Understanding how the FCA regulate financial incentives

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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

Event details

Event Date 08 Feb 19
Event Venue Finance & Leasing Association
2nd Floor Imperial House 8 Kean Street
London
WC2B 4AS
Event Price Members £558.00 inc VAT
Non members £750.00 inc VAT
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