This module provides a high-level examination of the regulatory responsibilities placed on firms when identifying and managing conflicts of interest. This Module will give your learners clarity on the various types of conflicts of interest and why it is important for regulated firms to ensure that these are identified and properly managed in line with the requirements of SYSC 10 and COBS 2.3. They will gain an introduction to the SYSC chapter of the FCA Handbook, specifically, SYSC section 10, 10.2 ‘Chinese walls’ and section 2.3 of the Conduct of Business Sourcebook (COBS).
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