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Training – In House – Conflicts of Interest

Conflicts Of Interest – A Practical Guide & Workshop

A 1 Day Course

The FCA Requirements, Ethical & Best Practice Guidelines

What Makes This Course Different?

Course Objectives

Course Content

What are “Conflicts of Interest”?

Conflicts of Interest (CofI) and Ethical Threats

Rules- and principles-based approaches

Ethical conflict resolution

Best practice

Workshop – CofI in practice

Think as a Compliance Professional

Course Conclusion

Background of the Trainer

Course Director
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.

Course Summary

Conflicts of Interest has always appeared as a problem for Senior Management in the past, but following the banking crisis from 2008, transparency and clear audit trails have become even more important whether it is an insurance contract, investment products or advice right through to mergers and acquisitions. Conflicts of Interest Management is easy if it is conducted in the right way, and that right way starts with the first line, right through to the Board of Directors and shareholders.
It is the very culture of a firm that makes Conflicts of Interest manageable or not. The accurate identification and reliable assessment of the potential impact, along with defined and practical procedures to follow, make conflicts of interest management effective, fair and compliant.

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