These documents are suitable for use as brief guidance for those undertaking compliance roles within your firm and who are responsible for dealing with the subject matter of the documents. You may also wish to circulate the documents to your compliance team/relevant persons to provide a useful overview on the topic.
What is in the documents
Guide to Conflict Checks: This document provides guidance on conflict check requirements, including what we mean by “conflict of interest”, why they are required and the regulatory requirements.
Conflict Checks Checklist: This document contains a summary checklist of the actions that we recommend firms take in relation to conflict checking.
How to use the documents.
Guide to Conflict Checks: This Guide can be used to provide useful information on how to undertake effective conflict checking at your Firm and can also be used to assist you to draft your Policy. It details the information that we recommend you insert in your Conflict Checking Policy.
Conflict Checks Checklist: This checklist details the actions that we recommend Firms take in order to undertake effective conflict checking, and can be used to assist Firms to check that they have appropriate processes in place.
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