Personal Conflicts of Interest
The FCA states that a firm must manage conflicts of interest between itself and its customers or other clients. Firms need to take appropriate steps to identify and manage these conflicts.
A conflict of interest refers to competing interests that interfere with judgement exercised in a relationship. Personal or professional conflicts of interest could prevent services rendered independently or impartially.
Our Personal Conflicts of Interest Course explains how to recognise conflicts of interest that arise and how to manage these to comply with regulations and avoid the appearance of impropriety.
-
25 Minutes -
For all staff
-
UK
-
FCA Compliance Library
What you’ll learn in
this course
-
Recognise how conflicts of interest can arise
-
Know when to identify conflicts of interest in your role
-
Deepen your knowledge about the conflicts that can arise in personal account dealing
-
Recognise the implications of gifts and entertainment in relation to conflicts of interest
- Identify outside business interests
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
%20-ID.webp?)
-ID.webp?)
-ID.webp?)
%20Regulation%20-ID.webp?)
-ID.webp?)
%20in%20Financial%20Services_ID.webp?)
-ID.webp?)
%20and%20Investment%20Labels-ID.webp?)
%20Regulation-ID.webp?)
-ID.webp?)
%20and%20Designated%20Contract%20Markets%20(DCMs)-ID.webp?)
-ID.webp?)
