Conflicts of Interest - North America

Course Outline


The course begins by defining what conflicts of interests are and by highlighting the increased regulatory importance of the topic.

Managing Conflicts

This section explores the various conflict management techniques including declining to act, disclosure and the use of information barriers. The section also explains how internal policies, such as personal account dealing, support the conflict management process.

Case Studies

This is the core of the course in which learner's select a range of case studies that are relevant to their job role.

The course has streams covering:

  • Investment Banking
  • Research Analysts
  • Sales
  • Dealers
  • Investment Management

Each stream contains, as appropriate, a mixture of firm/client, client/client and employee conflict scenarios.

Further Information


SCORM 1.2 compliant. HTML/CSS/JS.


This course runs on any SCORM compliant LMS platform. JavaScript must also be enabled and all pop-up blockers disabled. Requires IE8 or above.

Course Overview

This course provides an examination of the various types of conflict of interest and how they can be identified and managed.

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Learning outcomes:

By the end of the course the learner will be able to:

  • Recognize the legal, regulatory and reputational importance of effective conflict management
  • Know the various types of conflict of interest
  • Understand the various conflict management techniques
  • Be able to apply conflict management techniques to a variety of relevant business scenarios
  • Recognize the importance of consulting Compliance and Management when dealing with conflict of interest issues


This course is suitable for all staff but is particularly appropriate for those in banking, sales, trading, research or investment management roles.

Course duration:

Approximately 25 minutes.


The course has been designed to allow rapid customization that can reflect corporate branding as well as references to a firm's policies and procedures.