Financial services sector information

New and updated

• Type:

  Employment law guide

  Discipline and dismissal: notification and reporting requirements in financial services

  This guide explains the regulatory obligations under the Senior Managers Regime (SMR) and Certification Regime (CR) for financial services firms in the UK to notify the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) of disciplinary and dismissal matters.

• Type:

  Employment law guide

  Internal transfers and promotions: financial services

  There are no recent updates to highlight.

• Type:

  Employment law guide

  Senior Managers and Certification Regimes: financial services

  Updated with information on the FCA, PRA and HM Treasury consultations on proposed SM&CR reforms.

• Type:

  Employment law guide

  Recruitment: financial services

  There are no recent updates to highlight.

• Type:

  Employment law guide

  Providing references: financial services

  Updated to reflect that the Employment Rights Bill received Royal Assent on 18 December 2025.

• Type:

  Employment law guide

  Discipline and dismissal: procedure in financial services

  Updated with information on the FCA's proposed changes relating to its conduct rules.

• Type:

  Employment law guide

  Remuneration: financial services

  Updated to include information about a consultation on remuneration reform.

• Type:

  Employment law guide

  Financial services regulation: financial services

  Updated to include information on the findings of the FCA's non-financial misconduct survey, published on 25 October 2024.

• Type:

  Employment law guide

  Whistleblowing: financial services

  Updated to reflect that the Employment Rights Bill received Royal Assent on 18 December 2025.

• Type:

  Employment law guide

  Monitoring: financial services

  There are no recent updates to highlight.