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Conduct and Pay in the Financial Services Industry: The regulation of individuals book cover

1st Edition

Conduct and Pay in the Financial Services Industry The regulation of individuals

Edited By Thomas Ogg, Richard Leiper QC Copyright 2017
349 Pages
by Informa Law from Routledge

350 Pages 1 B/W Illustrations
by Informa Law from Routledge

349 Pages 1 B/W Illustrations
by Informa Law from Routledge
Also available as eBook on:
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... Read more



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



 

Biography

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.

'...the authors provide valuable insights into issues that may need to be grappled with in due course... I anticipate that this will become the standard work for those of us who advise on questions of regulatory authorisation, conduct and pay in the financial services field. The authors have certainly achieved their objective of filling the gap that existed in our law libraries.'

Richard Coleman Q.C. ARDL Quarterly Bulletin

 

"A succinct, well-written book on the regulations governing conduct and pay in financial services…it is likely to be an essential read for any who have to advise clients in the financial services sector. Its greatest strength is that its contributors are practitioners with considerable collective experience of the sector who are also able to offer insight into the attitude and mindset of the regulators, coupled with an exceptionally high level of ability in and knowledge of employment law."

Stephen Levinson, Employment Lawyers Association

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