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Code of Conduct Financial Services Industry Policies and Procedures

Ropes & Gray LLP

FCA Releases New Rules And Draft Guidance In The Fight Against Non-Financial Misconduct

Ropes & Gray LLP on

The Financial Conduct Authority's (FCA) long-awaited new measures for tackling non-financial misconduct (NFM) in financial services are (finally) here. On 2 July 2025, the FCA published its final rules in Consultation Paper...more

Proskauer Rose LLP

Broker-Dealer Beat - August 2019

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Remote Non-Branch Office Inspections: Facilitating Home Office Arrangements - Introduction - Financial services firms, like other businesses, must address employees' requests for more flexible work arrangements, including...more

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