Navigating the FCA’s new rules on non-financial misconduct: key issues for financial services firms

In this webinar, we explore how firms should deal with allegations of non-financial misconduct, clarifying regulatory expectations, assessing key risk areas and identifying practical tips for managing successful investigations.

Firms investigating disciplinary allegations of regulatory misconduct have to navigate a maze of complex law and regulation, including the firm’s disciplinary policies, employment law and financial services regulation. The FCA’s proposed new rules on non-financial misconduct will raise challenging issues for firms in balancing their regulatory obligations and employment law risks.

During our webinar, we discussed:

• The FCA’s expectations in relation to non-financial misconduct.
• When non-financial misconduct might lead to Conduct Rule breaches.
• How non-financial misconduct will impact fitness and propriety assessments.
• Practical steps in dealing with allegations.

Audience

This webinar is designed for human resources professionals in regulated financial services firms, in-house lawyers and others with responsibility for HR compliance within their firms.

Please note: this webinar was first broadcast on 18 April 2024. To watch the webinar on demand, please use the button below.