Managing Conflicts of Interest for FCA Authorised Firms - A Practical Guide
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
Please let us know if you wish to be notified.
Please let us know if you wish to be notified when new dates are added for this programme