Conduct and Pay in the Financial Services Industry

The regulation of individuals

By: Thomas Ogg (Editor), Richard Leiper QC (Editor)

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eBook | 27 March 2017 | Edition Number 1

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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.