Non-financial misconduct now sits inside the FCA's view of fitness and propriety. For a small firm without a dedicated compliance team, that raises a real question: if asked tomorrow, could you show you have this covered? The six checks below are a starting point, not a full audit.
The readiness check
☐ Do you have a written policy that defines non-financial misconduct for your firm, covering harassment, bullying, discrimination and similar conduct?
☐ Have your senior managers and staff been trained on how the FCA Conduct Rules apply to non-financial misconduct specifically, not just financial crime?
☐ Can you produce evidence of who completed that training, and when, if the FCA asked for it tomorrow?
☐ Do staff have a clear, confidential way to raise concerns, and do they know it exists?
☐ Have you reviewed how non-financial misconduct now factors into fitness and propriety assessments for senior managers?
☐ Is your record keeping audit ready, or would you need days to pull it together?
How CoreCompliance helps you get ready for September 1
CoreCompliance includes regulator required coverage built for exactly this area, so the checklist above becomes something you can act on the same day rather than a to-do list. Relevant coverage includes:
Meeting the Conduct Rules
How the FCA Conduct Rules apply in practice, including non-financial misconduct, for senior managers and staff at solo and small firms.
Whistleblowing
How staff can raise concerns safely and confidentially, and how firms are expected to protect them.
SMCR Overview
The senior managers regime end to end, including how fitness and propriety assessments now factor in conduct outside the workplace.
Respect at work
Coverage of sexual harassment, bullying and discrimination, the underlying behaviours non-financial misconduct rules are designed to catch.
Every course sits inside one subscription, with audit-ready evidence of who completed what and when, and Aida on hand to answer specific questions grounded in the FCA Handbook rather than a general model.
Get your team covered
150+ courses included, from £349/user/year. 30 days, no card, cancel anytime. Take 10 minutes to try it out.
Not sure where to begin?
We can help. Having delivered compliance training to over 1,200 customers, we understand what each business needs to achieve compliance success. That’s why we created the NFM knowledge hub for more information, and opened free trials on our CoreCompliance portal for small firms.
Written by: Robert Glynn
Robert Glynn is a Compliance Solutions Manager at Skillcast. He specialises in helping organisations navigate their unique compliance challenges with tailored digital solutions. Robert also specialises in how data, training, and innovation can deliver insights that foster a culture of compliance and prevention. He currently leads Skillcast's CoreCompliance Solution, where he works with small businesses to enhance their compliance training.
