Handling Difficult Non-Financial Misconduct Cases: Meeting FCA Expectations and Employment Law

Introduction

How do you investigate and determine allegations of non-financial misconduct in a way that satisfies the FCA, is fair to those involved and withstands Employment Tribunal scrutiny? This practical masterclass provides a framework for managing difficult cases from initial complaint through to outcome.

What You Will Learn

This live and interactive session will cover the following:

• What amounts to non-financial misconduct for FCA purposes and what does not
• When conduct inside and outside the workplace can justify disciplinary action
• When non-financial misconduct engages the FCA Conduct Rules and Fit and Proper test
• How to investigate allegations fairly while meeting both FCA expectations and employment law obligations
• How to reach robust, defensible decisions that withstand regulatory and Employment Tribunal scrutiny

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.