Sector focus

New and updated

• Compliance clause for certified staff in the regulated financial services sector

  Type:

  Policies and documents

  A model compliance clause for certified members of staff in the regulated financial services sector.

• Compliance clause for senior managers in the regulated financial services sector

  Type:

  Policies and documents

  A model compliance clause for senior managers in the regulated financial services sector.

• Compliance clause for conduct rules staff in the regulated financial services sector

  Type:

  Policies and documents

  A model compliance clause for conduct rules staff in the regulated financial services sector.

• Dismissal clause for senior managers in the regulated financial services sector

  Type:

  Policies and documents

  A model dismissal clause for senior managers in the regulated financial services sector.

• Dismissal clause for certified staff in the regulated financial services sector

  Type:

  Policies and documents

  A model dismissal clause for certified members of staff in the regulated financial services sector.

• Dismissal clause for conduct rules staff in the regulated financial services sector

  Type:

  Policies and documents

  A model dismissal clause for conduct rules staff in the regulated financial services sector.

• Letter informing certified employee working in regulated financial services sector of promotion or transfer

  Type:

  Policies and documents

  A model letter informing a certified employee working in the regulated financial services sector of a promotion or transfer.

• Letter informing senior manager working in regulated financial services sector of promotion or transfer

  Type:

  Policies and documents

  A model letter informing a senior manager working in the regulated financial services sector of a promotion or transfer.

• Letter informing conduct rules employee working in regulated financial services sector of promotion or transfer

  Type:

  Policies and documents

  A model letter informing a conduct rules employee working in the regulated financial services sector of a promotion or transfer.

• Senior Managers and Certification Regimes: financial services

  Type:

  Employment law manual

  Updated to include information on benchmark administrators, FMIs, and arrangements for firms during the coronavirus (COVID-19) outbreak.