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Conflicts of Interest

Deepening your understanding of complex areas of regulation and  best practice standards

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 curriculum for our more popular courses on conflicts of interest. To obtain prices and availability please complete our training request form.

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:

  • Introduction to conflicts of interest

  • Who needs to comply with the requirements

  • The regulatory requirements

  • Lessons learned

  • Practical steps towards compliance and best practice

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

This training usually 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

Can't find what you were looking for?

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