Business Conduct and Ethics - Part 1
In the financial industry, conflicts of interest (COIs) are subject to an increasing degree of corporate and regulatory scrutiny. COIs can lead to negative outcomes at the client, employee, and firm level, and they may expose firms and their employees to a number of risks. Understanding COIs and developing effective processes for managing and mitigating them is vital.
This eCourse provides a high-level overview of COIs and highlights key factors to consider when managing COIs in finance.
On completion of this eCourse, you will be able to:
- Define conflicts of interest (COIs)
- Name the key sources and categories of COIs
- Identify the COIs management process, including identification, monitoring, mitigation, and disclosure
- List the major regulatory and legal frameworks that address COIs in at financial firms
Conflicts of Interest
Topic 1: Conflicts of Interest (COIs) Overview
Topic 2: COIs in Finance
Topic 3: Managing COIs
Topic 4: Scenarios