Non-Financial Misconduct for FCA Authorised Firms

Introduction

Non-financial misconduct, including bullying, harassment, discrimination, inappropriate behaviour, and failure to act ethically, can cause significant operational, reputational, and regulatory risk.

This new, in-person, full-day masterclass is designed to move your firm beyond simple compliance checklists, embedding a culture that proactively addresses misconduct, encourages speaking up, and strengthens accountability at all levels.

This interactive course will also help you gain insight into the latest regulatory stance on non-financial misconduct, helping navigate practical application, risk reduction, and mitigation strategies in your own firms.

What You Will Learn

This course will cover the following:

• Understand the definition and types of non-financial misconduct, including regulatory expectations from the FCA, PRA and the SMCR accountability framework
• Identify behaviours, patterns and organisational factors that constitute non-financial misconduct in the workplace
• Recognise the link between organisational culture, compliance and regulatory outcomes and understand the role of psychological safety in preventing misconduct
• Apply practical frameworks for reporting, investigating and addressing non-financial misconduct effectively
• Embed a speak-up culture that encourages early reporting, proactive resolution and ethical organisational behaviour
• Support senior managers in fulfilling their accountability responsibilities for culture, misconduct prevention and regulatory compliance
• Navigate challenges and failures in managing non-financial misconduct, including how to respond when issues arise