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Eversheds Sutherland: The Employment Practitioner’s Guide to Financial Institutions

Key Aspects of the Regulatory Framework

Paul Fontes, Elizabeth Graves, Susan Mayne (Herausgeber)

Buch | Softcover

520 Seiten

2019
Bloomsbury Professional (Verlag)
978-1-5265-0420-3 (ISBN)

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The financial crisis both in the US and UK led to concerns that individual accountability of senior managers in the banking sector had to be strengthened and risk and reward aligned more closely. Sweeping amendments were made to legislation, with new regimes introduced to improve accountability and greater powers bestowed upon regulators. The landscape has changed significantly with onerous rules faced by employers from recruitment to departure and beyond.

Eversheds Sutherland: The Employment Practitioner’s Guide to Financial Institutions: Key Aspects of the Regulatory Framework (originally titled: The Employment Practitioner’s Guide to Financial Institutions: The Senior Managers and Certification Regime and Accountability) covers the full roll-out of the Senior Managers and Certification Regime to all financial services firms in 2018. The complexity of the rules and the difficulty for practitioners in finding resources to help them understand the new regime has led to much confusion and uncertainty.

This book provides an invaluable guide to the new regime with practical analysis of the issues raised and how the changes should be implemented.

This title is included in Bloomsbury Professional's Employment Law online service.

General Editors: Paul Fontes, Elizabeth Graves and Susan Mayne all of Eversheds Sutherland Paul Fontes is a partner in the human resources practice and head of Eversheds Sutherland's employment team in London. Elizabeth Graves is a partner in Eversheds Sutherland's Human Resources Practice Group and specialises in advising financial institutions and insurers on employment matters. Susan Mayne is an employment lawyer with over 20 years’ experience, with specific expertise in financial services regulation.

1 Background to the accountability regime
2 The Senior Managers Regime
3 Certification Regime
4 Fitness and Propriety
5 Regulatory References
6 The SMCR Conduct Rules
7 Remuneration
8 Bonuses and Employment Law Considerations
9 Performance Management and Remuneration Incentives
10 Whistleblowing in Financial Institutions
11 Women in Finance and Gender Pay
12 Senior Managers and Certification Regime for Insurers
13 Enforcement and the SMCR
Appendix 1 SYSC 22: Regulatory references
Appendix 2 SYSC 18: Whistleblowing
Appendix 3 SUP 10C7.3 G Guidance on how the other overall responsibility function applies
Appendix 4 Submitting statements of responsibilities: examples of how the requirements work
Appendix 5 FCA Policy statement PS18/4: Credit card market study
Appendix 6 GC18/4: Senior Managers and Certification Regime – Proposed guidance on statements of responsibilities for FCA firms
Appendix 7 Guide for FCA solo regulated firms

Erscheinungsdatum	29.01.2019
Verlagsort	London
Sprache	englisch
Maße	156 x 248 mm
Gewicht	822 g
Themenwelt	Recht / Steuern ► Arbeits- / Sozialrecht ► Arbeitsrecht
	Recht / Steuern ► EU / Internationales Recht
	Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht
ISBN-10	1-5265-0420-0 / 1526504200
ISBN-13	978-1-5265-0420-3 / 9781526504203
Zustand	Neuware