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Individual Conduct and Accountability
Individual Conduct and Accountability
A Practical Guide for Financial Services Firms
ISBN:  9780414050730
Published by:  Sweet & Maxwell
Consultant Editors:Jane Walshe; Peter Snowdon
Publication Date:  24 Jun 2016
Subscription Information:  Non-Subscribable Product
Format:  Paperback
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This title gives detailed and practical guidance on the new rules governing the conduct and behaviour of individuals in financial institutions, from obtaining approval through to supervision, enforcement and liability. Separate chapters deal with different classes of individual, including checklists and case studies.

Coverage Includes:

• Individual conduct
• Obtaining FCA & PRA approval
• Completely up to date information on the rules of individual conduct
• Regulation of both approved and non-approved persons
• The new regimes for banking insurance and non-banking financial service firms.
• Whistleblowing and its Implications
• Regulation of conduct of individuals in foreign institutions with UK Branches
• Explanation of remuneration regulation
• Employment Law Issues
• Directors’ duties under company law

CONTENTS

Setting the scene
The regulatory environment
The Senior Managers and Certified Persons Regime: conduct rules
Groups, ringfencing and UK branches of foreign firms
Insurance firms, governance and Solvency II
Conduct rules for non banking financial services firms
Obtaining approval
Supervision, enforcement and individual liability
Whistleblowing
Employment contract issues and overlap with employment law
Directors’ duties under company law

 

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