Firms investigating disciplinary allegations of regulatory misconduct have to navigate a maze of complex law and regulation, including the firm’s disciplinary policies, employment law and financial services regulation. The FCA’s proposed new rules on non-financial misconduct will raise challenging issues for firms in balancing their regulatory obligations and employment law risks.
During our webinar, we discussed:
- The FCA’s expectations in relation to non-financial misconduct
- When non-financial misconduct might lead to Conduct Rule breaches
- How non-financial misconduct will impact fitness and propriety assessments
- Practical steps in dealing with allegations
Audience
This webinar is designed for human resources professionals in regulated financial services firms, in-house lawyers and others with responsibility for HR compliance within their firms.
Please note: this webinar was first broadcast on 18 April 2024. To watch the webinar on demand, please use the button below.
If you would like an accessible version of this webinar, please email our Events team on Events@burges-salmon.com.
You may also be interested in the following additional resources which provide more detail on some of the topics covered:
If you have any questions relating to what we discussed or have other employment or business immigration law issues where we may be able to help, please get in touch with Katie or James.