Non-Financial Misconduct - Interactive Webinar

Non-Financial Misconduct is of growing importance to the financial regulators. What exactly does it mean? How is it identified and what should a regulated firm do both to prevent it and to deal with it should wrongdoing take place? Tom Walker and Hester Jewitt of Penningtons Manches Cooper LLP will outline the core points from the FCA's July discussion paper and set out what will be expected from a firm's compliance and HR functions. Participants will be able to share their view on this developing area in a 90 minute interactive webinar session and will gain a good understanding of the new regulations.

Key Learning Objectives

• Non-financial misconduct is now a regulatory issue
• There is senior management accountability
• The relevance of misconduct in personal and private life will be explored
• The webinar will analyse whether misconduct is:
• so serious as to breach COCON
• a breach of the standards and requirements of FIT
• It will set out steps for firms to take to ensure best practice

• The background - from #MeToo to psychological safety
• Identifying non-financial misconduct
• Senior Management expectations and accountability
• What types of conduct are serious enough to breach the Code of Conduct
• The boundary between work and private life
• The interplay between the Code of Conduct and Fit & Proper
• Regulatory references
• hat your firm should be doing now – both within HR and compliance.

Tom Walker

Partner, Employment Team and Financial Regulatory Sector - Penningtons Manches Cooper LLP

Tom specialises in high-level advice to boards and senior executives in the financial services sector. He has a particular interest in discrimination, covenant litigation and FCA regulation. He regularly advises high net worth individuals on career moves, termination agreements and the negotiation of service agreements.

Hester Jewitt

Managing Associate, Employment Team and Financial Regulatory Sector - Penningtons Manches Cooper LLP

 Hester advises on a broad range of employment issues both contentious and non-contentious, often with an international dimension. Her clients range from senior executives to multi-national companies with particular expertise in the financial regulatory aspects of HR and the Senior Managers and Certification Regime. She devises and runs training events for clients on the employment law issues that arise when managing their staff from recruitment to termination. 

This course is important for any one with responsibility for HR or compliance in a regulated firm. It will also be of interest to anyone working within the financial services sector.

£95.00 + VAT

Pay using a credit card online, or if you wish to be invoiced please email your full details to: Training@theia.org

PLEASE NOTE: Full payment for the course must be made prior to the course commencement date.

• Any cancellation must be made in writing.
• For all cancellation received 15-30 days prior to the course start date, 50% of the course fee is still payable.
• No refund is given for a cancellation made 14 days or less prior to the commencement of a course.
• Transferring from one course to another is treated as a cancellation.
• You can substitute one delegate for another at no additional cost. In this instance, please give two business days’ notice.