We can run this course inhouse or privately just for you and your colleagues.
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About the Course
Our managing conflicts course provides financial services staff with a comprehensive understanding of conflicts of interest and how to manage them effectively.
You will refresh your knowledge of existing framework for managing conflicts of interest.
Gain some practical tools and techniques for identifying and managing conflicts of interest in a compliant and ethical manner.
Build the knowledge and skills to maintain best practice in managing conflicts of interest.
This training course equips financial services staff with practical tools to identify and manage conflicts of interest effectively, while maintaining compliance and best practice. Refresh your knowledge and gain a deeper understanding of regulatory requirements with case studies and top tips.
Learning Outcomes
By the end of this training course, participants will be able to:
Describe the concept of conflicts of interest and explain why it is important for financial services s to manage them effectively
Understand the regulatory requirements and expectations relating to conflicts of interest management in the financial services industry
Identify and assess conflicts of interest that may arise in their day-to-day work
Develop and implement appropriate measures to manage conflicts of interest, including identifying must-have policies and procedures
Apply practical steps towards compliance and best practice in managing conflicts of interest, including understanding roles and responsibilities, and using case studies to identify hot topics relevant to their area of the business
Understand the implications of non-compliance with conflicts of interest regulations, and the potential consequences for both the firm and the individual staff member
Refresh their existing knowledge and update their framework for managing conflicts of interest to ensure it is up-to-date and fit-for-purpose.
Course Outline
This comprehensive training course is designed for financial services staff who need to establish a framework for managing conflicts of interest for the first time or refresh their existing knowledge. The course covers a range of essential topics, including an overview of conflicts of interest, regulatory requirements and expectations, must-have policies and procedures, practical steps towards compliance and best practice, and roles and responsibilities.
Through a combination of interactive discussions, case studies, and practical exercises, participants will gain a deeper understanding of how to identify and manage conflicts of interest effectively, while maintaining compliance and ethical standards.
The course provides participants with the necessary knowledge and skills to develop and implement appropriate measures to manage conflicts of interest in their day-to-day work, including the ability to assess and mitigate risks, identify and avoid potential conflicts of interest, and ensure the fair treatment of customers. In addition, participants will learn how to refresh their existing framework for managing conflicts of interest to ensure it is up-to-date and fit-for-purpose.
The course covers a range of hot topics relevant to the financial services industry, including the use of social media, conflicts of interest in mergers and acquisitions, and conflicts of interest in personal trading.
By the end of the course, participants will be equipped with practical tools and techniques to manage conflicts of interest effectively, while maintaining compliance and best practice. They will also have a deeper understanding of the regulatory requirements and expectations relating to conflicts of interest management in the financial services industry, as well as the potential consequences of non-compliance.
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 roles such as risk and compliance, front, back, and middle office personnel, board members, and senior managers.
About Your Trainer
Raj Rajani
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 miscondu