Conduct and pay in the financial services industry the regulation of individuals this webpage contains a list of developments relating to the subject matter of conduct and pay in the financial services industry. Conduct and pay in the financial services industry considers the full extent of an individuals employment from pre contractual discussions to the post termination clawback of remuneration it is a vital reference for lawyers and human resources professionals working within the financial services industry both in house and in private practice. The financial conduct authority is the conduct regulator for 58000 financial services firms and financial markets in the uk and the prudential regulator for over 24000 of those firms. Financial services industry compensation rules in response to the financial crisis congress and regulators enacted a number of measures aimed at the financial industry to curb perceived compensation abuses mitigate risk with respect to incentives and prevent excessive compensation. The topics addressed include the senior manager certification and approved person regimes regulatory references and whistleblowing disciplinary investigations enforcement and sanctions notifications form c and fitness propriety bonus disputes and the remuneration code conduct and pay in the financial services industry considers the
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