FCA Regulation for Employment Lawyers & HR Advisers - A Practical Guide

Introduction

This new virtual classroom seminar is aimed at employment lawyers and HR advisers and will help you understand the regulatory obligations for employees and employers in the financial services sector.

The session will cover the key objectives of the FCA and will cover the areas of particular concern for the regulator which will allow you to identify areas within your organisation which require further scrutiny and resources to minimise the risk of sanction.

It will also provide an insight into the Senior Managers and Certification Regime (SM&CR) and what this means practically for individuals and their employers.

What You Will Learn

This live and interactive course will cover the following:

• The objectives and powers of the FCA
• The expansion of the Senior Manager and Certification Regime and impact on the industry
• Interaction with culture in financial services
• Tiers of employees - SMFs, Certified Population and Conduct Rules staff
• Fitness and propriety and the Conduct Rules
• Specific practical implications for Senior Managers: addressing reasonable steps
• Navigating overlap with appraisals and disciplinary processes
• Notification to the regulators
• Regulatory reference regime and onboarding/staff changes
• Training for managers and employees
• Remuneration
• Enforcement

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.