Individual Conduct and Accountability: A Practical Guide for Financial Services Firms
Author:   Jane Walshe ,  Peter Snowdon
Publisher:   Sweet & Maxwell Ltd
ISBN:  

9780414050730


Publication Date:   24 June 2016
Format:   Paperback
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.

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Individual Conduct and Accountability: A Practical Guide for Financial Services Firms


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Overview

Individual Conduct and Accountability will give detailed and practical guidance for all types of financial institution concerning the new rules governing the conduct and behaviour of individuals, both approved and non-approved, which will come into force in 2015. This will include all aspects from obtaining approval through to supervision, enforcement and liability. Separate chapters will deal with different classes of individual, and the text will include checklists and case studies.

Full Product Details

Author:   Jane Walshe ,  Peter Snowdon
Publisher:   Sweet & Maxwell Ltd
Imprint:   Sweet & Maxwell
ISBN:  

9780414050730


ISBN 10:   0414050738
Publication Date:   24 June 2016
Audience:   Professional and scholarly ,  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

Introduction; Regulatory environment; the Senior managers and certified persons regime: Conduct rules for those working in banks and PRA regulated proprietary trading firms; Groups, ringfencing and UK branches of foreign firms; Insurance firms, governance and Solvency II; Conduct rules for non-banking financial services firms; Obtaining approval; Supervision, enforcement and individual liability;Whistleblowing; Employment contract issues/overlap with employment law; Directors duties under company law

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