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What should a financial firm do if an employee goes rogue during lock down?

United Kingdom - April 22 2020 It is much harder for regulated firms to ensure that everyone complies with the firm’s internal systems and controls when the entire work force is…

Chris Finney, Jane Mann.

The Senior Managers and Certification Regime: advice on Covid-19 employment issues for financial services firms and professionals

United Kingdom - April 7 2020 The FCA has stated that no single Senior Manager is required to be responsible for a regulated firm’s response to the virus. Firms should be…

Chris Finney, Jane Mann.

Insurers - the effect of an out of scope virus

United Kingdom - April 2 2020 With the impacts of the UK lockdown in response to the COVID-19 pandemic starting to set in after one full week in force, the financial services…

Chris Finney.

FCA’s rules still apply - irrespective of the spread of COVID-19

United Kingdom - March 5 2020 In light of continued spread of the COVID-19, the Financial Conduct Authority (“FCA”) published a statement on 4 March 2020 that its rules still apply…

Chris Finney, Mardi MacGregor.

Just in case you missed it: new Employment Bill!

United Kingdom - January 23 2020 It was easy to completely miss the detail in the Queen’s Speech, coming as it did between the Conservative's landslide election victory and Christmas…

Jane Mann.