Vulnerable Customers: A Short Overview (Finance)
10 Minutes
FCA Conflicts of Interest
Title
Topic
Duration
Industry
Jurisdiction
Type
Description
The FCA's conduct of business framework helps individuals and firms to manage the risk of conflicts of interest. Failure to comply can lead to enforcement action. In this course, employees of Investmentise (a fictional firm) will encounter various conflicts of interest. Your challenge is to prevent them from breaching the FCA's compliance framework.
Course Objectives
- What constitutes conflicts of interest
- How to identify behaviours that constitute conflicts of interest
- Are inducements acceptable under conflict of interest
- How to manage a conflict of interest
- How to ensure compliance with FCA requirements
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