Introduction to the Financial Services Sector for Employment Lawyers

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Mon, 11 Dec 2017
London (National)
Venue Address:
Royal College of Obstetricians and Gynaecologists, 27 Sussex Place, Regent's Park, London NW1 4RG
See programme
Event Type:
Registration from 1.30pm. Session: 2.00pm to 5.00pm
CPD hours:
Fully Booked

Venue map

Fee: £140 + VAT.
There is a 50% voluntary sector discount or a 30% out-of-region discount on the full fee, with no booking deadline.

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.

Part 1 of this series took place on 11 October 2017.


Part 2: An introduction to regulation in financial services for employment lawyers

From 1.30pm  

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


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

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

Dismissing a regulated employee for regulatory reasons

Close of course