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Conduct and Pay in the Financial Services Industry


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Table of Contents

1. Introduction

[Thomas Ogg and Richard Leiper QC]


2. The conduct regime

[Thomas Ogg]

3. Fitness and propriety

[Richard Leiper QC]

4. The Approved Persons Regime

[Thomas Ogg]

5. The certification regime

[Richard Leiper QC]

6. The Senior Managers Regime

[Jonathan Swift QC]

7. Notifications and the "Form C" issue

[Thomas Ogg]

8. Regulatory references and whistleblowing

[Richard Leiper QC]

9. Misconduct

[Thomas Ogg]

10. Sanctions

[Leo Davidson]

11. Enforcement procedure

[Leo Davidson]


12. Bonuses: the general law

[Daniel Stilitz QC]

13. The remuneration codes

[Patrick Halliday]

14. Malus and clawback: further discussion

[Richard Leiper QC]

About the Author

Thomas Ogg is a barrister at 11KBW, practicing in financial regulation, employment and commercial law. He was previously seconded to the Financial Conduct Authority's Enforcement Legal Group and its General Counsel Division, and now regularly advises on contentious financial services matters. Richard Leiper QC is a leading specialist in City disputes, practising from 11KBW. He was instructed in the key remuneration cases, including Clark v Nomura and Commerzbank v Keen, and has advised both institutions and individuals involved in a wide range of financial transactions.


'...the authors provide valuable insights into issues that may need to be grappled with in due course... I anticipate that this will become the standard work for those of us who advise on questions of regulatory authorisation, conduct and pay in the financial services field. The authors have certainly achieved their objective of filling the gap that existed in our law libraries.'

Richard Coleman Q.C. ARDL Quarterly Bulletin

"A succinct, well-written book on the regulations governing conduct and pay in financial is likely to be an essential read for any who have to advise clients in the financial services sector. Its greatest strength is that its contributors are practitioners with considerable collective experience of the sector who are also able to offer insight into the attitude and mindset of the regulators, coupled with an exceptionally high level of ability in and knowledge of employment law."

Stephen Levinson, Employment Lawyers Association

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