Navigating FCA Regulation for Employment & HR Professionals

Introduction

Employment and HR professionals advising financial services firms need an additional skillset compared to their counterparts in other sectors - 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.

Getting it wrong can at best undermine a firm’s relationship with its regulator and at worst result in regulatory enforcement sanction for the firm and potentially individuals.

What You Will Learn

This live and interactive course will cover the following:

• An in-depth consideration of all aspects of the Senior Managers and Certification Regime
• Fitness and propriety and the conduct rules and guidance
• The latest rules and guidance on non-financial misconduct
• Worked examples of potential breach scenarios

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.