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A fundamental control within your anti-market abuse framework, your challenge is demonstrating that you have documented all your conflicts of interest, and not every business is big enough, nor can they afford to buy in a conflicts management system and implement it.​

Our Conflicts Management Log is designed to be completed by anyone working in your organisation. It’s simple and includes examples of conflicts, decisions, and actions. so even people with limited prior experience of conflicts of interest will know how to use it.​

There are drop down menu’s based on industry standards, with notes for more complex firms needing to customise them. The log could be locked or held centrally by a function such as Compliance so that the content cannot be altered or deleted once logged.​

Download our digital pack to get:​

  • A template for individuals to notify about individual conflicts, with sections for line manager and compliance review​

  • A template to log all the individual notifications​

  • Explanations for what to record under each column heading​

  • Worked examples for every type of conflict​

  • Comprehensive coverage of both personal and business areas of conflicts of interest​

  • Best practice for recording individual conflicts of interest​

  • Pre-set menus of types of conflict​

  • Instructions on how to tailor the template for your business​

We also provide a template for a Conflicts Register which enables you to map out your business conflicts and so meet regulatory expectations that you have a conflicts register.

Conflicts Management Log

Excluding VAT
  • This product is in Microsoft Excel (*.xlsx)

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