose business has changed such that conflicts is becoming a more complex area to manage, as well as those who need a refresher.
60 minutes
This training usually covers:
-
Practical steps towards compliance and best practice
-
Introduction to conflicts of interest
-
Who needs to comply with the requirements
-
The regulatory requirements
-
Lessons learned
Payment for Order Flow
This course is a deep dive into an area of conflicts that primarily arises amongst the broking sector
60 minutes
This training usually covers:
-
Background to PFOF
-
Regulatory perspectives on PFOF
-
How the conflict arises
-
When there may not be a conflict
-
Background to PFOF
-
Practical steps towards compliance and best practice
Managing Conflicts
This course is aimed at those who need to establish a framework for managing conflicts for the first time, or need to refresh their current framework
60 minutes
We suggest this course covers:
-
Refresher about conflicts of interest
-
Must have's
-
Choice of case studies covering hot topics relevant to your business
-
Top tips and practical steps towards compliance and best practice
-
Roles and responsibilities
Looking for something specific?
Let us know and we can discuss tailoring a course just for you.