There is a need to demonstrate to Regulators that an appropriate Conflicts of Interest policy has been written, established and implemented across Common Platform Firms’ business. Unless a Firm manages to avoid ‘duties to Clients’, in the course of carrying out any regulated activity or ancillary service, Management will need to be aware of and react positively to the new requirements.

This course will look at the changes to the FSA Rules brought about by the MiFID 'Implementation rules' and make comparisons between old and new so that there is an understanding of how Firms are affected.

As the Directive and, consequently, the SYSC rules require firms to establish, implement and maintain a ‘Conflicts of Interest’ policy, this area will be covered through discussing and setting out what the policy might look like and what it needs to include.