22 April 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.

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


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.

If you would like an accessible version of this webinar, please email our Events team on Events@burges-salmon.com.

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