101. The policy should cover at least the following situations or relationships where conflicts of …

The policy should cover at least the following situations or relationships where conflicts of interest may arise:

• a. economic interests (e.g. shares, other ownership rights and memberships, financial holdings and other economic interests in commercial customers, intellectual property rights, membership of a body or ownership of a body or entity with conflicting interests);
• b. personal or professional relationships with the owners of qualifying holdings in the investment firms;
• c. personal or professional relationships with staff of the investment firms or entities included within the scope of prudential consolidation (e.g. family relationships);
• d. other employment and previous employment within the recent past (e.g. five years);
• e. personal or professional relationships with relevant external stakeholders (e.g. being associated with material suppliers, consultancies or other service providers); and
• f. political influence or political relationships.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

• EBA - Published by the European Banking Authority at https://www.eba.europa.eu/