Conduct and Pay in the Financial Services Industry: The Regulation of Individuals

Banking / Finance › Employment / Labour Law

Conduct and Pay in the Financial Services Industry: The Regulation of Individuals

Edited by Thomas Ogg · Richard Leiper
Informa Law from Routledge March 2017

Specifications

ISBN-13
9781138680876
Publisher
Informa Law from Routledge
Publication
March 2017
Format
Hardback
Jurisdiction
U.K. ? Countri(es) for reference only

Details

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.

Table of Contents

1. Introduction

PART I: CONDUCT
2. The Conduct Regime
3. Fitness and Propriety
4. The Approved Persons Regime
5. The Certification Regime
6. The Senior Managers Regime
7. Notifications and the ‘Form C’ issue
8. Regulatory References and Whistleblowing
9. Misconduct
10. Sanctions
11. Enforcement Procedure

PART II: PAY
12. Bonuses: The General Law
13. The Remuneration Codes
14. Malus and Clawback: Further Discussion
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