Compliance Wizard Limited SC218735. Registered Office 22 Stafford Street, Edinburgh EH3 7BD, UK.

Phone 07710 444 670

    ©2020 COMPLIANCEWIZARD

    Conflicts of Interest Policy

    This is an example of a conflicts of interest policy for a discretionary management firm.

     

    Our policies don't amount to legal, regulatory or accounting advice. Rather, they've been designed to save you time in writing your own from scratch. You'll need to tailor this sample policy for your own purposes – it's in Word format and is fully editable.

     

    Start by replacing the ComplianceWizard logo with your own and then make any necessary alterations to reflect your own firm’s needs and style.

     

    Contents

     

    Introduction

    Potential conflicts

    • Identifying potential conflicts
    • Avoiding potential conflicts

    Our approach

    Our measures

    • Known conflicts
    • New conflicts
    • File Licence

      Once purchased, you can use/alter/amend for your own investment firm on a perpetual licence basis. Not maintained.

    £25.00Price