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Handling FCA Misconduct - An Introduction to the Employment & Regulatory
Considerations - Learn Live


HANDLING FCA MISCONDUCT - AN INTRODUCTION TO THE EMPLOYMENT & REGULATORY
CONSIDERATIONS

Learn Live

Type Speaker CPD Hours Level
Learn Live
Sushil Kuner
Simon Stephen
1 Introduction


SRA Competency
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COURSE OUTLINE

Introduction

The FCA has significantly increased the number of cases under investigation over
the past couple of years and this trend is set to continue.

As a result of the FCA's Senior Managers and Certification Regime, the FCA
intends to hold more senior individuals at firms accountable (as well as the
firms themselves) where there have been regulatory failings.

The FCA has also been opening investigations into individuals at a much earlier
stage than they have done in the past. This can be a worrying and costly
experience, especially for individuals under investigation.

This new virtual classroom seminar session will cover the practical regulatory
and employment considerations where concerns arise in respect of an individual's
conduct. From an FCA regulatory perspective, you will learn about the types of
misconduct which should be notified to the FCA, the potential impact of a
notification and what to expect from any FCA enforcement investigation.

You will also learn about the key employment considerations for financial
services firms before, during and after the investigation such as suspension,
support and the impact on remuneration and references.

What You Will Learn

This live and interactive session will cover the following:

 * The FCA's regulatory agenda, including current enforcement appetite and the
   SMCR
 * The FCA's Conduct Rules, including policies and procedures firms should have
   in place to identify misconduct
 * When should a breach or misconduct be notified to the FCA?
 * Potential disciplinary action where breaches are identified
 * Case study part one - fictional case study exploring misconduct on the part
   of an employee
 * Regulatory aspects
    * When will the FCA launch an enforcement investigation?
    * The FCA's investigation process
    * Penalties and sanctions
    * Case study part two - continuation of case study exploring whether
      misconduct would likely result in an FCA enforcement investigation
    * Employment aspects
       * The employment law risks - before, during and after
       * The internal investigation process
       * Suspension
       * Support
       * Impact on remuneration
   
    * Case study part three - what if there was non-financial misconduct?

   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.


BOOK NOW


ADDED TO BASKET

Learn Live | 14.02.2022

N/A | 9:00am - 10:00am

--------------------------------------------------------------------------------

Handling FCA Misconduct - An Introduction to the Employment & Regulatory
Considerations

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Feb
14
2022
 
9:00am - 10:00am



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£121.50
£135
£270

Group bookings
Discounts are available for multiple places. If you have 5 or more people
interested in participating in this virtual learning session please email us at
information@mblseminars.com for more information.


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