目次

1. Introduction  [Thomas Ogg and Richard Leiper QC] PART I: CONDUCT  2. The conduct regime [Thomas Ogg] 3. Fitness and propriety [Richard Leiper QC] 4. The Approved Persons Regime [Thomas Ogg] 5. The certification regime [Richard Leiper QC] 6. The Senior Managers Regime [Jonathan Swift QC] 7. Notifications and the "Form C" issue [Thomas Ogg] 8. Regulatory references and whistleblowing [Richard Leiper QC] 9. Misconduct [Thomas Ogg] 10. Sanctions [Leo Davidson] 11. Enforcement procedure [Leo Davidson] PART II: PAY 12. Bonuses: the general law [Daniel Stilitz QC] 13. The remuneration codes [Patrick Halliday] 14. Malus and clawback: further discussion [Richard Leiper QC]