From the 1st September, new FCA rules on non-financial misconduct come into force, extending accountability for behaviour like bullying, harassment and discrimination.
This is the biggest change to FCA Conduct Rules in a decade.
Is your firm ready for the change?
Our readiness & maintenance pack will give you the knowledge to be prepared for this change.
Designed for:
• SMF holders
• Compliance Officers
• Risk Managers
• Business & strategy leaders
The pack includes:
- Stockroom NFM Document List
- Create NFM Decision Tree
- HR Policy insertion pack
- Conduct Rules Breach Assessment Template
- Material & Relevant Test for FCA Non Financial Misconduct (NFM)
- Frequently Asked Questions: Non-Financial Misconduct
- Consequences of a NFM breach
- Conduct Rules Breach Summary
- FCA NonFinancial Misconduct (NFM) – Policy Update Checklist for Insurance Brokers
- NFM Gap Analysis readiness tool (excel)
- Practical Action List for Senior Managers
- Day 1 Readiness Checklist – FCA Non‑Financial Misconduct (NFM)
If you have any questions please contact usÂ
