Conflicts of Interest Policy Template
Length: 23 Pages
Applies to: All regulated firm types
Fully Customisable Conflicts of Interest Policy Template
This fully editable Word template helps regulated firms comply with SYSC 10, PRIN 8, SM&CR, and Consumer Duty by managing actual, potential, and perceived conflicts of interest.
It covers firm-client, client-client, employee, and third-party conflicts, with clear guidance on remuneration, information barriers, disclosures, and maintaining a Conflicts Register. Practical examples, escalation steps, and real-world scenarios are included.
The policy defines roles for senior management, compliance, and staff and includes built-in procedures for training, record-keeping, FCA reporting, and internal reviews. It supports a transparent culture and integrates with AML, complaints, and governance frameworks.
Ideal for SMFs, compliance teams, and legal advisors, this downloadable, editable template saves time and strengthens regulatory oversight with practical, audit-ready tools.
Length: 23 Pages
Applies to: All regulated firm types
Fully Customisable Conflicts of Interest Policy Template
This fully editable Word template helps regulated firms comply with SYSC 10, PRIN 8, SM&CR, and Consumer Duty by managing actual, potential, and perceived conflicts of interest.
It covers firm-client, client-client, employee, and third-party conflicts, with clear guidance on remuneration, information barriers, disclosures, and maintaining a Conflicts Register. Practical examples, escalation steps, and real-world scenarios are included.
The policy defines roles for senior management, compliance, and staff and includes built-in procedures for training, record-keeping, FCA reporting, and internal reviews. It supports a transparent culture and integrates with AML, complaints, and governance frameworks.
Ideal for SMFs, compliance teams, and legal advisors, this downloadable, editable template saves time and strengthens regulatory oversight with practical, audit-ready tools.
Length: 23 Pages
Applies to: All regulated firm types
Fully Customisable Conflicts of Interest Policy Template
This fully editable Word template helps regulated firms comply with SYSC 10, PRIN 8, SM&CR, and Consumer Duty by managing actual, potential, and perceived conflicts of interest.
It covers firm-client, client-client, employee, and third-party conflicts, with clear guidance on remuneration, information barriers, disclosures, and maintaining a Conflicts Register. Practical examples, escalation steps, and real-world scenarios are included.
The policy defines roles for senior management, compliance, and staff and includes built-in procedures for training, record-keeping, FCA reporting, and internal reviews. It supports a transparent culture and integrates with AML, complaints, and governance frameworks.
Ideal for SMFs, compliance teams, and legal advisors, this downloadable, editable template saves time and strengthens regulatory oversight with practical, audit-ready tools.