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Employers    FSA Matters

FSA Matters

The onerous nature of compliance obligations to the FSA can leave regulated firms vulnerable to employment related claims. It is essential that contracts, handbooks and incentive arrangements are drafted specially to the FSA regime.

Our specific experience includes:

• Initial Long Form A applications;
• 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 Statements of Principle and Code of Practice for Approved Persons;
• Drafting bonus/commission schemes in anticipation of and following the introduction of the Remuneration Code and; and
• Successfully defending firms in unfair dismissal (including whistle-blowing) claims relating to employee breaches of FSA principles.

Click below for the Kervin & Barnes:

Guide to the Approved Person Regime.

Overview of the FSA Remuneration Code.

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

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