A practical guide to the FCA's new workplace conduct expectations

Overview

From 1 September 2026, the Financial Conduct Authority's (FCA) new Non-Financial Misconduct (NFM) rule and guidance will come into force, marking a significant shift in how firms assess workplace behaviour across the Financial Services sector.

Our clients have been asking us about how they can navigate the changes to manage people under the FCA's guidance and framework, and how it interplays with employment law, .

We are pleased to invite you to express an interest in us holding a training workshop at a time and place to suit your team.

Different organisations have different needs, and the workshop will be bespoke to your organisation and designed to help you ensure overlapping regulatory and employment law risks are taken into account and that decisions and investigations stand up to scrutiny.

What we will cover

During bespoke sessions our multi-disciplinary team will cover:

  • How the new rule changes expectations under the Code of Conduct sourcebook (COCON) and Fit and Proper test for Employees and Senior Personnel (FIT) will impact you
  • Practical steps for handling allegations from initial triage through to investigation
  • Managing the overlap between employment law risk and regulatory obligations
  • Being fully compliant with the Employment Rights Act 2025 and provisions to further strengthen employer duties to prevent sexual harassment
  • Handling investigations into potential employee misconduct in a way that minimises exposure to ligation risk

Why attend?

You will gain:

  • A practical framework for handling non-financial misconduct issues
  • Greater confidence in managing investigations and decision-making
  • Insight into how cases may be tested in tribunal, litigation and enforcement settings

The training itself will help demonstrate to the FCA that your firm takes compliance with the conduct rules seriously. It will also support your firm in meeting the FCA's expectations in an area where future enforcement action is considered likely.

Our approach

Our NFM Team brings together specialists in Employment, Financial Services Regulation and Commercial Litigation to support clients through the full lifecycle of non-financial misconduct issues, from initial triage through to complex investigations. We focus on helping firms make decisions that stand up to scrutiny across both regulatory and legal forums.

The workshop will be priced on application, based on your team's requirements.