Individual Conduct and Accountability
A Practical Guide for Financial Services Firms
Sweet & Maxwell (Publisher)
Published on 24. June 2016
Book
Paperback/Softback
978-0-414-05073-0 (ISBN)
Description
Individual Conduct and Accountability will give detailed and practical guidance for all types of financial institution concerning the new rules governing the conduct and behaviour of individuals, both approved and non-approved, which will come into force in 2015. This will include all aspects from obtaining approval through to supervision, enforcement and liability. Separate chapters will deal with different classes of individual, and the text will include checklists and case studies.
More details
Language
English
Place of publication
London
United Kingdom
Publishing group
Sweet & Maxwell Ltd
Target group
Professional and scholarly
ISBN-13
978-0-414-05073-0 (9780414050730)
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Schweitzer Classification
Persons
Content
Introduction; Regulatory environment; the Senior managers and certified persons regime: Conduct rules for those working in banks and PRA regulated proprietary trading firms; 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/overlap with employment law; Directors duties under company law