Conflicts of Interest in Asset Management
The FCA outlines its expectations that asset management firms establish and maintain an effective framework to identify, control and review conflicts of interest.
In asset management, conflicts of interest can arise between different sets of clients, interests of a firm and those of a client or between personal interests of an asset manager and that of a firm or a client.
Our Conflicts of Interest in Asset Management Course explains how conflicts of interest may arise and best practice for managing them.
- 30 Minutes
- All staff
- Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.

Learning objectives
- Explain what conflicts of interest are and how they are manifested in the asset management business
- Know how to identify conflicts of interest
- Understand how to manage conflicts of interest
- Comply with the required systems and controls for managing conflicts of interest
What can you expect your employees to learn?
Welcome
What are Conflicts of Interest in Asset Management?
Why are conflicts of interest important?
MiFID II
What are conflicts of interest?
- How to detect conflicts of interest
- Exercise: Conflicts of interest
Red flags
- Conflict scenario 1
- Conflict scenario 2
- Conflict scenario 3
- Conflict scenario 4
- Conflict scenario 5
Managing conflicts of interest
- Exercise: Managing conflicts
- Scenario: Priority of transactions
- No perceived price impact
- Pre-existing intentions
Scenario: Aggregation
Scenario: Systems & controls
- Valuation errors
- Fair treatment in resolving errors
Scenario: Double charging
- Firm's participation in the trust
Scenario: Incentive-schemes
Scenarios: Gifts & entertainment
Scenarios: Outside business interests
Summary
Affirmation
Assessment
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