ÀÏ˾»úÎçÒ¹¸£Àû

View the related checklists about Disciplinary

DPA suitability checklist

DPA suitability checklist Court's oversight of the interests of justice and fairness, reasonableness and proportionality The UK deferred prosecution agreement (DPA) regime provides for judicial oversight of DPAs. After negotiations as to the terms of a DPA have commenced and before it has been concluded, the court must determine: • whether it is likely to be in the interests of justice, and • that its proposed terms are fair, reasonable and proportionate Therefore, each factor must be supported by clear and persuasive proof in order to seek to persuade the court to approve the DPA. The declarations given under Schedule 17 Part 1, para 8 to the Crime and Courts Act 2013 (CCA 2013) to date provide insight into the court's approach as to when a DPA is suitable and this has, in turn, fed into the prosecutor's approach (see Practice Note: The SFO's approach to Deferred Prosecution Agreements (DPAs) [Archived]). For detailed information on DPAs in general, the process followed by the court when considering whether to...

UK operational resilience—timeline

UK operational resilience—timeline This timeline shows key developments relating to UK operational resilience requirements for financial services firms from January 2024 onwards. For earlier developments, see: Operational resilience—timeline [Archived]. 2025 Date Source Document Description 15 April 2025 FSB FSB finalises the common Format for Incident Reporting Exchange (FIRE) The Financial Stability Board (FSB) has published its finalised format for incident reporting exchange (FIRE), which aims to standardise and streamline cyber and operational incident reporting. Developed with private sector collaboration, FIRE addresses fragmentation in reporting requirements across multiple jurisdictions and supports phased implementation. It is interoperable with existing systems and applicable to a wide range of incidents, including those involving third-party service providers. The initiative promotes convergence in cyber incident reporting, reduces the reporting burden for firms, and improves communication among authorities.See: LNB News 15/04/2025 37. 6 March 2025 House of Commons Treasury Committee More than one month’s worth of IT failures at major banks and building societies in the last two years The Treasury Committee has published data showing...

View the related practice notes about Disciplinary

Obtaining clearance from the Pensions Regulator

Obtaining clearance from the Pensions Regulator THIS PRACTICE NOTE APPLIES ONLY TO DEFINED BENEFIT (DB) OCCUPATIONAL PENSION SCHEMES What is clearance? The Pensions Act 2004 (PeA 2004) has empowered the Pensions Regulator with a raft of powers. Some of its most significant powers are the moral hazard provisions in PeA 2004, ss 38–54. The moral hazard powers enable the Pensions Regulator to overlook corporate structures and apportion pension funding liability on third parties that are connected to, or associated with, a scheme's sponsoring employer by issuing, among other things, a financial support direction and/or a contribution notice. Clearance is a statement of assurance from the Pensions Regulator confirming that it will not at a later date make the applicants (listed in the clearance application) provide financial support to an underfunded defined benefit occupational pension scheme by issuing a financial support direction and/or a contribution notice. The clearance statement binds the Pensions Regulator in respect of the information in the application unless there is a material departure from...

Witness evidence—preparing for trial

Witness evidence—preparing for trial This Practice Note provides guidance on the interpretation and application of the relevant provisions of the CPR. Depending on the court in which your matter is proceeding, you may also need to be mindful of additional provisions—see further in the section: Court specific guidance. This Practice Note should be read in conjunction with Practice Notes: Witness evidence—the mechanics of giving evidence at trial, Trials—overview and Preparing for trial. You should also give consideration to provisions applicable to the specific track on which your claim is proceeding—see, for example, Practice Note: Small claims track—case management—Witness evidence. Importance of preparing witness evidence Effective preparation and presentation of evidence is particularly important given the limited grounds for appealing the factual basis of a decision. Swift v Fred Olsen Cruise Lines (FOCL) is an example of the Court of Appeal dismissing an appeal where, among other things, the factual evidence had not been properly presented at trial. In Swift, the Court of Appeal observed: 'it...

