Course description
Non-financial misconduct is increasingly an area of focus for the FCA and the PRA and is seen as something that goes to a firm’s culture and poor culture is seen as a key root cause of major conduct failings in the financial services sector.
The regulators clear and repeated position is that ‘non-financial misconduct is misconduct plain and simple meaning that allegations of non-financial misconduct must be appropriately investigated and dealt with.
Presented by Carol Davis KC, this virtual classroom seminar will look at how best to achieve that aim.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
Non-financial misconduct is increasingly an area of focus for the FCA and the PRA and is seen as something that goes to a firm’s culture and poor culture is seen as a key root cause of major conduct failings in the financial services sector.
The regulators clear and repeated position is that ‘non-financial misconduct is misconduct plain and simple meaning that allegations of non-financial misconduct must be appropriately investigated and dealt with.
This new virtual classroom seminar will look at how best to achieve that aim.
What You Will Learn
This live and interactive session will cover the following:
- The conduct captured by the term non-financial misconduct
- The extent to which conduct outside of the workplace can be disciplined
- When non-financial misconduct might breach the conduct rules
- The impact of non-financial misconduct on the fit and proper assessment
- Getting it right when investigating allegations of non-financial misconduct
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...