UKFS - Conflicts of Interest Training PDF - A Practical Guide For UK Financial Services Companies

A Practical Training Guide For UK Financial Services Companies

The potential for Conflicts of Interest (CofI) will always be present in your work, so it's important you know how to deal with them. 

This course will provide you with an understanding of your role in managing potential conflicts of interest.

A conflict of interest is not, in itself, evidence of wrongdoing. However, a conflict can become a legal, regulatory or reputational problem if it is not managed effectively.

If you are a UK incorporated company, the 2006 Companies Act Sections 175 to 177 states CofI, Gifts and Personal Interests as Directors Responsibility.

Sections of the Course

  1. What are “Conflicts of Interest”?
  2. Conflicts of Interest (CofI) and Ethical Threats
  3. Ethical conflict resolution
  4. Best practice – Conflict Management
  5. Workshop – CofI in practice
  6. Tools for managing/Mitigating CofI
  7. Think as a Compliance Professional
  8. Summary

Part 1

  • What are Conflict of Interests?
  • Where Are The Conflicts?
  • So, what is a Conflict of Interest?
  • Definitions
  • Briefly Touch On Regulatory Requirements
  • Types of Conflict
  • Regulatory, Legislative and 
  • Ethical Requirements

Part 2

  • What is Ethics?
  • Different types of Ethical Dilemmas
  • Ethical responses and Conduct Risk or TCF
  • Different Approaches to Ethics
  • Conceptual Framework
  • Ethical Threats and Safeguards

Part 3

  • Ethical Conflict Resolution
  • The Regulatory Requirement
  • Gifts, Sponsorship, Hospitality and Other Inducements
  • Inducements – A 9 Step Action Plan
  • Best Practice – Identified Conflicts
  • Disclosure
  • Managing Confidentiality
  • Managing Research

Part 4

  • CofI Workshop - Dilemmas to solve
  • Tools To Use
  • Think Like a Compliance Professional

8.93 MB PDF

GBP 1300.00

E-commerce by E-junkie