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A Practitioner's Guide to Individual Conduct and Accountability in Financial Service Firms

Edited by: Peter Snowdon, Simon Lovegrove, Walshe

ISBN13: 9780414050730
Published: June 2016
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Paperback
Price: £206.00



This is a Print On Demand Title.
The publisher will print a copy to fulfill your order. Books can take between 1 to 3 weeks. Looseleaf titles between 1 to 2 weeks.

A Practitioner's Guide to Individual Conduct and Accountability in Financial Service Firms provides detailed and practical guidance on the new rules governing the conduct and behaviour of individuals in financial institutions due to come into force in 2015 as a result of the Financial Services (Banking Reform) Act 2013.

Dealing with the entire scope of the new rules, from obtaining approval through to supervision, enforcement and liability, separate chapters address the different classes of individual covered by the new regime.

  • Explains the new FCA and PRA rules as they apply to all types of regulated institution, including banks, insurance companies, investment management houses
  • Covers regulation of both approved and non-approved persons
  • Looks at the reasons behind the overhaul of the previous regime
  • Analyses important recent cases that illustrate the regulator’s approach to enforcing the Code of Practice for Approved Persons, such as Pottage and Kumagai
  • Features checklists and examples of good and poor practice
  • Sets out sample statements of responsibilities and certificates which will be required for senior persons under the new regime
  • Covers whistleblowing and its implications
  • Includes the regulation of conduct of individuals in foreign institutions with UK branches
  • Goes through the reshaping of remuneration regulation designed to incentivise better behaviour

Subjects:
Banking and Finance
Contents:
Introduction
Regulatory environment The senior managers and certified persons regime: conduct rules for those working
in banks and PRA regulated proprietary trading 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.

