Our Operational Resilience Policy Template & Checklist set also includes an Incident Response Plan template. This trio of documents can aid your compliance with the SYSC 15A requirements for ensuring operational resilience. Having continuity processes in the event of business or service disruptions is an essential business practice. Use our customisable templates and join 9500+ firms already using us to maintain their compliance.
Toolkit Upgrade: If you are looking to purchase several templates from our operational resilience range, visit our Operational Resilience Toolkit to get all templates and policies at a discounted price.
About the Conflict of Interest Policy Template
A conflict of interest is defined as an action or relationship that may impair the ability to make an objective and/or fair decision. This conflict can arise from the impairment of an individual employee or as a business activity. For those in the financial industry, having a compliant Conflict of Interest Policy is a regulatory requirement. The FCA advise that “you should have a formal conflicts of interest policy in place setting out clearly how you propose to reduce any conflicts you identify.”
Use this compliant template to identify, mitigate and manage any conflicts of interest within your business. The content allows you to define your strategy and ensure that all conflicts are handled in a fair and transparent manner.
- Mitigate the risks and factors causing a conflict through predefined measures and controls.
- Ensure that clients are provided with all the necessary information to make an informed decision.
- For those authorised by the FCA, comply with the SYSC 10 requirements and Principle 8 obligations.
- Effectively identify and manage conflicts of interest between employees, your business and clients.
- Developed by experts so that you can rely on the content and spend your time doing what you do best!
Customisable and available for instant download after payment. Includes:
- Template Customisation Guidance
- 12-page Operational Resilience Policy Template
- Operational Resilience Checklist
- Incident Response Template & Lessons Learned Exercise