Conflicts of interest present risks across a wide range of activities. Conflicts can be actual or perceived and if not properly addressed can lead to poor conduct, poor client outcomes, regulatory breaches and reputational damage. Managing conflicts of interest goes to the heart of preventing inappropriate conduct.
This training pack allows you to train your fellow compliance colleagues as well as your front office, sales, trading and dealing desks on the various types of conflict including personal and business conflicts. Taking delegates through how to identify and manage conflicts through to what the FCA expects.
The materials assume no knowledge about the FCA or market abuse. It deliberately avoids using regulatory references and explains key regulatory terminology in a business context so that it is comprehensible to those outside of regulation and compliance.
The speaker's notes are written as a verbatim script you can read word for word and deliver a good quality session.
The slides use basic Microsoft PowerPoint objects and colours that are editable. So you could easily apply your corporate branding or PowerPoint formats. The slides in this masterclass also include some colourful diagrams and images using Microsoft PowerPoint SmartArt to make the training more accessible to your audience.
The training pack comprises 10 slides and covers:
- The basics
- Identifying and managing conflicts
- FCAs approach
Slides and speaker notes are fully editable by you with standard MS Office fonts and graphics.
The pack should be relatively straightforward for someone outside the UK, and not familiar with the UK regime, to follow and deliver. A train the trainer session can be booked separately by completing a Training Request.
Conflicts of Interest Training Slides and Script
This file is in Microsoft PowerPoint Presentation (*.pptx) format. It is also available from our store in PowerPoint 97-2003 Presentation (*.ppt) format.