FCA Matters

Compliance obligations to the FCA can leave regulated firms vulnerable to employment related claims. It is essential that contracts, handbooks and incentive arrangements are drafted specificially to reflect the FCA regime.

Our specific experience includes:

  • Initial Long Form A applications
  • Form C obligations and procedure
  • Drafting specific Form Cs
  • Advising on the Controlled Function regime and Approved Person status
  • Investigating and reporting on internal disciplinary/compliance matters
  • Advising on the practical application of the Statement of Principles and Code of Practice for Approved Persons
  • Drafting bonus/commission schemes following the Remuneration Code

Click below for the Kervin & Barnes:

FSA / FCA and Employment Issues Guide

FSA / FCA Remuneration Code Guide

If you would like to speak on a confidential basis to one of our solicitors, please call 0203 178 5361.