Conflicts of Interests (COI)
Compliance Training Project by Peak Compliance Associates
Conflicts of Interest - Video
Conflicts of Interests Q & A
Course Feedback
A discussion around the regulatory framework for managing conflicts of interests for companies licensed under the Securities and Futures Commission (SFC), along with corresponding guidelines for appropriate internal controls.
The different types of conflicts of interest.
The SFC’s rules and guidelines for Licensed Corporations to follow in connection with identifying and managing conflicts of interest.
The SFC’s expectations of Licensed Corporations in respect of workplace conduct.