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Business Management Conflict Management

Conflicts of Interest - A Guide For UK Financial Services

Compliantly managing and surviving conflicts of interest in everyday UK financial services life
Rating: 0.0 out of 50.0 (0 ratings)
4 students
Created by Lee Werrell Chartered FCSI
Last updated 8/2019
English
English [Auto]
30-Day Money-Back Guarantee

What you'll learn

  • Definitions of conflicts of interests
  • Identifying and recording interests
  • The relevant legal framework surrounding conflicts of interests
  • Conflicts of Interest and Ethical Threats
  • Ethical Threats and Safeguards
  • Rules - and principles-based approaches
  • Ethical conflict resolution
  • Gifts, sponsorship and hospitality
  • Best practice
  • How to make decisions on identified conflicts
  • The risks around getting it wrong
  • Tools for managing/Mitigating CofI

Requirements

  • Must be a FCA registered individual

Description

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

Who this course is for:

  • FCA registered individuals
  • FCA registered firms
  • FCA authorised person
  • FCA regulated businesses
  • PRA regulated businesses

Course content

1 section • 5 lectures • 1h 37m total length

  • Preview12:55
  • Conflicts of Interest Part 2
    27:16
  • Conflicts of Interest Part 3
    23:20
  • Conflicts of Interest Part 4 - Final Part
    33:01
  • Thinking Like a Compliance Professional
    00:46

Instructor

Lee Werrell Chartered FCSI
UK FCA Regulatory Compliance Specialist Consultancy
Lee Werrell Chartered FCSI
  • 3.7 Instructor Rating
  • 14 Reviews
  • 49 Students
  • 3 Courses

Lee has worked with a range of organisations from small start-ups through to FTSE100 companies, many that have had difficulties identifying and managing governance, compliance and operational risk, and helped them develop effective, robust systems. He has adapted his experience from working with banks in the original Senior Managers and Certification Regime (SMCR) to develop this course and supporting materials with the practical skills based focus.

Lee has worked with many firms in the areas of regulatory change and uses his knowledge to provide you with the facts and workable solutions to the SMCR and it's implementation. Our clients include IFA networks and directly authorised firms, as well as insurers, asset managers, AIFMs, stockbrokers, banks, fintech start-ups, Claims Management Companies (CMCs), Consumer Credit Act companies (CCA) as well as call centres and a number of companies outside the financial services industry.

Lee’s skills, qualifications and experience make him ideal for supporting anyone wishing to develop top-class knowledge in the management of regulatory change.

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