Personal Conflicts of Interest Course

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.

Start a Free Trial

Chevron Skillcast chevron graphic
Personal Conflicts of Interest

About this Course

This SCORM-compatible course is part of our FCA Compliance Library.

The library is available in the Skillcast Standard plan for larger companies or Skillcast Basic plan for those with under 50 learners.

Learning Objectives

This course will prepare your employees to:

  • Recognise conflicts of interest are
  • Know how to identify conflicts of interest in your role
  • Define personal account dealing
  • Recognise the implications of gifts and entertainment in relation to conflicts of interest
  • Interpret outside employment issues

Latest Course Updates

  • Course redesigned with a more modern feel
  • Full review conducted by an FCA expert
  • Text & image updates throughout the course

Course Outline


What are conflicts of interest?

Why are conflicts of interest important?

How might a personal conflict of interest arise?

- How might a corporate conflict of interest arise?

How to detect conflicts of interest

Identifying conflicts of interest

- Prevent it from arising
- Mitigation
- You decide: Mitigation 
- Disclose the conflict

Managing conflicts of interest

Personal account dealing

What does it mean if you have to comply with personal account dealing rules?

Reporting requirements

How is a request to trade considered?

- You make the call


Gifts - Over & under the limit

Entertainment without a business purpose

- You make the call

Outside business interests

- You make the call

Scenario: Personal Conflicts of Interest

- Trading by someone with whom you have a close relationship
- Community activity
- Directorship




Course Specifications



Approximately 30-minute long e-learning course 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 a 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.

FCA Course Library

Our FCA Course library of over 60 training modules covers everything from high-level and conduct of business standards to thematic topics, including treating customers fairly.

Start a Free Trial

Chevron Skillcast chevron graphic
FCA Course Library