CASP Conflicts of Interest Register
Manage conflict identification, mitigation measures, and client disclosures per Art. 72
Conflict of Interest Policies (Art. 72)
Click "Load Example" to view sample conflict policies
MiCA Compliance Note
Implemented: Art. 72(1)-(4) — Identification, documentation, and disclosure of conflicts of interest, with annual policy review deadlines and pre-service client notification requirements
Out of scope: Art. 72 enforcement by NCAs, employee training records, system audit logs, automatic conflict detection from transaction monitoring — these require infrastructure beyond a UI demo
What this POC does not implement
- ❌ Real client disclosure delivery — would require email/message system
- ❌ Conflict escalation to NCA — requires direct API with competent authority
- ❌ Ongoing transaction monitoring — real POC would connect to order/trade feeds
- ❌ Regulatory reporting workflows — would require NCA submission infrastructure
- ❌ Access controls and audit logs — POC has no user authentication