RegulationDec 5 2023

FCA regulation on non-financial misconduct

  • Describe some of the changes the FCA is making to the regime over non-financial misconduct
  • Explain the 'safe harbour' rules
  • Describe how it will treat misconduct outside of work
  • Describe some of the changes the FCA is making to the regime over non-financial misconduct
  • Explain the 'safe harbour' rules
  • Describe how it will treat misconduct outside of work
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Approx.30min
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CPD
Approx.30min
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pfs-logo
cisi-logo
CPD
Approx.30min
FCA regulation on non-financial misconduct
The FCA has put forward regulatory provisions about how firms should deal with 'lapses' in interpersonal behaviour by members of staff (Prostock-studio/Envato)

Hidden away at the back of the Financial Conduct Authority's recent consultation paper on diversity and inclusion in the financial sector are some important proposed new regulatory provisions about how firms should deal with "lapses" in interpersonal behaviour by members of their workforce.

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