No Courses in basket
Conflicts of Interest Workshop
- 'Common Platform’ Firms under MiFID
- The scope of the Conflicts of Interest obligations
- Establishing how the Rules will affect you
- The Obligation of writing policy and advising clients
- Direct links to Senior Management responsibilities (SYSC)
- ‘Reasonable steps’ for identifying conflicts of interest
- Nature, scale and complexity of a Firm’s business
- Products and services
- The Investment Research link
- Disclosure and record keeping
- Writing Policy
