Type CPD Hours Level
Seminar 3 IntroductionInformation
Accreditation Information
SRA Competency B D


This new introductory level half day course 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 course will cover the key objectives of the FCA and PRA 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 resource in order to minimise the risk of sanction.

The course will also provide an insight into the regulators’ approach to internal disciplinary proceedings and whistleblowing in addition to the expansion of the Senior Managers and Certification Regime (SM&CR) in December 2019 and what this means practically for individuals and their employers.

What You Will Learn

This course will cover the following:

  • The objectives and powers of the FCA and PRA
  • The expansion of the Senior Manager and Certification Regime and impact on the industry
  • Fitness and propriety and the Conduct Rules
  • Notification to the regulators
  • Remuneration
  • Regulatory references - requirements around requesting and providing references
  • Whistleblowing
  • The interplay between internal disciplinary proceedings and a regulatory investigation
  • Trends in enforcement by the FCA and PRA

Book now

Future dates are coming soon.
Please let us know if you wish to be notified.
Prices (ex VAT)
Plan Information
Ticket Information
Group bookings
Discounts are available for multiple places and if you have 5 or more people interested in this course and would like to discuss holding it in your area or on an in-house basis then please email us at information@mblseminars.com
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