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PODCAST · 10 APRIL 2023

All In A Day's Work: References And Regulatory References (Podcast)

Herrington Carmichael LLP
Herrington Carmichael LLP
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Herrington Carmichael LLP

Herrington Carmichael LLP

The origins of the practice can be traced back over 180 years in Wokingham and 150 in Aldershot. It...

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This month's episode covers references, with a focus on regulatory references in the Financial Services sector. We will be looking at what the legal position is for employers to provide a reference for former employees.

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Usof Shah
Usof Shah
Alex Harper
Alex Harper
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This month's episode covers references, with a focus on regulatory references in the Financial Services sector. We will be looking at what the legal position is for employers to provide a reference for former employees. We will also cover the regulatory reference system and the higher obligations that are placed on FCA and/or PRA regulated employers when providing references.

Acronym guide:

FCA – Financial Conduct Authority

FSMA – Financial Services and Markets Act 2000

GDPR – the General Data Protection Regulations and Data Protection Act

PRA – Prudential Regulation Authority

SMCR – Senior Manager Certification Regime

SMF – Senior Management Functions


The Legal Room UK · All in a Day's Work: References and Regulatory References

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