PIMFA
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As an HR, Compliance or Legal professional, understanding how the FCA conduct rules under SM&CR interplay with allegations of misconduct is crucial when you are undertaking any disciplinary process. You need to be alive to considerations of fitness and propriety and notification obligations to the FCA as well as understanding how the issues interrelate with regulatory references and settlement considerations.
In this FREE 90-minute webinar you will learn to:
- Identify what a Conduct Rule breach might look like
- When and how to report a breach
- Take appropriate action to your own specific ‘non-financial misconduct’ situations, both past and future.
- Follow good practice in embedding Conduct Rules (Tier 1 & 2) across your firm
A case study approach
Chris Holme and Anousheh Bromfield from the employment and investigations teams at Clyde & Co. take a deep dive look into what fitness and propriety means and when conduct falling below those standards needs to be notified to the FCA. Applying these principles to a case study will give you a clearer idea of how this operates in practice. Our case study, which will relate to non-financial misconduct, will consider whether there is a breach of the conduct rules, the impact on fitness and propriety, whether to notify the regulator and how this affects regulatory references and settlements.
As you review the case study, you’ll put yourself in the shoes of a decision maker, analysing the situation, and deciding what you would do to address the challenges. You’ll meet your peers in breakout rooms to share opinions before presenting your conclusions to the attendees.
Who should attend
The session is aimed at HR professionals, in-house employment lawyers, Compliance and anyone else in PIMFA member organisations who is involved in misconduct and regulatory matters.
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