Managing Conflicts of Interest: FCA Requirements & Best Practice

Introduction

This live and interactive session will provide a clear overview of conflicts of interest requirements under the regulatory framework set by the Financial Conduct Authority.

The regulator expects firms to identify, prevent, and manage conflicts of interest in a way that ensures fair treatment of customers and maintains market integrity. Firms must take all appropriate steps to avoid conflicts where possible and where they cannot be avoided, ensure they are properly disclosed and managed.

This live and interactive course will explore common types of conflicts that arise within financial services firms, including those related to remuneration, sales incentives, personal account dealing, and relationships with third parties. The session will also examine practical approaches to identifying conflicts at both an individual and organisational level.

Good practices identified by the FCA will be covered in detail, as well as practical techniques you can apply to strengthen your firm’s conflict-of-interest frameworks.

It will also consider how you can evidence effective conflict management for your firm through governance structures, documentation, staff training, and ongoing monitoring.

What You Will Learn

This live and interactive course will cover the following:

• Understanding conflicts of interest in a regulatory context
• Recognising common types of conflicts and the risks they present
• Understanding FCA expectations and good practices for managing conflicts
• Learning how to identify, prevent, and manage conflicts effectively
• Understanding the role of policies, registers, and governance in conflict management
• Practical ideas for strengthening controls and evidencing compliance within your firm

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.