Conduct and Pay in the Financial Services Industry

The regulation of individuals

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

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Hardcover | 29 March 2017

At a Glance

Hardcover
350 Pages

Dimensions(cm)
24.6 x 17.4 x 2.54

Hardcover

$788.75

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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.

Industry Reviews

'...the authors provide valuable insights into issues that may need to be grappled with in due course... I anticipate that this will become the standard work for those of us who advise on questions of regulatory authorisation, conduct and pay in the financial services field. The authors have certainly achieved their objective of filling the gap that existed in our law libraries.'

Richard Coleman Q.C. ARDL Quarterly Bulletin

"A succinct, well-written book on the regulations governing conduct and pay in financial services...it is likely to be an essential read for any who have to advise clients in the financial services sector. Its greatest strength is that its contributors are practitioners with considerable collective experience of the sector who are also able to offer insight into the attitude and mindset of the regulators, coupled with an exceptionally high level of ability in and knowledge of employment law."

Stephen Levinson, Employment Lawyers Association

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