Employment Law in the Financial Services Sector Webinar Series

Aimed at HR professionals, in-house lawyers and others immersed in the financial sector, this series of four free 30 minute training sessions will provide an overview of the Senior Managers and Certification Regime (SM&CR) and consider some of the employment law and regulatory implications at various points in the employee lifecycle.

Hosted by Jamie Meechan (Employment) and Lorna Stephen (FS Regulatory), each session will drill down into a different topic.

Session 1 – Recruitment

Starting at the beginning of the employee lifecycle, this session will provide an outline of considerations when hiring employees, including an overview of SM&CR and the steps to be undertaken prior to onboarding a new senior manager to a financial services business.

Session 2 – During Employment: Training & Culture

In this session, we’ll cover ongoing requirements such as the need for regular training and assessments of fitness and propriety, as well as overall firm culture.

Session 3 – During Employment: Misconduct Issues

We’ll move on to look at employee misconduct from a pure employment context and more specific examples from the regulated sphere including examples of both financial and non-financial misconduct.

Session 4 – Termination

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