Individual Conduct and Accountability

A Practical Guide for Financial Services Firms

Buch | Softcover

2016
Sweet & Maxwell (Verlag)
978-0-414-05073-0 (ISBN)

Infos

This title gives detailed and practical guidance on the new rules governing the conduct and behaviour of individuals in financial institutions, from obtaining approval through to supervision, enforcement and liability. Separate chapters will deal with different classes of individual, and the text will include checklists and case studies.

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Individual Conduct and Accountability will give detailed and practical guidance for all types of financial institution concerning the new rules governing the conduct and behaviour of individuals, both approved and non-approved, which will come into force in 2015. This will include all aspects from obtaining approval through to supervision, enforcement and liability. Separate chapters will deal with different classes of individual, and the text will include checklists and case studies.

Inhalt

Introduction; Regulatory environment; the Senior managers and certified persons regime: Conduct rules for those working in banks and PRA regulated proprietary trading firms; Groups, ringfencing and UK branches of foreign firms; Insurance firms, governance and Solvency II; Conduct rules for non-banking financial services firms; Obtaining approval; Supervision, enforcement and individual liability;Whistleblowing; Employment contract issues/overlap with employment law; Directors duties under company law

Produkt-Details

• Erscheint lt. Verlag: 24.6.2016
• Mitarbeit: Berater: Jane Walshe, Peter Snowdon
• Verlagsort: London
• Sprache: englisch
• Themenwelt: Recht / Steuern ► EU / Internationales Recht
• Themenwelt: Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht
• ISBN-10: 0-414-05073-8 / 0414050738
• ISBN-13: 978-0-414-05073-0 / 9780414050730
• Zustand: Neuware