Regulatory Alerts2017-01-27
Conflicts of Interest Policy Guidance
The Isle of Man Financial Services Authority issues this guidance to assist licenceholders in complying with Rule 8.9 and related regulations regarding the identification and management of conflicts of interest. The document outlines essential policy components, including the segregation of duties, internal reporting procedures, and the handling of client-to-client conflicts to ensure customer protection and regulatory compliance. It further provides a suggested contents list for policy development and an illustrative example of managing a conflict between competing client interests.
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