Conflicts Of Interest Training course

Conflicts of Interest Course Outline

conflict of interest compliance log risk mitigation management

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What Makes Compliance Consultant Courses Different

We have been delivering training for over 20 years and this is one of our core competencies. We believe we are experts on this topic and having delivered training to a wide range of firms and businesses, we are certain we know the topic as well as anyone in the market place.
Conflicts of Interest always seems to many to be a nebulous or esoteric subject that is only for board and senior management; we will show you everyday workplace examples or situations.
Your course director is a highly successful, qualified and experienced executive who will pass on past experiences and “war stories” generally to enhance the workshop and help bring it to life.
We do not use academics. All our trainers are highly experienced professionals with relevant qualifications and vocational experience in the real world.
We have delivered many core governance, risk and compliance courses over recent years and have a very clear understanding of what good and bad look like and the consequences, intended or not, of poor decision making.
Additionally, participant feedback informs us in both a precise and timely manner what the current dilemmas and challenges are.
We have developed highly interactive and very enjoyable case studies to enhance the learning points. All delegates report that these are a high point.
We are always judged by our results which speak for themselves and the feedback received from previous delegates has always been excellent.

Course Objectives

To be able to identify conflicts of interest effectively in a timely, professional and first-class manner
To appreciate the ethical approach to conflicts of interest and why it is critically important
To understand the legal and regulatory framework
To recognise the need for a clear line of communication between operations and senior management for managing conflicts of interest
To recognise good practice
To avoid poor, sloppy or ineffective management of conflicts of interest
Be able to define an effective and comprehensive conflicts of interest policy
Learn how to identify unexpected consequences or hidden conflicts of interest
Be able to identify the best response
Be able to create a clear and auditable method for managing conflicts of interest to ensure transparency
Think like a compliance professional and make sure you have all the right information

Course Content

Session 1

What are “Conflicts of Interest”?

Definitions of conflicts of interests;
Identifying and recording interests;
Conflicts of Interest in the Workplace
Conflicts of Interest by Boards of Directors
FCA Conflicts of Interest
FCA – Types of Conflicts
FCA – Record of Conflicts
FCA – Managing Conflicts
FCA – Disclosure of Conflicts
The relevant legal framework surrounding conflicts of interests;

Session 2

Conflicts of Interest (CofI) and Ethical Threats

What is Ethics?
Different types of Ethical Dilemmas
Ethical responses and Conduct Risk or TCF
Different Approaches to Ethics
Conceptual Framework
Ethical Threats and Safeguards

Session 3

Rules- and principles-based approaches

Rules-based approach
Principles-based approach

Ethical conflict resolution

Typical Conflicts of Interest Policy
Gifts, sponsorship and hospitality;
Definition and inclusions; conflict of interest in corporate governance
Mitigating actions; how to deal with a conflict of interest at work

Session 4

Best practice

How to make decisions on identified conflicts;
The risks around getting it wrong.

Workshop – CofI in practice

Practical Dilemmas in the workplace; Conflicts of interest examples
Key Issues
Comments & Solutions

Think as a Compliance Professional

Course Conclusion

Summary, Open Forum, Wrap up

Your Course Facilitator Backstory

Lee has worked with a range of organisations from small start-ups through to FTSE100 companies, many that have had difficulties identifying and managing conflicts of interests, and helped them develop effective, robust systems. He has adapted his experience to develop this course and supporting materials with the practical skills-based focus. Lee’s skills, qualifications and experience make him ideal for supporting anyone wishing to develop top-class knowledge in the management of conflicts of interests.
Having been a freelance consultant and trainer for twenty years, your course director was appointed as a skilled person in 2012 and has conducted many audits, assessments, roll-outs and change management programmes from complaints programs, conduct risk frameworks, global risk frameworks, as well as having provided regulatory interpretation to investment banks, worked on many risk mitigation programs and set up banks.

He is also a highly experienced soft skills trainer and has completed numerous “train the trainer” assignments.

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This Course Can Be Presented In The Following Formats:

Public Course

Future Dates Not Yet Available

Face to Face In-House

This course can be tailored and presented in-house at your location for 3 or more participants.

From £850

Live In-House Webinar

This course can be tailored and presented exclusively via live webinar for your company for a group of participants. Participants are given a link and login and the trainer presents the course to a maximum of 20 participants.
Participants can login from different offices.
From £850

Pre-Recorded In-House Webinar

The trainer records the course exclusively for your company – in one session or in “bite-size” video files. We provide access to our Proprietary Online System, the whole course as a pdf and any supporting course materials for an agreed amount of time (up to 12 months) for any number of participants up to 5,000.
From £3,000

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