Financial services: Get your firm fit for the SMCR roll-out

Joanna Chatterton and Ed Livingstone discuss the roll-out of the Senior Managers and Certification Regime (SMCR) to solo-regulated financial services firms and highlight the key changes it requires to policies and procedures The SMCR comes into force for all firms regulated by the Financial Conduct Authority (FCA) on 9 December 2019. Management teams will be …
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Staff procedures: Create or update a whistleblowing policy

David Whincup and Clare McNicholas continue our series with a look at the key issues to consider when drafting a whistleblowing policy ‘A good policy will both provide procedural guidance and help to manage everyone’s expectations.’ A whistleblowing policy may not necessarily be at the top of your pile of essential policies and procedures to …
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Legal news: Employment update

Catherine Turner rounds up recent case law and developments affecting employers and their advisers ‘It is entirely appropriate for in-house counsel to seek to ensure that the investigation report does not stray into a decision on whether there has been any misconduct.’ Massage by female team leader was not harassment related to sex The recent …
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Employment status: Supreme Court extends scope of whistleblower protection

The Supreme Court has held that judges are entitled to statutory protections afforded to whistleblowers, report Louise Skinner and Keir Baker ‘Judge Gilham argued that, by excluding her from whistleblower protection, English law was violating Art 14 of the European Convention of Human Rights when read in conjunction with Art 10.’ On 16 October 2019, …
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Legal advice privilege: The dangers of cherry picking

Peter Frost considers how to manage waivers of privilege in light of a recent ruling that an employer could not pick and choose which parts of legal advice about a dismissal it could disclose The appeal courts have recently provided a steady flow of important decisions on the ambit of legal professional privilege, with a …
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Religion or belief: Shifting sands: what is a philosophical belief?

Recent case law has highlighted how difficult it is to pin down which beliefs deserve protection in today’s society, writes Fudia Smartt ‘Mr Conisbee brought a discrimination claim against five respondents because of religion and belief, as well as a claim for notice pay. A preliminary hearing was held to determine whether vegetarianism satisfied the …
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Privacy: Tinker, tailor, worker, spy: covert recordings in the workplace

Michael Chattle and Katie Lobley explore the issue of employees making secret recordings and provide advice on how to reduce the risks that this poses ‘There is no concept that a covert recording is fruit from a poison tree and therefore automatically not to be admitted as evidence in tribunal proceedings.’ Once upon a time, …
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