Conflicts of Interest in Asset Management
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30 Minutes -
For all staff
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UK
The FCA expects asset management firms to maintain an effective framework for identifying, controlling and reviewing conflicts of interest. This 30-minute course explains what conflicts are and how they appear specifically in asset management, including between different sets of clients and between client and firm interests, and covers how to identify and manage them.
Asset management conflicts are structural rather than occasional: allocation between funds, dealing commission, cross trades, personal account dealing and fee structures all create them. The FCA has reviewed this area repeatedly and found frameworks that exist without functioning. Training investment, dealing and support staff to recognise conflicts in their own decisions is what gives the framework something real to control.
What you’ll learn in
this course
- Explain what conflicts of interest are and how they are manifested in the asset management business
- Know how to identify conflicts of interest
- Understand how to manage conflicts of interest
- Comply with the required systems and controls for managing conflicts of interest
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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