Course description
HR professionals investigating disciplinary allegations of regulatory misconduct must navigate a maze of complex law and regulation, including the firm’s disciplinary policies, employment law and financial services regulation. They are in the frontline in managing key risks - financial, regulatory, and reputational.
This practical 1 hour webinar with James Green will equip HR professionals in regulated financial services firms with an understanding of key risk areas and some top tips for managing successful investigations.
James is an experienced employment lawyer who advises national and international business on all aspects of employment law. He has particular experience and expertise in advising employers in the financial services sector.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
HR professionals investigating disciplinary allegations of regulatory misconduct must navigate a maze of complex law and regulation, including the firm’s disciplinary policies, employment law and financial services regulation.
They are in the frontline in managing key risks - financial, regulatory, and reputational.
This practical webinar will equip HR professionals in regulated financial services firms with an understanding of key risk areas and some top tips for managing successful investigations.
What You Will Learn
This webinar will cover the following:
- The link between disciplinary action and regulatory misconduct
- The FCA’s new expectations of firms in dealing with non-financial misconduct and how these impact on the Conduct Rules
- When can you suspend an employee?
- What might trigger a regulatory reporting obligation?
- The concept of legal privilege and how that can be used in the context of an HR investigation
- How to manage agreed exits and regulatory references
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...