This Conflicts of Interest Register gives you a best practice template for recording conflicts of interest in your business. It enables you to meet the FCA expectation that you have documented all your conflicts of interest under Principles 3 and 8, and SYSC 10.
The template is designed to be completed by anyone working in your organisation, and has been carefully drafted such that someone with limited prior experience of conflicts of interest as it includes examples of conflicts, controls and actions. There are drop down menu’s based on industry standards, with notes for more complex firms needing to customise them.
This Conflicts of Interest Register covers the key areas of conflicts of interest:
The template gives you:
- The areas you must cover
- Explanation for what to record under each heading
- Worked examples for every type of conflict
- Best practice for recording conflicts of interest
The spreadsheet is completely customisable, free of any macro’s or coding, so you can just download and start recording.
Conflicts of Interest Register Template
This document is in Microsoft Excel (*.xlsx) format. It is also available from our store in Microsoft Excel 97-2003 (*.xls) format.