The Consultation Paper was published on 26 July 2017 with the senior managers and certification regime being extended from 2018. More people working in regulated firms will be directly affected by regulation. Firms will need to revisit how they categorise, train and monitor their people.
Our microsite can help firms prepare now for the proposed extension for all FMSA authorised persons.
Watch our video to find out the implications of the consultation paper
A practical guide for HR to the senior managers and certification regime which came into force in the UK on 07 March 2016.
Find out more on our microsite
We recently held a popular series of conference calls on regulated people co-hosted by our employment and financial services regulatory practices.
Topics included hiring, exits, fitness and propriety, regulatory forms, investigations and using remuneration as an incentive and disciplinary tool.
You can access the audio and slides from these calls via elexica our free legal resource.
We also ran a series on Business Protection issues, presented by lawyers from our employment, litigation, corporate and IP practices:
This series responds to the significant increase in the number of disputes and litigation we are seeing arising from the misuse of confidential information by individuals.
You can access the audio and slides for these calls via elexica our free legal resource.
Conduct Risk and the desire to improve culture and behaviours in the financial services industry has been at the heart of the regulatory regime for some time. However, many regulated firms and individuals struggle to understand what “Conduct Risk” means and what a good "culture" looks like.
Need help in viewing your business, people and operational risks through the Conduct Risk lens? Our microsite can help.