Eversheds Sutherland
Subtitle: the employment practitioner's guide to financial institutions : key aspects of the regulatory framework
Edition: first edition.
Publisher: Bloomsbury Professional
Published: 2019
Place of publication: London; New York
Language: eng
Number of pages: 488
ISBN-13: 9781526504234
Subjects: Financial institutions; Law and legislation; Management; Liability (Law)
Description: "The financial crisis both in the US and UK led to concerns that individual accountability of senior managers in the banking sector had to be strengthened and risk and reward aligned more closely. Sweeping amendments were made to legislation, with new regimes introduced to improve accountability and greater powers bestowed upon regulators. The landscape has changed significantly with onerous rules faced by employers from recruitment to departure and beyond. Eversheds Sutherland: The Employment Practitioner's Guide to Financial Institutions: Key Aspects of the Regulatory Framework (originally titled: The Employment Practitioner's Guide to Financial Institutions: The Senior Managers and Certification Regime and Accountability) covers the full roll-out of the Senior Managers and Certification Regime to all financial services firms in 2018. The complexity of the rules and the difficulty for practitioners in finding resources to help them understand the new regime has led to much confusion and uncertainty. This book provides an invaluable guide to the new regime with practical analysis of the issues raised and how the changes should be implemented."--Bloomsbury Publishing.
Notes: Compliant with Level AA of the Web Content Accessibility Guidelines. Content is displayed as HTML full text which can easily be resized or read with assistive technology, with mark-up that allows screen readers and keyboard-only users to navigate easily.

Includes bibliographical references and index.

Also issued in printing.

Compliant with Level AA of the Web Content Accessibility Guidelines. Content is displayed as HTML full text which can easily be resized or read with assistive technology, with mark-up that allows screen readers and keyboard-only users to navigate easily

Electronic reproduction. London : Bloomsbury Publishing, 2019. Available via World Wide Web. Access limited by licensing agreement.
Table of contents: title: 1 Background to the accountability regime; title: 2 The Senior Managers Regime; title: 3 Certification Regime; title: 4 Fitness and Propriety; title: 5 Regulatory References; title: 6 The SMCR Conduct Rules; title: 7 Remuneration; title: 8 Bonuses and Employment Law Considerations; title: 9 Performance Management and Remuneration Incentives; title: 10 Whistleblowing in Financial Institutions; title: 11 Women in Finance and Gender Pay; title: 12 Senior Managers and Certification Regime for Insurers; title: 13 Enforcement and the SMCR; title: Appendix 1 SYSC 22: Regulatory references; title: Appendix 2 SYSC 18: Whistleblowing; title: Appendix 3 SUP 10C7.3 G Guidance on how the other overall responsibility function applies; title: Appendix 4 Submitting statements of responsibilities: examples of how the requirements work; title: Appendix 5 FCA Policy statement PS18/4: Credit card market study; title: Appendix 6 GC18/4: Senior Managers and Certification Regime - Proposed guidance on statements of responsibilities for FCA firms; title: Appendix 7 Guide for FCA solo regulated firms.