Managing Conflicts of Interest in Financial Services - Essential Knowledge in 30 Minutes

Introduction

How could your business activities create a conflict of interest? Either between your firm and a client, between one client and another, or between your staff and their duties to you and your clients? With an obligation to, at the very least, treat customers fairly, how do you ensure you can prove to have fulfilled your duties?

This bitesize webinar explores three critical areas: identification, where we demystify the different types of conflicts within financial services - from Firm vs. Client tensions to employee personal account dealing - and show you how to spot ‘material risks’ before they become regulatory breaches; Management & Mitigation, where we navigate the complexities of the ‘Avoid, Manage, Disclose’ hierarchy, explain why disclosure should be a last resort, and outline how to implement robust organisational barriers and controls; and Record Keeping, where your obligations around the Conflicts of Interest Register need to be clarified, what must be documented, the importance of maintaining a strong audit trail and how to evidence a genuine culture of compliance.

What You Will Learn

This short webinar will cover the following:

• Regulatory Overview: The importance of SYSC and COBS rules to regulated firms
• Identification: Where conflicts hide (Remuneration; Inducements; Allocation)
• Control Frameworks: Information barriers, segregation of duties, and independence
• Disclosure: When and how to communicate a conflict clearly, fairly, and without misleading the client
• Practical Application: Real-world scenarios and best practices for maintaining the Conflicts Register

This pre-recorded webinar will be available to view from Thursday 14th May 2026

Alternatively, you can gain access to this webinar and 2,100+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.