Code of Conduct
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Acme-Conflicts-of-Interest-Policy.pdf
Customize this course to Acme Corp's conflicts of interest policy, and make it more interactive.
Reading the policy…
I'll align this course with Acme Corp's policy and swap passive slides for interactive ones.
- Rewrote Understanding COIs in Acme's colours
- Replaced the slide image
- Added a messenger scenario
- Made the check drag-and-drop
Acme-Conflicts-of-Interest-Policy.pdf
Type changes you want to make
Conflicts of Interest
Covers why transparency matters in business dealings, how to keep personal interests from conflicting with the company's, and how to report a conflict.
Based on Acme Corp's Conflicts of Interest Policy. Covers actual, potential and perceived conflicts, the four conflict types, escalation to managers and Compliance, and third-party disclosure rules.
1. Introduction
2. Understanding COIs
Updated
Spotting a conflict
Before you decide, ask whether the course of action could tempt you to accept a benefit for yourself, your family or friends at the company's expense.
If the answer is yes, that's a potential conflict of interest.
Conflicts go beyond personal gain
Under Acme Corp's policy, a conflict may exist when the interests of Acme, a team member or a client oppose one another.
Some conflicts are prohibited; others can be managed with controls. Don't decide alone: escalate to your manager and Compliance.
3. Our policy in brief3. Can disclosure resolve the conflict?
New
Policy
Our policy in brief
- Disclose any outside interest that could affect your judgment.
- Don't take part in decisions where you have a personal stake.
- When in doubt, ask Legal before you act.
Alex · Transaction team
Our proposed deal involves competing client interests.
How are you planning to address the conflict?
Send both clients a general notice and proceed without further review. Enough?
Check on learning
What is the best response?
Yes. A notice makes the conflict permissible.
No. Escalate for conflict review and consult Compliance before any disclosure.
Yes, if both clients reply that they agree.
4. Knowledge check4. Sort the conflicts
Updated
Check on learning
How should Amar handle the hiring committee's request?
Accept the panel role; he's already disclosed the family connection.
Explain the relationship and step off the panel.
Join, but stay neutral during the interview.
Drag each situation into the right category.
Disclose and manage
Always prohibited
Serving on a nonprofit board
Approving your own expenses
Hiring a relative's firm as a vendor
Trading on confidential client orders
5. Gifts and entertainment
Course saved · 13 slides
Acme-Conflicts-of-Interest-Policy.pdfPDF · 1.2 MB