Conduct and Pay in the Financial Services Industry

The regulation of individuals

Thomas Ogg, Richard Leiper QC (Herausgeber)

Buch | Hardcover

350 Seiten

2017
CRC Press (Verlag)
978-1-138-68087-6 (ISBN)

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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.

Thomas Ogg is a barrister at 11KBW, practicing in financial regulation, employment and commercial law. He was previously seconded to the Financial Conduct Authority’s Enforcement Legal Group and its General Counsel Division, and now regularly advises on contentious financial services matters. Richard Leiper QC is a leading specialist in City disputes, practising from 11KBW. He was instructed in the key remuneration cases, including Clark v Nomura and Commerzbank v Keen, and has advised both institutions and individuals involved in a wide range of financial transactions.

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

Erscheinungsdatum	15.07.2017
Reihe/Serie	Lloyd's Commercial Law Library
Zusatzinfo	11 Tables, black and white; 1 Illustrations, black and white
Verlagsort	London
Sprache	englisch
Maße	174 x 246 mm
Gewicht	762 g
Themenwelt	Recht / Steuern ► EU / Internationales Recht
	Recht / Steuern ► Privatrecht / Bürgerliches Recht ► Besonderes Schuldrecht
	Recht / Steuern ► Wirtschaftsrecht ► Gesellschaftsrecht
	Recht / Steuern ► Wirtschaftsrecht ► Handelsrecht
ISBN-10	1-138-68087-7 / 1138680877
ISBN-13	978-1-138-68087-6 / 9781138680876
Zustand	Neuware