A cornerstone of your anti-market abuse framework is a map showing where conflicts could arise in your business, the challenge is demonstrating that you have been thorough without needing a small army to manage it. You need it to be easy to demonstrate you have considered all areas of the business but not so high level that you cannot pinpoint higher risk areas. And not every business is big enough, nor can they afford to buy in a system and implement it.
The reality is that many businesses record their mapping on Excel, it’s flexible, relatively cheap and most staff know how to use it. Our Conflicts of Interest Register gives you an effective and cost efficient Excel template for recording conflicts of interest in your business.
Our Conflicts of Interest Register is designed to be completed by anyone working in your organisation. It’s simple so even people with limited prior experience of conflicts of interest will know how to use it.
Contained within your digital download are:
19 worked examples of conflicts, mitigation and actions
Comprehensive coverage of both personal and business areas of conflicts of interest
Drop down menu’s based on industry standards, with notes for more complex firms needing to customise them
Explanations for what to record under each column heading
Worked examples for every type of conflict
Best practice for mapping conflicts of interest
We also provide a template for a Conflicts Management Log which enables you to log individual conflicts.
Conflicts of Interest Register Template
This product is in Microsoft Excel (*.xlsx)