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.