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Conduct and Pay in the Financial Services Industry : The Regulation of Individuals. 金融サービス業における行為と支払－個人の規制
・ISBN 978-1-138-68087-6 2017 hard GB£ 520.00
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・ISBN 978-0-367-73632-3 2020 paper GB£ 255.00
￥80,784.- (税込) ※（※）価格はご注文時の参考価格となります。
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電子版あり 大学・学術機関向け電子ブック（eBook）ISBN 978-1-315-56414-2
| 著者・編者 | Ogg, Thomas / Leiper, R., |
|---|---|
| シリーズ | Lloyd's Commercial Law Library |
| 出版社 | (Informa Law, UK) |
| ページ数 | 350 pp. |
| 言語 | ENG |
| ニュース番号 | ＜636-1535 636-P2854＞ |
解説
Since the financial crisis, one of the key priorities of the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) has been individual accountability. This book addresses the regulatory and employment law challenges that arise from the FCA's and PRA's requirements.
The expert team of writers examine in depth the provisions of the Financial Services and Markets Act 2000 which relate to individuals, and the associated requirements of the PRA and FCA. The topics addressed include:
- The Senior Manager, Certification and Approved Person Regimes
- Regulatory references and whistleblowing
- Disciplinary investigations, enforcement and sanctions
- Notifications, 'Form C', and fitness & propriety
- Bonus disputes and the Remuneration Code
Conduct and Pay in the Financial Services Industry considers the full extent of an individual's employment, from pre-contractual discussions to the post-termination clawback of remuneration. It is a vital reference for lawyers and human resources professionals working within the financial services industry, both in-house and in private practice. It will also be of interest to all academics, regulators and policy-makers involved in this sector.