Understanding how the FCA regulate financial incentives

This course considers:

• the regulatory framework
• potential sanctions
• recent enforcement action by the FCA
• the key features of an appropriate incentive scheme

Attending this half-day briefing will help attendees understand:

• how incentives can promote mis-selling
• what the potential risks are and how they can be managed
• how to design incentive arrangements which are fully compliant
• the need for monitoring and supervision of staff
• the key employment law issues relating to incentive arrangements