Introduction to the Financial Services Sector for Employment Lawyers: Part 1: 11 October 2017. Part 2: 11 December 2017

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Date:
Wed, 11 Oct 2017
City:
London (National)
Venue Address:
Royal College of Obstetricians and Gynaecologists, 27 Sussex Place, Regent's Park, London NW1 4RG
Speaker(s):
See programme
Event Type:
Introductory
Duration:
Registration from 1.30pm Sessions: 2.00pm to 5.15pm (11 October) and 2.00pm to 5.00pm (11 December)
CPD hours:
5.00
Status:
Spaces Available

Venue map

Fee: £140 + VAT per course or £250 + VAT if booking both courses at the same time.
There is a 50% voluntary sector discount or a 30% out-of-region discount on the full fee, with no booking deadline.

Part 1: Introduction to the Financial Services Sector for Employment Lawyers
Wednesday 11 October 2017

Level: introductory

The first in our 2-part series is aimed at those new to the financial services sector.  This session will give members a solid understanding of the sector and how it is regulated.  It will also focus on some of the common remuneration arrangements found in financial services including an introduction to the remuneration codes regulating these arrangements.   

Part 2: Introduction to the Financial Services for Employment Lawyers
Monday 11 December 2017

Level: general

This second in our 2-part series on financial services is designed to be of interest to employment practitioners, with or without experience of the financial services sector.  This session builds upon the first to provide members with a more in-depth understanding of the FCA and PRA conduct regimes.  The speakers will also discuss some of the common practical issues that crop up for employment lawyers dealing with regulated firms or individuals.  

The session will incorporate a short case study based on dismissing an employee for regulatory reasons.


Programme
Wednesday 11 October 2017, 2.00pm – 5.15pm
Part 1: Introduction to the Financial Services Sector for Employment Lawyers

From 1.30pm    
Registration

2.00pm          
An introduction to financial services
Daniel Newton and Charlotte Yan, Freshfields Bruckhaus Deringer LLP
      

  • Activities within the financial services sector
  • The main financial markets
  • The key types of equity and debt instruments

2.45pm            
The role of the FCA and the PRA
Daniel Newton and Charlotte Yan, Freshfields Bruckhaus Deringer LLP
           

  • What kind of firms and activities do they regulate?
  • Which roles are regulated? An overview of the conduct regimes.

3.15pm        
Tea/coffee

4.00pm            
Remuneration in Financial Services
Alice Greenwell and Kate Pumfrey, Freshfields Bruckhaus Deringer LLP  
          

  • An introduction to remuneration arrangements in financial services
  • Bonuses – the general law
  • The remuneration codes
  • Malus and clawback

5.15pm        
Close of course

Monday 11 December 2017, 2.00pm – 5.00pm
Part 2: An introduction to regulation in financial services for employment lawyers

From 1.30pm  
Registration

2.00pm            
Accountability in financial services
Tom Ogg, 11 KBW

  • The Approved Persons Regime
  • The certification regime
  • The Senior Managers and Certification Regime/ Senior Insurance Managers Regime
  • An introduction to regulatory references

3.15pm        
Tea/coffee

3.30pm    
Practical issues for employment lawyers acting for or against regulated firms
Holly Insley and Caroline Stroud, Freshfields Bruckhaus Deringer LLP

  • Regulated individuals joining a firm
  • Contractual terms and settlement agreements
  • Dismissals for regulatory reasons

4.30pm            
Case Study
Holly Insley and Caroline Stroud, Freshfields Bruckhaus Deringer LLP

Dismissing a regulated employee for regulatory reasons

5.00pm        
Close of course