Non-Financial misconduct - unblurring the lines

Join us for this Market Briefing where the experts from Mills & Reeve will discuss non-financial misconduct which has been an area of increasing focus over recent years. It is again high on the regulatory agenda, with the FCA’s goal being to ensure more visibility of the issue in the workplace.
Despite that spotlight, there remains limited written guidance from the FCA about the line between employment and regulatory matters and how best to navigate these often complex issues. This session provides an overview of the following topics:
• What is non-financial misconduct?
• Why is it a regulatory issue?
• Fitness and propriety considerations
• Senior manager and individual conduct rules
• The interplay between employment and regulatory considerations, including:
- Certification;
- Regulatory notifications;
- Disciplinary processes; and
- Regulatory references.
Learning Objectives
At the end of this session, delegates will be able to:
- Explain what non-financial misconduct is.
- Summarise why non-financial misconduct is a regulatory issue.
- Identify which regulatory rules should be considered if non-financial misconduct issues arise.
- Describe the challenges of investigating non-financial misconduct.
- Outline further developments on the horizon.