Last week, the FCA published its long-awaited policy statement containing amendments to the FCA’s Code of Conduct (“COCON”) aimed at combatting non-financial misconduct (“NFM”). NFM can amount to a breach of FCA rules in any...more
7/9/2025
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Bullying ,
Code of Conduct ,
Consultation ,
Corporate Misconduct ,
Employee Misconduct ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Policy Statement ,
Sexual Assault ,
Sexual Harassment ,
SMCR ,
UK ,
Workplace Bullying
Make no mistake, nonfinancial misconduct remains at the top of the Financial Conduct Authority's agenda.
Originally published in Law360 - November 26, 2024....more
11/27/2024
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Board of Directors ,
Compliance ,
Corporate Culture ,
Corporate Misconduct ,
Data Collection ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Grievance Process ,
Illegal Drugs ,
Policies and Procedures ,
Risk Assessment ,
Surveys ,
Trade Associations ,
UK ,
Whistleblowers
Recent weeks have seen several notable developments in the UK criminal enforcement landscape...more
5/20/2024
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Compliance ,
Corporate Crimes ,
Corporate Misconduct ,
Criminal Investigations ,
Criminal Liability ,
Criminal Prosecution ,
Due Diligence ,
Fraud ,
Law Enforcement ,
Money Laundering ,
National Crime Agency (NCA) ,
New Guidance ,
Popular ,
Risk Assessment ,
Serious Fraud Office (SFO) ,
Tax Evasion ,
UK
“The wholesale insurance market in particular has a long way to go in having an inclusive culture...areas for improvement include...preventing and handling non-financial misconduct,” stated the Financial Conduct Authority...more