The FCA’s Policy on Non-Financial Misconduct

The FCA's Policy Statement is yet to be issued confirming its approach. We hope that it will answer questions such as:

• How does the FCA define Non-Financial Misconduct?
• To what extent does it cover misconduct, both inside and outside, of the office?
• How does Non-Financial Misconduct impact the fitness and propriety of Senior Managers and Certified Staff?

This webinar aims to provide practical guidance following the regulator's Policy Statement.

This webinar is aimed at those occupying Senior Management Functions, Compliance Officers, and HR professionals in regulated firms.

In this webinar, Peter Haines, Director of GRC Training at CCL Academy, offers practical guidance on how firms’ Senior Management should approach the challenge of Non-Financial Misconduct.

Peter Haines, Director of GRC Training

Peter Haines has extensive experience in handling conduct issues as a Senior Compliance Officer, Board Member, Trainer and Consultant.

With over 35 years’ experience in the field of regulation and compliance, and a chartered accountant, Peter spent 6 years working with the UK’s SFA (now the FCA) and has headed up regional and global compliance functions at Paribas, UBS Investment Bank and Bank of America.

Since 2006, Peter has specialised in training, focusing on Boards, Senior Management and assisting the next generation of Compliance Officers. His coverage includes most areas of Compliance and Financial Crime, as well as Corporate Governance and Risk Management. His style is inclusive, interactive and based on practicalities, not just rules.