Non-Financial Misconduct Briefing Series

The Financial Conduct Authority (FCA) has made clear that tackling non-financial misconduct (NFM) should be a priority for firms.

However, non-financial misconduct is a complex issue and potentially raises a series of challenges for firms.

Our Non-Financial Misconduct Briefing Series is designed to help firms implement robust NFM frameworks and to provide a forum for discussion.

These quarterly one-hour interactive briefings (delivered via Zoom) will consider the FCA’s evolving expectations regarding NFM and explore how firms can embed good practice. They will be delivered by our in-house specialists, who regularly discuss NFM with firms in various sectors and at all levels from conduct rules staff to Senior Management and Boards.

The sessions will include case studies, the latest data, events and practical tips.

To encourage open discussion, the briefings will operate under the ‘Chatham House Rule’* and will only be available ‘live’.

The briefings are designed for Senior Managers as well as Senior Compliance and HR professionals who have responsibility for implementing their firm’s framework for dealing with non-financial misconduct.

Participants of this programme will be able to:

• Attend 4 x 1-hour live briefings delivered quarterly via Zoom. To encourage open discussion amongst participants and the trainers. The sessions will be:
  • Limited to 20 participants
  • Subject to the Chatham House Rule

• Receive x 4 downloadable PDF updates for Compliance and HR staff

During the sessions, our subject matter experts will be on hand to respond to NFM-related questions. The sessions will include:

• The latest FCA updates, data and events
• Case studies and practical tips