Regulatory Knowledge and Skills
Conflicts of Interest
Introduction
This half-day participative workshop provides an overview of FSA findings on Conflicts Of Interest and will be updated as information becomes available. The workshop provides an opportunity for discussion and will enable delegates to take away ideas to decide on what may be appropriate within their own firms.
The workshop is suitable for directors, approved persons, senior management and compliance officers.
Workshop Objectives
Delegates who successfully complete this workshop will be able to:
• explain the FSA approach to Conflicts Of Interest
• describe the implications within their firms
• plan the next steps required within their firms
Workshop Content
• Senior Management Responsibilities
• Identifying Potential Conflicts of Interest
• Establishing a Policy to Manage Potential Conflicts
• FSA Feedback and Case Studies
• Remuneration Policies
• Commission
• Unfair Inducements
• Close Links
• Personal Conflicts
• Customer Conflicts
• Claims Handling Authorities
• Inducements, including Binding Authorities, Premium Finance etc.
• Action Plan
Duration: 0 day(s).
Call us now on +44 (0)1372 361 177 or email us for more information on this course.
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