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Make sure your firm knows the new rules and guidance to help tackle non financial misconduct (NFM).
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FCA Misconduct Rules Put Surveillance Evidence and HR–Compliance Workflows to the Test
The Financial Conduct Authority’s expanded non-financial misconduct rules took effect on 1 September, bringing around 37,000 non-bank firms within a broader conduct regime. Firms now need to show how complaints, communications evidence and employment investigations inform regulatory decisions. New rule COCON 1.1.7FR covers serious work-related bullying, harassment and violence towards colleagues. It brings non-bank firms...
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