1
Type
Speaker
CPD Hours Level
Seminar 6 IntermediateInformation
Accreditation Information
SRA Competency A D

Introduction

This new full day course will be relevant to senior managers, compliance officers and compliance managers of FCA authorised firms.

It is designed for those who are involved in the operation and supervision of their firm’s compliance framework and who recognise that they need to bolster their knowledge around FCA requirements.

The course includes practical examples of conflicts of interest within the financial services sector and is an interactive session which will allow delegates to align the relevant FCA requirements to their own business environments.

What You Will Learn

This course will cover the following:

  • The definition of a conflict of interest
  • How to identify conflicts of interest within your own business
  • Inducements and their link to conflicts of interest
  • Gifts and hospitality and their link to conflicts of interest
  • How to manage and record conflicts of interest
  • Examples of poor management of conflicts of interest
  • How to avoid the pitfalls of getting it wrong

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Seminar | 17.04.2020

London | 9:30am - 5:15pm


Managing Conflicts of Interest for FCA Authorised Firms - A Practical Guide

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Apr
17
2020
London
9:30am - 5:15pm
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Prices (ex VAT)
Smart
Plan Information
£216
Season
Ticket Information
£240
Standard
£480
Group bookings
Discounts are available for multiple places and if you have 5 or more people interested in this course and would like to discuss holding it in your area or on an in-house basis then please email us at information@mblseminars.com
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