Conflicts of Interest in Asset Management

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.

Start your trial Course details

30 Minutes
All staff
Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.
FCA Compliance Library

Learning objectives

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

Welcome

What are Conflicts of Interest in Asset Management?

Why are conflicts of interest important?

MiFID II

What are conflicts of interest?

How to detect conflicts of interest
Exercise: Conflicts of interest

Red flags

Conflict scenario 1
Conflict scenario 2
Conflict scenario 3
Conflict scenario 4
Conflict scenario 5

Managing conflicts of interest

Exercise: Managing conflicts
Scenario: Priority of transactions
No perceived price impact
Pre-existing intentions

Scenario: Aggregation

Scenario: Systems & controls

Valuation errors
Fair treatment in resolving errors

Scenario: Double charging

Firm's participation in the trust

Scenario: Incentive-schemes

Scenarios: Gifts & entertainment

Scenarios: Outside business interests

Summary

Affirmation

Assessment

Your questions, answered

Common FAQs

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What other tools are needed beyond training?

A comprehensive compliance solution often needs more than just training. Alongside e-learning, tools like declarations, surveys, and registers that track compliance tasks are usually essential. Skillcast provides full support to help you set up these additional tools.

Is our training content still compliant with the latest legislation?

You can check the latest course content updates in our library updates page: https://www.skillcast.com/compliance-course-library-updates
For major legislative changes, we:
- Will send you email alerts to ensure you are notified
- Offer you a free trial of newly created or updated content
- Host webinars with compliance experts to explain the changes and how our training supports your ongoing compliance

Can you translate our content into other languages?

Yes, we offer translations in a wide range of languages. Let us know your needs, and we’ll confirm availability or work with you to plan translations for your selected modules.

How can I give employees a secure way to record suspicious activity so we can act quickly?

Our Suspicious Activity Register allows staff to log concerns or irregularities they observe, helping you detect potential issues early. The secure register can be reviewed by compliance teams, enabling prompt investigation and action.

What file types are supported by the Skillcast system?

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CPD evidence	File types: Word, PDF, Excel and CSV. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB
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Declarations	JPG, JPEG, PNG, GIF, XLS and XLSX files

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Non-financial misconduct is behaviour that is unrelated to regulated activities, including serious offences such as harassment, bullying, sexual discrimination and sexual misconduct.

CASS 10 - CASS Resolution Pack

A CASS Resolution Pack (RP) contains a specific set of documents that helps speed up client money and assets return if a firm fails.

CASS 6 - Custody Rules

The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.

CASS 7 and 7A - Client Money Rules and Client Money Distribution and Transfer

The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.

CASS 8 - Mandates

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.

CASS 9 - Information to Clients

Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned.

COBS - Appropriateness

The FCA's Conduct of Business Sourcebook (COBS) applies to financial firms that deal with customer investments on an execution-only basis.

COBS - Client Communications High Risk Investments

The Conduct of Business Sourcebook (COBS) rules that relate to client communication apply to all promotional communications that investment firms have with their clients and prospects.

COBS - Suitability

The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.

Control of Substances Hazardous to Health (COSHH)

Educate your staff on the risks of using hazardous substances as well as what they should do to prevent accidents and incidents when using them.

In-depth 30 Minutes Health & Safety All staff

Electricity

Educate your staff on the controls your Company has in place and what they should do to stay safe and manage the risks associated with electricity and electrical devices.

Fire Warden Training

Gain a comprehensive understanding of your role as a fire warden, which encompasses not only how to respond effectively in the event of a fire but also proactive measures to prevent such incidents from occurring.

In-depth 30 Minutes Health & Safety All staff

Lone Working

Lone working offers greater flexibility, autonomy and creates a broader talent pool for businesses.

In-depth 25 Minutes Health & Safety All staff

New and Expectant Mothers at Work

Being a new or expectant mother is an exciting time.

In-depth 15 Minutes Health & Safety All staff

Noise

Educate your staff on the controls that your Company has in place and what they should do to prevent exposure to noise at work.

