Conflicts of Interest

Objectives

On completion of this tutorial, you will be able to:

• Define conflicts of interest (COIs)

• Name the key sources and categories of COIs

• List the major regulatory and legal frameworks that address COIs at financial firms

• Identify the COIs management process, including identification, monitoring, mitigation, and disclosure

Tutorial Overview

Conflicts of interest arise when you have a reason to act in favor of one set of interests over another. In recent years, they have become a major focus for regulators seeking to improve the quality of governance and risk management at financial firms.

This tutorial provides a high-level overview of conflicts of interest at financial firms, including how such conflicts arise, how they may expose firms to various risks, and how they can best be managed.

Prerequisite Knowledge

None

Tutorial Level

Introductory

Tutorial Duration

75 minutes