Culture and Conduct in Financial Services: UK Regulatory and Employment Developments
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|Tuesday, November 23, 2021|
|02:00 PM - 03:00 PM GMT|
Join us for a virtual webinar where we will discuss the enforcement, regulatory, and employment law considerations facing the financial services industry in the United Kingdom.
This webinar will feature important discussions on culture and conduct, where we will share best practices for facing challenges unique to the post-pandemic workplace.
TOPICS WILL INCLUDE:
- Good and poor practices in relation to conduct in the workplace
- Maintaining a positive and inclusive culture and addressing personal misconduct in a regulatory context
- Dealing with overlapping grievance, disciplinary, and whistleblowing issues
- Employment and regulatory issues arising from the pandemic, including hybrid working, managing people, and conducting investigations remotely
- Key regulatory considerations, including notifying regulators of breaches and handling regulatory references
- The new Investment Firms Prudential Regime and Remuneration Code update
For more information, please contact Alison Campbell.
CLE credit: CLE credit in CA, FL, IL, NJ (via reciprocity), NY, PA, TX, and VA is currently pending approval.