Non-Financial Misconduct - Employment & Regulatory Considerations for FCA Regulated Firms

Introduction

Non-financial misconduct is increasingly an area of focus for the FCA and the PRA and is seen as something that goes to a firm’s culture and poor culture is seen as a key root cause of major conduct failings in the financial services sector.

The regulators clear and repeated position is that ‘non-financial misconduct is misconduct plain and simple meaning that allegations of non-financial misconduct must be appropriately investigated and dealt with.

This new virtual classroom seminar will look at how best to achieve that aim.

What You Will Learn

This live and interactive session will cover the following:

• The conduct captured by the term non-financial misconduct
• The extent to which conduct outside of the workplace can be disciplined
• When non-financial misconduct might breach the conduct rules
• The impact of non-financial misconduct on the fit and proper assessment
• Getting it right when investigating allegations of non-financial misconduct

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.