Managing Conflicts of Interest RG181

Overview of Managing Conflicts of Interest (RG181)

Conflicts of interest in financial services are a critical concern, given the industry’s profound impact on economic stability and individual wealth. These conflicts emerge when institutions’ or financial professionals’ interests potentially compromise their duty to clients and the market’s integrity.

For instance, advice involving conflicted remuneration can harm clients’ financial wellbeing, while insider trading and misuse of confidential information can distort market fairness and erode public trust.

About our course

Our course Managing Conflicts of Interest (RG181) discusses the multifaceted nature of conflicts of interest in financial services, examining real-world examples and regulator approaches to enforcing licensee obligations. Emphasising the principles of fairness, integrity, and accountability, we explore compliance measures financial workplaces can implement to practice ethical decision-making and act in the best interests of their clients and the market at large.

Program Content

  • What is a conflict of interest?
  • Examples of conflicts of interest
  • Mitigating conflicts of interest
  • Controlling, avoiding and disclosing conflicts of interest
  • Policy and procedures – tips for financial services businesses

Learning Outcomes

  • Discuss what conflicts of interest are and why it is important to manage them
  • Illustrate examples of conflicts of interest and generic ways to mitigate them
  • Identify how ASIC recommends that licensees manage conflicts of interest
  • Assess when and how conflicts should be avoided, and best practice for handling them when they arise
  • Evaluate how disclosure can be used to manage conflicts of interest
  • Summarise key aspects of organisations Conflicts of Interest Policy.

What you will learn

Who is this course for?

  • Compliance managers
  • Representatives
  • Responsible managers
  • Senior managers

Units of Competency

Pre-requisite

Recognition of Prior Learning

Certification

You will be awarded a Certificate of Completion. It will be available online for you to download and print immediately.

ASIC-supervised licensees: Regulation
FAS-Supervised advisers (self-report): Regulatory compliance and consumer protection

Explore our Financial Services CPD

Our short course topics are also included in our annual subscription Financial Services CPD library.

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Frequently Asked Questions

Our CPD short courses are self-paced with online learning resources & on-going support.
  • You have up to 8 weeks to complete the learning and assessment requirements for your CPD short course.
  • Experienced professionals can complete in less time.

Our CPD short courses are assessed by a short open book multiple-choice exam.

To get started, either
  • Purchase your course online. (If checking out for your team, you can add multiple courses to the cart.) OR
  • Contact Us to arrange an invoice
Please note: Online orders may take up to 1 business day to be processed and for you to receive your course login details.  

To get started, either:
  • Purchase course/s online. (You can add multiple courses to the cart.) Please note: Online orders may take up to 1 business day to be processed and for your team to receive their course login details.
OR
Contact us for your Corporate Solution.
What will I learn in this workshop?2026-07-15T18:59:10+10:00

The workshop combines regulatory updates with practical compliance guidance, helping Responsible Managers better understand their obligations and strengthen their governance framework.

Topics include:

Credit regulation and licensing

Understand the current regulatory framework governing Australian Credit Licensees and ASIC’s expectations of Responsible Managers.

The role and responsibilities of a Responsible Manager

Explore what ASIC expects Responsible Managers to do in practice and how to effectively discharge your responsibilities.

Regulatory priorities

Understand the emerging issues and compliance risks currently attracting regulatory attention.

Recent ASIC regulatory outcomes

Review recent enforcement actions and regulatory outcomes with a focus on the role Responsible Managers played – and the lessons every licensee should learn.

Accountability and governance

Strengthen your oversight, governance and compliance framework through practical examples and proven approaches.

Managing your ongoing obligations

Learn practical tips for staying across your obligations, maintaining effective records and meeting your reporting responsibilities.

Financial Education Professionals acknowledges the Traditional Owners of Country throughout Australia. We pay our respects to Elders past, present and emerging.