Culture, conduct, and compliance: Addressing non-financial misconduct

The FCA is increasingly focused on governance and culture, with non-financial misconduct highlighted as a key element. Recent high-profile cases and the FCA / PRA’s consultations have revealed the limitations of the current regulatory framework for assessing individuals in respect of misconduct in their personal lives.

In this webinar, we spoke with Partner (Dispute Resolution) Adam Epstein, Partner (Employment) Laura Penny, and Managing Associate (Dispute Resolution) Elizabeth Hope from law firm Mishcon de Reya to discuss practical examples of how firms can successfully navigate between the different types of non-financial misconduct, and the various implications these bring to their business operations and culture.

Our panellists covered:

• the proposed new FCA rules and how they differ from the old regime
• the challenges faced by firms and individuals, including regulatory and employment-related staffing issues
• how best to investigate suspected non-financial misconduct and making complex judgements.