Conflicts of interest: Regulatory focus for asset managers

Since the FCA’s announcement of its multi firm conflicts of interest review in its Dear CEO letter, it’s clear that the regulator’s scrutiny in this space will continue to increase. And with firms adopting a range of approaches to managing their conflicts, it’s hard to know where to start and what’s best.

In this webinar, we shared some advice on how asset managers can best handle conflicts and stay ahead of the regulatory curve.

We covered:

• Common and uncommon conflicts to look out for
• How to implement an effective conflicts of interest framework
• Best practice examples for compliance teams and senior management

We also shared anonymised findings from our 2-minute survey, which assessed where firms currently were with their conflicts of interest programmes. The results allowed participants to gauge where they were in terms of best market practice.