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

In this webinar we explored how firms should deal with allegations of non-financial misconduct, clarified regulatory expectations, assessed key risk areas and identified 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.

At our webinar, 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 free to attend.

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.

Speakers

• Katie Russell, Partner

Katie is an experienced advisor in UK employment and discrimination law and is qualified in Scotland, England and Wales. She provides businesses with commercially focussed and strategic advice on the full range of employment law matters, including employment litigation.

• James Green, Director

James is an experienced employment lawyer who advises national and international business on all aspects of employment law. He has particular experience and expertise in advising employers in the financial services sector.