Conduct and Pay in the Financial Services Industry - 9781138680876
Taylor & Francis
Conduct and Pay in the Financial Services IndustryThe regulation of individuals\nAuthor(s): Thomas Ogg, Richard Leiper QC\nFormat: Hardback\nPublisher: Taylor & Francis Ltd, United Kingdom\nImprint: CRC Press\nISBN-13: 9781138680876, 978-1138680876\nSynopsis\nSince 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 FCAs and PRAs requirements. \n\nThe 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: \n\nThe Senior Manager, Certification and Approved Person Regimes\n\nRegulatory references and whistleblowing\n\nDisciplinary investigations, enforcement and sanctions\n\nNotifications, Form C, and fitness & propriety\n\nBo.
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