Conflicts of Interest

Seminar Overview

 

Conflicts of Interest occur throughout the world of financial services. They are situations where there is a tension between one or more sets of professional or personal duties. Firms cannot avoid potential conflicts arising in the normal course of business BUT getting conflict management right is both a challenge and an important area. It is critical to manage conflicts to avoid the risk of breaching rules set by regulators and damaging client relationships and corporate reputation.

Conflicts of Interest occur within all firms but must be identified and managed. Learn about the accurate identification and assessment of the potential impact, along with practical procedures that make conflicts of interest management effective, fair and compliant.

MiFID II tightened the regulations around how firms deal with conflicts of interest and all firms must manage conflicts, not merely disclose them. Learn about the updates from MiFID II and the impact on your organisation.

Learn to define what are conflicts of interest and what are your responsibilities.

This workshop considers the challenges of managing conflicts of interest and how to meet the regulatory expectations.

 

 

The following topics will be covered:

  • What is a conflict of interest?
  • Types of conflicts
  • How to identify conflicts
  • Conflicts of interest policy
  • Inducements
  • Managing conflicts
  • Declining to act
  • MiFID II & Conflicts of Interest; research unbundling & inducements
  • Personal Account Dealing (PAD)
  • Outside Business Interests (OBIs)
  • Gifts & Entertainment (G&E)
  • Sales & Trading – impact of LIBOR, the interaction between firms and their counterparties, FX trading
  • Research – independence and communication within firms
  • Corporate Finance – information barriers, wall crossing

 

Who should attend?

  • Compliance and Legal professionals who want to further their understanding of the conflicts of interest landscape and ensure they are positioned to meet their regulatory obligations.
  • Senior managers and any other manager or team leads seeking to lead and encourage their teams to better manage potential conflicts within their business area.
  • HR, and other support staff who are involved with conflicts of interest obligations or registers within their organisation.

 

CPD 

A CPD certificate will be provided to all attendees, which may be considered appropriate by your company for the accrual of CPD hours. 

 

To Reserve a Place 

Email This email address is being protected from spambots. You need JavaScript enabled to view it., call +44 (0)20 7422 0063 or book online. You will receive confirmation of your booking within 24 hours. Price inclusive of all course material. Price exclusive of VAT.

Training and Venue Information

CPD Authorised Yes
Event Date 09-04-2020
Event End Date 09-04-2020
Event Time 12:00 - 14:00
Price £99.00
£99.00 991