This is a template for a Conflicts of Interest Register. The template gives you best practice and a steer 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. Although designed for FCA regulated firms the approach taken is global best practice which we’ve seen used in global banks and so it should work for most jurisdictions.
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 provides comprehensive coverage of both personal and business areas of conflicts of interest. For example, transactional conflicts, outside business interests, fund manager conflicts.
The template gives you:
- The areas you must cover under FCA rules
- Explanations for what to record under each column 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)