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.
• 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