Financial services and banking: employment issues

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Practice notes
The term of trust and confidenceEvery contract of employment is treated as containing an imposed term of trust and confidence. This requires employers...
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19th May
Practice notes
Preliminary hearings in the employment tribunalCoronavirus (COVID-19): All proceedings in employment tribunals in England, Wales and Scotland during...
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19th May
Practice notes
Discrimination arising from disabilityThis Practice Note covers an Equality Act 2010 provision which had no equivalent under the law which applied...
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19th May
Practice notes
Wrongful dismissal compensationThis Practice Note examines the remedies (heads of claim) available in the case of dismissal in breach of an employment...
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19th May
Practice notes
Interim relief in unfair dismissalCoronavirus (COVID-19): All proceedings in employment tribunals in England, Wales and Scotland during the...
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19th May
Practice notes
Equality of terms: definition of 'pay'IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period...
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19th May
Practice notes
The early conciliation requirementCoronavirus (COVID-19): All proceedings in employment tribunals in England, Wales and Scotland during the...
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19th May
Practice notes
No response, rejected response or claim not contested: employment tribunalsCoronavirus (COVID-19): All proceedings in employment tribunals in England,...
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19th May
Practice notes
Office-holdersIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following...
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19th May
Practice notes
Time off work for antenatal appointmentsAn employer or, where applicable, a temporary work agency or hirer, cannot unreasonably refuse to allow a...
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19th May
Practice notes
Continuity of employmentUPDATE: In its ‘Good Work Plan’ published in December 2018, the government has indicated that it will legislate to extend the...
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19th May
Precedents
[ON YOUR LETTERHEAD][Name and address of other party, or other party’s solicitor]Dear [insert contact name][Insert subject of letter, eg names of...
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19th May
Practice notes
Applicable law—which system of law applies to the contract or employment relationshipThis Practice Note examines how to determine which system of law...
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Produced in partnership with Edward Kemp of Littleton Chambers 19th May
Practice notes
The duty of fidelity and fiduciary dutiesAll employees are under a duty of fidelity to their employer. The duty of fidelity is also known as the duty...
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19th May
Precedents
1Paragraph 1 of the Grounds of Claim is admitted.2As to paragraph 2 of the Grounds of Claim, it is denied that the Claimant’s colleagues were...
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19th May
Precedents
[Insert date][Insert] Employment Tribunal[insert address]To the [insert] Employment Tribunal[Insert case name]Case No: [Insert case number]...
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19th May

Most recent Financial services and banking: employment issues content

Practice notes
SM&CR—policy development and key datesOn 7 March 2016, the Senior Managers and Certification Regime (SM&CR) replaced the Approved Persons Regime (APR)...
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22nd Jul
Practice notes
SM&CR—one minute guideThe Senior Managers Regime and Certification Regime—what is it?The Senior Managers, Certification Regime (SM&CR) and Conduct...
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22nd Jul
Practice notes
FCA Remuneration Code Principles—comparison checklistBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th Jul
Practice notes
UCITS Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th Jul
Practice notes
IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th Jul
Practice notes
Remuneration Code for BIPRU firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th Jul
Practice notes
CRD IV/CRR remuneration requirements in the EUThis Practice Note discusses the EU remuneration provisions under the Capital Requirements Directive...
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19th Jul
Practice notes
Remuneration Code for Dual Regulated FirmsPurpose and context of the Remuneration CodeThe aim of the Remuneration Code is to ensure that firms have...
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19th Jul
Practice notes
SM&CR—essentials for banks and PRA-designated investment firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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13th Jul
Practice notes
SM&CR: Applications to perform SMFs, notifications, and withdrawal of approval The Senior Managers and Certification Regime (SM&CR) and the Approved...
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24th Jun
Practice notes
AIFMD—Remuneration Code .What is the AIFMD?The AIFMD (Directive 2011/61/EU) covers the management, administration and marketing of alternative...
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9th Jun
Precedents
Stand-alone clawback agreementThis Agreement is made on [date] between the following parties:Parties1[name of employer] [Limited OR Plc], a company...
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Produced in partnership with Sam Whitaker of Shearman & Sterling 7th Jun
Practice notes
SM&CR—application to insurersOn 7 March 2016, the Senior Managers and Certification Regime (SM&CR) replaced the Approved Persons Regime (APR) for UK...
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Produced in partnership with Carol-Ann Burton and Margarita Kato of Holman Fenwick Willan LLP and Dominic Pereira as research contributor 6th Jun
Practice notes
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
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Produced in partnership with John Drabble of Kemp Little LLP 5th Jun
Practice notes
Non-executive directors (NEDs) and effective corporate governance—expectations of the Financial Conduct Authority (FCA)General role and responsibility...
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5th Jun
Q&As
Is there an obligation under the Senior Managers and Certification Regime (SM&CR) for senior managers to undergo either standard or enhanced criminal...
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5th Jun
Practice notes
SM&CR—essentials for solo-regulated firmsOn 9 December 2019 (Commencement), the Senior Managers and Certification Regime (SM&CR) was extended to firms...
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5th Jun
Q&As
As a relevant authorised person (a regulated firm), when do you have to make a notification to the FCA regarding the conduct of approved persons?For...
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5th Jun

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