Course description
This live broadcast will be relevant to senior managers, compliance officers and compliance managers of FCA authorised firms. It is designed for those who are involved in the operation and supervision of their firm’s compliance framework and who recognise that they need to bolster their knowledge around FCA requirements.
The interactive session includes practical examples of conflicts of interest within the financial services sector and will allow delegates to align the relevant FCA requirements to their own business environments.
You will learn how to identify conflicts of interest within your own business, and will discuss inducements, gifts & hospitality, and managing and recording conflicts of interest. Examples of poor management of conflicts of interest will be provided, and you will learn how to avoid the pitfalls of getting it wrong.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
This new live broadcast will be relevant to senior managers, compliance officers and compliance managers of FCA authorised firms.
It is designed for those who are involved in the operation and supervision of their firm’s compliance framework and who recognise that they need to bolster their knowledge around FCA requirements.
The interactive broadcast includes practical examples of conflicts of interest within the financial services sector and will allow delegates to align the relevant FCA requirements to their own business environments.
What You Will Learn
This live and interactive broadcast will cover the following:
- The definition of a conflict of interest
- How to identify conflicts of interest within your own business
- Inducements and their link to conflicts of interest
- Gifts and hospitality and their link to conflicts of interest
- How to manage and record conflicts of interest
- Examples of poor management of conflicts of interest
- How to avoid the pitfalls of getting it wrong
Expenses
MBL Seminars Limited
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