Series: The City Library

A Practitioner's Guide to the Law and Regulation of Market Abuse 3rd ed ISBN 9780414102255
Published September 2022
Sweet & Maxwell Ltd
£234.00
£304.00
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A Practitioner's Guide to the Law and Regulation of Market Abuse 3rd ed (eBook) ISBN 9780414102293
Published September 2022
Sweet & Maxwell Ltd
£234.00
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A Practitioner's Guide to Trade and Commodity Finance 2nd ed (eBook)
Edited by: Geoffrey Wynne
ISBN 9780414088313
Published December 2021
Sweet & Maxwell Ltd
£191.00
(ProView)
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A Practitioner's Guide to Trade and Commodity Finance 2nd ed (Book & eBook Pack)
Edited by: Geoffrey Wynne
ISBN 9780414087552
Published December 2021
Sweet & Maxwell Ltd
£249.00
(ProView)
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A Practitioner's Guide to Trade and Commodity Finance 2nd ed
Edited by: Geoffrey Wynne
ISBN 9780414081017
Published December 2021
Sweet & Maxwell Ltd
£191.00
A Practitioner's Guide to the Regulation of Insurance 6th ed
Edited by: Charles Rix
ISBN 9780414075702
Published December 2020
Sweet & Maxwell Ltd
£205.00
A Practitioner's Guide to The AIM Rules 8th ed
Edited by: Tom Nicholls
ISBN 9780414077249
Published October 2020
Sweet & Maxwell Ltd
£225.00
A Practitioner's Guide to Directors' Duties and Responsibilities 6th ed
Edited by: Tim Boxell
ISBN 9780414056992
Published July 2019
Sweet & Maxwell Ltd
£199.00
A Practitioner's Guide to the UK Financial Services Rulebooks 7th ed ISBN 9780414056978
Published February 2019
Sweet & Maxwell Ltd
£264.00
A Practitioner's Guide to MiFID II 3rd ed ISBN 9780414065727
Published February 2018
Sweet & Maxwell Ltd
£253.00
A Practitioner's Guide to Syndicated Lending 2nd ed
Edited by: Andrew Shutter
ISBN 9780414065390
Published November 2017
Sweet & Maxwell Ltd
£265.00
US Regulation for Asset Managers Outside the United States 2nd ed ISBN 9780414031968
Published September 2017
Sweet & Maxwell Ltd
£182.00
Consumer Financial Services Complaints and Compensation 2nd ed ISBN 9780414034044
Published July 2017
Sweet & Maxwell Ltd
£210.00
A Practitioner's Guide to Banking Regulation: Mastering the New Regulatory Landscape ISBN 9780414061286
Published November 2016
Sweet & Maxwell Ltd
£222.00
A Practitioner's Guide to Solvency II ISBN 9780414054851
Published April 2016
Sweet & Maxwell Ltd
£241.00
A Practitioner's Guide to UK Money Laundering Law and Regulation 3rd ed
Edited by: Ben Kingsley
ISBN 9780414052574
Published December 2015
Sweet & Maxwell Ltd
£222.00
A Practitioner's Guide to Alternative Investment Funds 3rd ed ISBN 9780414034006
Published September 2015
Sweet & Maxwell Ltd
£218.00
A Practitioner's Guide to MiFID II: The Markets in Financial Instruments Directive 2nd ed ISBN 9780414026858
Published March 2015
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to The AIM Rules 7th ed
Edited by: Tom Nicholls
ISBN 9780414034020
Published September 2014
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Regulation of Insurance 5th ed
Edited by: John Young
ISBN 9780414028357
Published August 2014
Sweet & Maxwell Ltd
Out of print
£234.00
A Practitioner's Guide to the Regulation of Investment Banking 3rd ed
Edited by: Simon Gleeson
ISBN 9780414028135
Published November 2013
Sweet & Maxwell Ltd
£234.00
Business Services, Partnering and Outsourcing Contracts: A Practical Guide 4th ed ISBN 9780414024335
Published December 2012
Sweet & Maxwell Ltd
£210.00
Practitioner's Guide to European Bond Markets
Edited by: Nick CollierHead of Regulatory Policy, ICMA, Michael RaffanFreshfields Bruckhaus Deringer
ISBN 9781905121168
Published November 2012
Sweet & Maxwell Ltd
Publication Abandoned
A Practitioner's Guide to Inside Information 2nd ed ISBN 9780414026988
Published September 2012
Sweet & Maxwell Ltd
£234.00
A Practitioner's Guide to Trade and Commodity Finance
Edited by: Geoffrey Wynne
ISBN 9780414045392
Published August 2012
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Basel III and Beyond ISBN 9780414045385
Published June 2011
Sweet & Maxwell Ltd
£253.00
A Practitioner's Guide to Derivatives
Edited by: Jonathan Marsh
ISBN 9780414043053
Published November 2010
Sweet & Maxwell Ltd
£253.00
A Practitioner's Guide to Alternative Investment Funds 2nd ed ISBN 9780414043107
Published October 2010
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Authorised Investment Funds ISBN 9781905121403
Published June 2010
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Syndicated Lending
Edited by: Andrew Shutter
ISBN 9781905121366
Published January 2010
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Private Equity ISBN 9781905121342
Published July 2009
Sweet & Maxwell Ltd
£317.00
Outsourcing Contracts: A Practical Guide 3rd ed ISBN 9781905121373
Published July 2009
Sweet & Maxwell Ltd
Out of print
A Practical Guide to PPP in the United Kingdom ISBN 9781905121236
Published May 2009
Sweet & Maxwell Ltd
£210.00
A Practitioner's Guide to European Leveraged Finance ISBN 9781905121359
Published April 2009
Sweet & Maxwell Ltd
£269.00
A Practitioner’s Guide to Corporate Restructuring ISBN 9781905121311
Published August 2008
Sweet & Maxwell Ltd
£269.00
A Practical Guide to PPP in Europe 2nd ed
Edited by: Maurice Button
ISBN 9781905121298
Published June 2008
Sweet & Maxwell Ltd
Out of print
A Practitioner’s Guide to Takeovers and Mergers in the European Union 5th ed
Edited by: City & Financial
ISBN 9781905121304
Published June 2008
Sweet & Maxwell Ltd
£317.00
Practitioner's Guide to Mortgage Regulation ISBN 9781905121243
Published July 2007
Sweet & Maxwell Ltd
£187.00
A Practitioner's Guide to FSA Investigations and Enforcement 2nd ed ISBN 9781905121137
Published May 2007
Sweet & Maxwell Ltd
Out of print
US Securities Laws and Foreign Private Issuers
Edited by: Brian Lane
ISBN 9781905121144
Published April 2007
Sweet & Maxwell Ltd
£253.00
A Practical Guide to PPP in Europe
Edited by: Maurice Button
ISBN 9781905121090
Published October 2006
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to EU Financial Services Directives 2nd ed ISBN 9781905121076
Published September 2006
Sweet & Maxwell Ltd
Out of print
Practitioner's Guide to Securitisation ISBN 9781898830788
Published January 2006
Sweet & Maxwell Ltd
£253.00
A Practitioner's Guide to Takeovers and Mergers in the European Union 4th ed ISBN 9781905121069
Published October 2005
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to FSA Investigation and Enforcement ISBN 9781898830931
Published September 2005
Sweet & Maxwell Ltd
Out of print
Pensions Risk and Strategy ISBN 9781898830757
Published August 2005
Sweet & Maxwell Ltd
£187.00
A Practitioner's Guide to the Basel Accord ISBN 9781898830979
Published March 2005
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to The FSA Regulation of Lloyd's 2nd ed ISBN 9781898830870
Published January 2005
Sweet & Maxwell Ltd
Out of print
International Insider Dealing ISBN 9781898830801
Published January 2005
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Audit regulation in the UK ISBN 9781898830894
Published December 2004
Sweet & Maxwell Ltd
Out of print
Practical Company Law and Corporate Transactions ISBN 9781898830733
Published November 2004
Sweet & Maxwell Ltd
Out of print
Financial Promotion - A Practitioner's Guide ISBN 9781898830726
Published October 2004
Sweet & Maxwell Ltd
Out of print
A Practical Guide to the FSA's Regulation of Mortgages ISBN 9781898830849
Published March 2004
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Company Law Review ISBN 9781898830535
Published June 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to International Money Laundering Law and Regulation ISBN 9781898830689
Published April 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to EU Financial Services Directives ISBN 9781898830696
Published March 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Hong Kong Takeover Code ISBN 9781898830603
Published November 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Acquisition of Companies in the United States ISBN 9781898830665
Published September 2002
Sweet & Maxwell Ltd
Out of print
Out of print
Public Company Takeovers in Germany ISBN 9781898830658
Published July 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the FSA Regulation of Lloyd's ISBN 9781898830467
Published June 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Partnership and LLP Law and Regulation ISBN 9781898830566
Published January 2002
Sweet & Maxwell Ltd
Out of print
Venture Capital and Private Equity: A Practitioner's Manual ISBN 9781898830528
Published December 2001
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Regulation of the Internet 2nd ed ISBN 9781898830511
Published April 2001
Sweet & Maxwell Ltd
Out of print