View the related precedents about Disciplinary

Policy—regulatory references

Policy—regulatory references 1 Introduction 1.1 The Financial Conduct Authority (FCA) and the Prudential Regulation authority (PRA) (together the Regulators) require firms that are authorised by the Regulators (and subject to the Senior Managers and Certification Regime (SM&CR)) to request regulatory references if they are considering:. 1.1.1 permitting or appointing someone to perform a senior management function; 1.1.2 issuing a certificate under the certification regime; and/or 1.1.3 appointing a non-executive board director. 1.2 These regulatory references are designed to assist prospective employers to assess whether an individual applying for an applicable regulated function is fit and proper to hold that role. 1.3 To enable a prospective employer to assess the fitness and propriety of a candidate for a regulated function, organisations that fall within the SM&CR must provide upon request a regulatory reference that covers the individual for the preceding six years (and, in certain circumstances, longer). It is essential that we comply with our regulatory obligations in obtaining and in responding to such requests, as the failure to...

Data protection privacy notice (secondment—employer to employee)

Data protection privacy notice (secondment—employer to employee) [Insert name of organisation] Data protection privacy notice (secondment) As you know, it is proposed that you will be seconded to [insert name] (host employer). This notice explains what personal data (information) [insert name of employer][ trading as [insert trading name, if different]] (‘we’ or ‘Company’) will share with, and receive from, your host employer for the purposes of your secondment. We are required to notify you of this information under data protection legislation. Please ensure that you read this notice (sometimes referred to as a ‘privacy notice’) and any other similar notice we may provide to you from time to time when we collect or process personal data about you. This privacy notice As set out in the [data protection privacy notice (employment)], the Company is a ‘controller’ and gathers and uses certain data about you.[ This data is also used by our affiliated entities and group companies, namely [insert details or a link, or otherwise show where details of...

View the related q&as about Disciplinary

As an employer, how should I handle staff absences due to travel disruption?

As an employer, how should I handle staff absences due to travel disruption? This Q&A examines the legal and practical issues an employer should consider when dealing with employees who are absent due to travel disruption caused by adverse weather conditions and/or industrial action or major incidents. Practical issues When adverse weather and the resultant travel chaos, or travel disruption caused by industrial action or major incidents affect employees’ ability to get to work on time or, in some cases, at all, there are a number of practical steps an employer can consider taking in order to reduce business disruption, avoid any confusion and minimise potential employment law claims: • implement an adverse weather and travel disruption policy or include appropriate provisions within an existing absence management policy and ensure all employees are aware of the policy and its contents—see main section: Policy below • develop a business continuity plan to cover, for example, unforeseen critical staff absence or widespread staff absence, temporary closure of the business and alternative ...

View the related News about Disciplinary

FCA set to get enforcement boost from new fraud offence

Law360, London: The new 'failure to prevent' fraud offence that comes into force in September 2025 will indirectly boost the Financial Conduct Authority's (FCA’s) opportunities for enforcement against corporate senior managers, countering its recent retreat from plans to 'name and shame' companies it is investigating, lawyers say.

Lexis®PSL Dispute Resolution weekly highlights—16 February 2017

Welcome to the weekly highlights from the Lexis®PSL Dispute Resolution team for the week ending 16 February 2017. This week we feature the recent update to the court guide for the Chancery Division. We also highlight the latest Dispute Resolution News Analysis on a broad range of topics, including: adducing evidence of foreign law (Joint Stock Company ‘Aeroflot’ Russian Airlines); the ingredients of the tort of deceit (Jornast); restitution (Marsfield Automotive); and amending claims and lifting stays (FA Premier League). We also highlight relevant News Analysis from other Lexis®PSL practice areas, recent substantive amendments to our core content, posts on the Dispute Resolution blog and the latest Q&As. All this, and more, in our weekly highlights.