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. It will include:

  • 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 19 Nov 19
Event Times 9.30-13.00
Event Venue Finance & Leasing Association
2nd Floor Imperial House 8 Kean Street
Event Price Members £558.00 inc VAT
Non members £750.00 inc VAT
Event Dress code smart/casual
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