Professional Refresher

Conflicts of Interest
Refreshed January 2021 | CPD time: 0.75
Conflicts of interest can arise in all fields and sectors. The existence of a conflict of interest is not unethical in itself and there are a number of ways in which conflicts in the workplace can be properly identified and managed appropriately. However, the actions taken by a firm where there is a conflict of interest may pose legal, regulatory and reputational challenges. This module examines the UK regulatory requirements, examples of conflicts of interest, tools, policies and procedures, enforcement action, and good practice.
1. What is a Conflict of Interest?
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2. Different Types of Conflicts of Interest
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3. Examples of Enforcement Action
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4. Policies and Procedures
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5. Tools to Manage Conflicts of Interest
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6. Conflict Management Process
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7. Good Practice
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Module Test
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