Conduct and Pay in the Financial Services Industry: The regulation of individuals

1st Edition

Thomas Ogg, Richard Leiper QC

Informa Law from Routledge
Published March 29, 2017
Reference - 311 Pages - 1 B/W Illustrations
ISBN 9781138680876 - CAT# Y265566
Series: Lloyd's Commercial Law Library

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Summary

Since the financial crisis, one of the key priorities of the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) has been individual accountability. This book addresses the regulatory and employment law challenges that arise from the FCA’s and PRA’s requirements.

The expert team of writers examine in depth the provisions of the Financial Services and Markets Act 2000 which relate to individuals, and the associated requirements of the PRA and FCA. The topics addressed include:

  • The Senior Manager, Certification and Approved Person Regimes
  • Regulatory references and whistleblowing
  • Disciplinary investigations, enforcement and sanctions
  • Notifications, ‘Form C’, and fitness & propriety
  • Bonus disputes and the Remuneration Code

Conduct and Pay in the Financial Services Industry considers the full extent of an individual’s employment, from pre-contractual discussions to the post-termination clawback of remuneration. It is a vital reference for lawyers and human resources professionals working within the financial services industry, both in-house and in private practice. It will also be of interest to all academics, regulators and policy-makers involved in this sector.

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