Finance & Leasing Association
This course considers the FCA’s expectations for regulated firms to manage their financial incentive arrangements for staff and third parties, such as intermediaries. 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
