Conduct and Pay in the Financial Services Industry: The Regulation of Individuals

ISBN-13: 9780367736323 / Angielski / Miękka / 2020 / 311 str.

Thomas Ogg; Richard Leiper Qc

Opis

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

Spis treści

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

 

O autorze

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.