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Conduct and Pay in the Financial Services Industry: The regulation of individuals
| Author(s) | Edited by Thomas Ogg, Richard Leiper QC. |
|---|---|
| Publisher | Taylor & Francis Ltd |
| Format | Hardback |
| Pages | 350 |
| Published in | United Kingdom |
| Published | 29 Mar 2017 |
| Availability | Available |
1. Introduction PART I: CONDUCT 2. The Conduct Regime 3. Fitness and Propriety 4. The Approved Persons Regime 5. The Certification Regime 6. The Senior Managers Regime 7. Notifications and the "Form C" Issue 8. Regulatory References and Whistleblowing 9.
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 c
