14 March 2024

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.

 At our webinar, we will be discussing:

  • 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 

Event details

Date: 18 April 2024

Time: 12pm to 1pm

Duration: 1 hour

Cost: This webinar is free to attend

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