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We regularly host seminars in all of our main practice areas at various locations around the country. As we devise seminars for our 2017 programme they will be published here. Please contact us if you would like to be added to our mailing list.
28.03.2017 Registration - 8:00am
Seminar - 8:30am

Financial Services Update for Employment Lawyers: Managing Conduct and Rolling Bad Apples

The FCA and PRA conduct rules form a key part of the Senior Managers and Certification Regime, a regime which will extend to all firms authorized under the FSMA 2000 from 2018. On 7 March 2017, the Conduct Rules will be to cover most employees of relevant firms based in the UK or who deal with customers in the UK. Important new regulatory reference rules also come into effect.

The Senior Managers and Certification Regime signalled a cultural shift in the world of financial regulation. The regime introduced a new and challenging dynamic focused on the early detection of misconduct and based on the simple proposition that a senior manager ought to be responsible for what happens on his or her watch. The regime is designed to increase the accountability of senior individuals in UK banks, building societies, credit unions and PRA-designated investment firms and branches of foreign banks operating in the UK and to bring more individuals into the regulated sphere. 

  • The conduct rules and their impact on the employment relationship
  • Managing complex internal disciplinaries
  • Regulatory references

This breakfast seminar will consider the wide-ranging practical implications of this new regime and the issues that all relevant firms will need to consider when managing the employment relationship, including what to do when it all goes wrong.  


Parliament Chamber, Inner Temple 1


Littleton continues to provide in-house talks to clients on a range of topics in our specialist areas of practice. Each talk has been written to hold the attention – and the imagination – so that, in just an hour, your team will be brought up to speed on recent developments and new thinking in the area concerned. Please speak to one of the clerks for further information and to book a seminar. We are also able to tailor bespoke seminars to your specific requirements.

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