Conflict of Interest Policy & Register

The FCA advise that “a firm must manage conflicts of interest fairly, both between itself and its customers and between a customer and another client.” Our Conflict of Interest Policy is fully customisable and available for instant download after payment.

£32.00 (ex vat)

Section SYSC 10 of the FCA Handbook and FCA Principle 8, deal directly with identifying and managing conflicts of interest between clients and the firm. This area is high on the list of regulatory requirements for the FCA and they have given clear guidance and robust rules that must be followed. The regulator state “you should have a formal conflicts of interest policy in place setting out clearly how you propose to reduce any conflicts you identify.” and notes that all firms subject to the conflicts of interest rules must identify, mitigate and manage any such conflicts. All conflicts must also be handled in a fair and transparent manner.

The set includes: –

  • Instruction & Customisation Guidance¬†
  • Conflict of Interest Register Template
  • Conflict of Interest Policy Template
    • Policy Statement
    • Purpose & Scope
    • Objectives
    • Types of COI
    • Measures & Procedures
      • Information Barriers
      • Seperate Supervision
      • Remuneration
      • Disclosure
      • Removal of Duty
    • Record Keeping
    • Responsibilities

Documents are available as an instant download as soon as payment has been made along with a VAT invoice.

Documents come in a Microsoft Office format and are fully customisable. You can edit all text, add content, remove sections and change the layout to suit your needs.

Includes customisation and corporate branding guidance for easy editing and updating.

Free updates for the first year, providing revisions or new documents in an easy to add format and keeping your documents up-to-date and compliant.

Developed by a team with over 18 years regulatory compliance experience and FCA expertise.

Suitable for all organisations with conflict of interest obligations.