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A Practitioner's Guide to Individual Conduct and Accountability in Financial Service Firms

A Practitioner's Guide to Individual Conduct and Accountability in Financial Service Firms

作者： Jane Walshe; Peter Snowdon
出版商： Sweet & Maxwell U.K.
ISBN: 9780414050730
出版时间 June 2016
规格： Paperback
适应领域： U.K. ? 免责申明：
Countri(es) stated herein are used as reference only

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A Practitioner's Guide to Individual Conduct and Accountability in Financial Service Firms provides detailed and practical guidance on the new rules governing the conduct and behaviour of individuals in financial institutions due to come into force in 2015 as a result of the Financial Services (Banking Reform) Act 2013.

Dealing with the entire scope of the new rules, from obtaining approval through to supervision, enforcement and liability, separate chapters address the different classes of individual covered by the new regime.
- Explains the new FCA and PRA rules as they apply to all types of regulated institution, including banks, insurance companies, investment management houses
- Covers regulation of both approved and non-approved persons
- Looks at the reasons behind the overhaul of the previous regime
- Analyses important recent cases that illustrate the regulator’s approach to enforcing the Code of Practice for Approved Persons, such as Pottage and Kumagai
- Features checklists and examples of good and poor practice
- Sets out sample statements of responsibilities and certificates which will be required for senior persons under the new regime
- Covers whistleblowing and its implications
- Includes the regulation of conduct of individuals in foreign institutions with UK branches
- Goes through the reshaping of remuneration regulation designed to incentivise better behaviour
1. Introduction
2. Regulatory environment The senior managers and certified persons regime: conduct rules for those working in banks and PRA regulated proprietary trading firms
3. Insurance firms, governance and Solvency II
4. Conduct rules for non-banking financial services firms
5. Obtaining approval
6. Supervision, enforcement and individual liability
7. Whistleblowing
8. Employment contract issues/ overlap with employment law
9. Directors’ duties under company law.

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