About the Course
Our Conflicts of Interest course provides practical guidance on compliance and best practice, as well as an introduction to conflicts of interest and regulatory requirements.
Gain practical guidance on compliance, conflicts of interest and regulatory requirements. Perfect for employees who are new to regulation or need a refresher.
By the end of this training course, participants will be able to:
Understand the practical steps towards compliance and best practice.
Identify the key elements of conflicts of interest and how to manage them.
Determine who needs to comply with the requirements.
Explain the regulatory requirements and how to meet them.
Learn from previous experiences and lessons learned.
Our short training course provides practical steps towards compliance and best practice in addition to an introduction to conflicts of interest and regulatory requirements. This course is perfect 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.
Participants will gain a clear understanding of the key elements of conflicts of interest and how to manage them effectively.
The course will also cover who needs to comply with the requirements and provide guidance on the regulatory framework in which conflicts of interest are governed. Additionally, attendees will learn from previous experiences and lessons learned, including case studies and practical examples.
By the end of the course, participants will be equipped with the knowledge and tools necessary to confidently manage conflicts of interest within their organization, ensuring compliance with regulatory requirements and best practice.
Required Knowledge and Skills
The course is suitable for anyone in the financial services industry. This course can be adapted so that it specifically addresses individuals working in specific financial services ing roles such as risk and compliance, front, back, and middle office personnel, board members, and senior managers.
About Your Trainer
Rajeshri is a Fellow Chartered Accountant with experience in Forensic Accounting and Expert Witness work in fraud and financial crime. Raj has worked on highly complex criminal cases with the FCA and SFO, as well as firm and individual regulatory misconduct.
Raj is also an associate member of the Academy of Experts and has provided expert reports on fraud related matters.