Financial Services Regulation - A Roundup for Employment & HR Professionals

Introduction

Employment and HR professionals advising financial services firms need the ability to understand and apply financial services regulation in so far as it impacts employment matters.

Ranging from the terms on which individuals are engaged, policies that firms must have in place and the regulatory obligations and standards that individuals must meet, to assessing and dealing with misconduct and managing exits, it is important for advisers to avoid pitfalls by understanding the additional requirements and constraints imposed by regulation.

This webinar will provide a roundup of what advisers need to know to avoid getting it wrong.

What You Will Learn

This webinar will cover the following:

• Areas of an employment or HR professional’s work in a financial services firm that are impacted by financial services regulation
• Considerations for onboarding individuals
• Standards applicable to regulated individuals: high level overview of the Senior Managers and Certification Regime
• Considerations for investigating individuals and handling exits
• Remuneration codes - high level overview of the remuneration codes for different types of financial services firm and the requirements imposed

This pre-recorded webinar will be available to view from Thursday 13th August 2026

Alternatively, you can gain access to this webinar and 2,300+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.