Conduct and Pay in the Financial Services Industry - The regulation of individuals (Paperback)

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.

General

Imprint:	Crc Press
Country of origin:	United Kingdom
Series:	Lloyd's Commercial Law Library
Release date:	December 2020
First published:	2017
Editors:	Thomas Ogg • Richard Leiper QC
Dimensions:	246 x 174mm (L x W)
Format:	Paperback
Pages:	311
ISBN-13:	978-0-367-73632-3
Categories:	Books > Law > Jurisprudence & general issues > General Books > Law > Laws of other jurisdictions & general law > Financial, taxation, commercial, industrial law > Commercial law Books > Law > Laws of other jurisdictions & general law > Financial, taxation, commercial, industrial law > Company law Books > Law > Laws of other jurisdictions & general law > Financial, taxation, commercial, industrial law > Employment & labour law Books > Law > Laws of other jurisdictions & general law > Financial, taxation, commercial, industrial law > Financial law > Banking law
LSN:	0-367-73632-2
Barcode:	9780367736323

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