Non-Financial Misconduct Briefing for All Staff
Overview
Most firms set high standards for conduct, and make clear to their employees that non-financial misconduct (such as bullying or harassment) is not tolerated. However, staff are often confused about the practical application of the FCA’s rules and unclear about the boundary between work and private life.
This highly interactive briefing provides employees with a comprehensive overview of the FCA’s approach to NFM and its expectations of both firms and individual employees.
It explores a series of real-life scenarios and considers the practical steps that employees should take if they experience, or witness, NFM.
Who is this for?
This course is suitable for all levels of employee within an FCA regulated firm.
Learning Outcomes
After attending this course, participants will:
- Know the definition of non-financial misconduct
- Understand the FCA’s expectations of both firms and individuals
- Have considered a range of real-life scenarios
- Understand the practical steps that employees should take if NFM occurs
Course Details
- What do we mean by non-financial misconduct
- Definitions
- The FCA’s approach to NFM
- The divide between work and private life
- The legal and regulatory framework
- The Conduct Rules
- Fit and Proper
- Other related legal obligations
- Case studies
- Bullying
- Behaviour outside the office
- Social media
- How firms should handle NFM
- Practical steps to take if NFM occurs
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.