Non-Financial Misconduct Briefing for Senior Managers
Overview
The FCA considers that a firm’s failure to challenge non-financial misconduct (such as bullying and harassment) is a clear warning sign of a failing culture. However, many Senior Managers are uncertain of how to deal with these often complex issues, and are confused about the overlapping legal and regulatory obligations.
This highly interactive workshop provides a comprehensive overview of the FCA’s approach to non-financial misconduct (NFM) and its expectations of both firms and Senior Managers.
The course also explores a series of real-life scenarios and considers the practical steps that individual Senior Managers should take.
Who is this for?
This course is suitable for any Senior Manager in an FCA-regulated firm. It is also suitable for Compliance and HR professionals, as well as those who have responsibility for their firm’s disciplinary procedures and/or certification process.
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 Senior Managers should take
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 – what would you do?
- Bullying
- Behaviour outside the office
- Social media
- Building a robust internal process
Practical steps every Senior Manager should take
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.