Disciplinary Allegations & Regulatory Misconduct in Financial Services - Risks & Top Tips for HR Professionals

Introduction

HR professionals investigating disciplinary allegations of regulatory misconduct must navigate a maze of complex law and regulation, including the firm’s disciplinary policies, employment law and financial services regulation.

They are in the frontline in managing key risks - financial, regulatory, and reputational.

This practical webinar will equip HR professionals in regulated financial services firms with an understanding of key risk areas and some top tips for managing successful investigations.

What You Will Learn

This webinar will cover the following:

• The link between disciplinary action and regulatory misconduct
• The FCA’s new expectations of firms in dealing with non-financial misconduct and how these impact on the Conduct Rules
• When can you suspend an employee?
• What might trigger a regulatory reporting obligation?
• The concept of legal privilege and how that can be used in the context of an HR investigation
• How to manage agreed exits and regulatory references

This webinar was recorded on 19th December 2023