In-depth 25 Minutes Health & Safety All staff

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation in Finance

The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.

Records Management

Records management involves the process of how employees create, store, archive and dispose of business records.

In-depth 20 Minutes DORA All staff

Responsible Use of Artificial Intelligence

Companies are committed to ensuring the ethical and responsible use of AI technologies.

In-depth 30 Minutes Cybersecurity All staff

Sustainability Disclosure Requirements (SDR) and Investment Labels

The introduction of sustainability rules aims to enhance the transparency and credibility of financial products with sustainability objectives.

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) exist as part of the US response to the financial crisis.

Understanding Failure to Prevent Fraud (FTPF)

Learn how the Failure to Prevent Fraud offence works, what it means for our Company, and how you can help reduce risk by recognising fraud and supporting prevention procedures.

In-depth 30 Minutes Failure to Prevent Fraud All staff

Browse the complete CoreCompliance training package

Conflicts of Interest in Asset Management

Learning objectives

What can you expect your employees to learn?

Welcome

What are Conflicts of Interest in Asset Management?

Why are conflicts of interest important?

MiFID II

What are conflicts of interest?

Red flags

Managing conflicts of interest

Scenario: Aggregation

Scenario: Systems & controls

Scenario: Double charging

Scenario: Incentive-schemes

Scenarios: Gifts & entertainment

Scenarios: Outside business interests

Summary

Affirmation

Assessment

Start your compliance e-learning journey with a free trial

Your questions, answered

Are Skillcast courses SCORM-compliant?

What other tools are needed beyond training?

Is our training content still compliant with the latest legislation?

Can you translate our content into other languages?

How can I give employees a secure way to record suspicious activity so we can act quickly?

What file types are supported by the Skillcast system?

Features

Supported file types and details

Compliance starts here

Conflicts of Interest in Asset Management

Learning objectives

What can you expect your employees to learn?

Welcome

What are Conflicts of Interest in Asset Management?

Why are conflicts of interest important?

MiFID II

What are conflicts of interest?

Red flags

Managing conflicts of interest

Scenario: Aggregation

Scenario: Systems & controls

Scenario: Double charging

Scenario: Incentive-schemes

Scenarios: Gifts & entertainment

Scenarios: Outside business interests

Summary

Affirmation

Assessment

Start your compliance e-learning journey with a free trial

Your questions, answered

Are Skillcast courses SCORM-compliant?

What other tools are needed beyond training?

Is our training content still compliant with the latest legislation?

Can you translate our content into other languages?

How can I give employees a secure way to record suspicious activity so we can act quickly?

What file types are supported by the Skillcast system?

Features

Supported file types and details

Related courses

Data Protection

Preventing Sexual Harassment

Anti-Bribery Training

Equality and Diversity in the Workplace

Anti-Money Laundering & Counter-Terrorist Financing

Information Security

Modern Slavery

Fraud Prevention

Anti-Money Laundering

Cybersecurity

Bribery Prevention

Working Safely

Preventing the Facilitation of Tax Evasion

Financial Sanctions

Market Abuse Regulation

Bribery Prevention

Phishing

Fire Safety

Preventing the Facilitation of Tax Evasion

Healthy Working

Gifts and Hospitality

Digital Operational Resilience Act (DORA)

Mental Health at Work

Information Security

Embargoes and Sanctions

Working Safely

Customer Due Diligence

Safeguarding the Vulnerable

Preventing Sexual Harassment for Managers

Anti-Competitive Agreements

Good Outcomes for Vulnerable Customers

Overview of the Consumer Duty

Whistleblowing in Financial Services

Complaints Handling in Financial Services

Treating Customers Fairly in Financial Services

Personal Conflicts of Interest

Introduction to UK Financial Regulation

Operational Resilience

CASS Overview

Understanding Modern Slavery

Gifts and Hospitality

Spot a Phishing Attempt

Abuse of Position

Whistleblowing

Money Laundering Red Flags

Business Email Compromise

Speak Up

Display Screen Equipment

Identity Fraud

Slips and Trips