At what point does an HR issue become a regulatory disaster?  Are you confident about deciding at what point a disciplinary matter would need to be notified to your regulator?

At this seminar our expert panel will look at what happens when an HR incident at a fictional financial services firm threatens to escalate into something more serious.  The session will follow a case study through a whirlwind series of events.  As the story evolves you will find out how well the firm is equipped to:

  • Recognise and identify the issues raised (in particular the regulatory, investigative and employment risks, and any areas of tension between those)
  • Investigate, manage and deal with them, and
  • Handle regulatory responses and consequences, including FCA notifications, exit negotiations and regulatory references

We will also discuss ways in which firms can be prepared before an incident happens.

 

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