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.
☐ 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?
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:
How the FCA Conduct Rules apply in practice, including non-financial misconduct, for senior managers and staff at solo and small firms.
How staff can raise concerns safely and confidentially, and how firms are expected to protect them.
The senior managers regime end to end, including how fitness and propriety assessments now factor in conduct outside the workplace.
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.
150+ courses included, from £349/user/year. 30 days, no card, cancel anytime. Take 10 minutes to try it out.