The FCA outlines its expectations that asset management firms establish and maintain an effective framework to identify, control and review conflicts of interest.
In asset management, conflicts of interest can arise between different sets of clients, interests of a firm and those of a client or between personal interests of an asset manager and that of a firm or a client.
Our Conflicts of Interest in Asset Management Course explains how conflicts of interest may arise and best practice for managing them.
Available as part of our FCA Compliance Library.
This course will prepare you to:
- How to detect conflicts of interest
- Exercise: Conflicts of interest
- Conflict scenario 1
- Conflict scenario 2
- Conflict scenario 3
- Conflict scenario 4
- Conflict scenario 5
- No perceived price impact
- Pre-existing intentions
- Valuation errors
- Fair treatment in resolving errors
- Firm's participation in the trust
Approximately 30 minutes followed by a 10-question assessment.
Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.
SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via client style sheet.
All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.
Fully customisable on Skillcast Portal CMS.
Pre-translated versions not available, but all text content can be exported for translation into all languages.
Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.