Conflicts of interest

Conflicts of Interest are not uncommon in an ever-more connected world. However, when left unchecked, they may cause detriment to a firm, its staff or its customers. In this course you will learn about different types of conflicts, how and why these should be managed, and the potential consequences for firms and individuals if conflicts are overlooked.

This course has been designed to help people understand conflicts of interest using case studies and real-life examples.

The course is split into 4 sections:

Part 1 – Introduces various types of conflicts of interest and explains how they can arise, in order to help learners to identify potential or actual conflicts where they work. Relevant financial regulations are explored for various types of regulated firms.

Part 2 – Uses examples to show how conflicts of interest should be recorded and managed by firms and individuals, and the importance of doing so. The requirements of the conflicts of interest policy, the concept of proportionality, and the need to disclose interests will be explored in detail.

Part 3 – Demonstrates what happens if conflicts are not adequately managed. A recent high-profile case is used as an example.

Part 4 – Contains a multiple-choice knowledge test based on the course content.