A Practical Guide to FCA Regulation for Employment Lawyers & HR Advisers
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
- Regulatory references - requirements around requesting and providing references
- The interplay between internal disciplinary proceedings and a regulatory investigation
- Trends in enforcement by the FCA and PRA
2:00pm - 5:15pm
Please let us know if you wish to be notified when new dates are added for this programme