Global Regulation, Local Solutions Emerging Themes 2020 - Page 17



SUPERVISION
EMERGING THEMES 2020
SPEAK UP,
LISTEN UP
THE FCA ZEROES IN
ON NON-FINANCIAL
MISCONDUCT
The FCA is sending out a clear message
to firms: bullying and harassment,
including sexual harassment, and other
“non-financial misconduct”, is just as
important to the FCA’s view of a person’s
suitability to work in financial services as
whether they have complied with the
regulatory rules. As a result, how your
firm handles non-financial misconduct
will also affect the FCA’s assessment of
the firm itself.
16/
/17

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