Investigations Horizons - Beyond the FCA guidance: why firms must lead on tackling misconduct

Zoom Webinar | 3 February 2026, 10:00 - 11:00

The FCA has spoken – and its message is clear: firms must continue to exercise their own judgment in tackling non-financial misconduct. Here’s what that means for you – from culture and compliance to credibility.

In this interactive webinar, we explore the FCA’s recently published final guidance on tackling non-financial misconduct in financial services. With the FCA delivering strong messages that the guidance “can’t cover every scenario”, firms must “exercise judgement” and that the “primary responsibility for preventing and dealing with non-financial misconduct lies with firms”, the onus now squarely sits on firms to interpret the regulator’s updated expectations and implement them in a manner which is consistent with their business. Firms must do this in a relatively short timeframe, with the guidance coming into force in September 2026.

To assist firms, during the webinar we will discuss:

The key changes between the draft consultation guidance and final guidance.
How to navigate whether non-financial misconduct is serious enough to lead to Conduct Rule breaches, in absence of a common seriousness threshold.
The boundary between work and private life in the context of fitness and propriety assessments.
When activity on social media becomes a regulatory matter.
Who is a manager and expectations of that role in addressing non-financial misconduct.
Steps firms should now be taking to align training, governance, policies and procedures to the new guidance.

This webinar is suitable for individuals working within regulated firms including in house counsel, human resources, risk, compliance and reward professionals, investigations and whistleblowing teams, senior managers/certified staff or those with managerial responsibilities, and senior stakeholders accountable for conduct related matters.