Conduct and Pay in the Financial Services Industry: The regulation of individuals

Author:   Thomas Ogg ,  Richard Leiper QC ,  Ewan McKendrick ,  Richard Leiper
Publisher:   Taylor & Francis Ltd
ISBN:  

9780367736323


Pages:   311
Publication Date:   18 December 2020
Format:   Paperback
Availability:   In Print   Availability explained
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Conduct and Pay in the Financial Services Industry: The regulation of individuals


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Author:   Thomas Ogg ,  Richard Leiper QC ,  Ewan McKendrick ,  Richard Leiper
Publisher:   Taylor & Francis Ltd
Imprint:   CRC Press
Weight:   0.650kg
ISBN:  

9780367736323


ISBN 10:   0367736322
Pages:   311
Publication Date:   18 December 2020
Audience:   Professional and scholarly ,  Professional and scholarly ,  Professional & Vocational ,  Professional & Vocational
Format:   Paperback
Publisher's Status:   Active
Availability:   In Print   Availability explained
This item will be ordered in for you from one of our suppliers. Upon receipt, we will promptly dispatch it out to you. For in store availability, please contact us.

Table of Contents

"1. Introduction PART I: CONDUCT 2. The Conduct Regime 3. Fitness and Propriety 4. The Approved Persons Regime 5. The Certification Regime 6. The Senior Managers Regime 7. Notifications and the ""Form C"" Issue 8. Regulatory References and Whistleblowing 9. Misconduct 10. Sanctions 11. Enforcement Procedure PART II: PAY 12. Bonuses: the General Law 13. The Remuneration Codes 14. Malus and Clawback: Further Discussion"

Reviews

"'...the authors provide valuable insights into issues that may need to be grappled with in due course... I anticipate that this will become the standard work for those of us who advise on questions of regulatory authorisation, conduct and pay in the financial services field. The authors have certainly achieved their objective of filling the gap that existed in our law libraries.' Richard Coleman Q.C. ARDL Quarterly Bulletin ""A succinct, well-written book on the regulations governing conduct and pay in financial services…it is likely to be an essential read for any who have to advise clients in the financial services sector. Its greatest strength is that its contributors are practitioners with considerable collective experience of the sector who are also able to offer insight into the attitude and mindset of the regulators, coupled with an exceptionally high level of ability in and knowledge of employment law."" Stephen Levinson, Employment Lawyers Association"


'...the authors provide valuable insights into issues that may need to be grappled with in due course... I anticipate that this will become the standard work for those of us who advise on questions of regulatory authorisation, conduct and pay in the financial services field. The authors have certainly achieved their objective of filling the gap that existed in our law libraries.' Richard Coleman Q.C. ARDL Quarterly Bulletin A succinct, well-written book on the regulations governing conduct and pay in financial services...it is likely to be an essential read for any who have to advise clients in the financial services sector. Its greatest strength is that its contributors are practitioners with considerable collective experience of the sector who are also able to offer insight into the attitude and mindset of the regulators, coupled with an exceptionally high level of ability in and knowledge of employment law. Stephen Levinson, Employment Lawyers Association


Author Information

Thomas Ogg is a barrister at 11KBW, practicing in financial regulation, employment and commercial law. He was previously seconded to the Financial Conduct Authority’s Enforcement Legal Group and its General Counsel Division, and now regularly advises on contentious financial services matters. Richard Leiper QC is a leading specialist in City disputes, practising from 11KBW. He was instructed in the key remuneration cases, including Clark v Nomura and Commerzbank v Keen, and has advised both institutions and individuals involved in a wide range of financial transactions.

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