Skip to content

Getting non-financial misconduct coverage right in small firms

On-demand | Online

What you will learn:

  • What the FCA now expects. The new rules, who is in scope, and what firms need to be able to evidence. Including how COCON, FIT, and SMCR connect to staff behaviour.
  • How to treat your staff fairly. The FCA is asking firms to set everyone up to succeed — with training and evidence that fits the way you already operate.

  • Where HR, Compliance and Legal must align. What counts as serious NFM, how incidents get escalated, what goes into conduct rules reporting. And why staff need to be trained, not just sent a policy.

  • How to get covered quickly. A live demo of CoreCompliance — NFM and conduct coverage in place in minutes, audit-ready evidence from day one.
thumbnail (1)

Agenda

  • The September 2026 NFM rules — what small financial services firms must now cover
    What the FCA expects, who is in scope, and what audit-ready evidence looks like. How COCON, FIT and SMCR connect. Where small firms are most exposed and how to make sure you are covered.

  • Getting NFM coverage in place — live demo of CoreCompliance
    Assigning Conduct Rules and NFM coverage. Including speaking-up and whistleblowing. Viewing who is covered and who is not. One-click audit-ready evidence. Where Aida, the AI compliance assistant, fits.

  • Q&A
    Questions from the floor. Anything not covered in the session can be followed up by email.

Who should watch?

By role:

  • Heads of Compliance and CCOs 
  • HR Directors and Chief People Officers
  • Owners and MDs of FCA-regulated firms
  • Risk and Legal leads at small financial service firms
  • Investment managers and wealth managers
  • Fund managers, insurers, IFAs  

at FCA-regulated firms with 1-50 employees

By company: 

  • FinTech start-ups
  • IFAs
  • Boutique asset advisers
  • Mortgage advisers
  • Small insurers
  • Credit brokers

Meet the speakers

Katharine Leaman bio 330x330

Katharine Leaman

Former FCA regulator, CEO Leaman Crellin

Katharine Leaman is the founder and CEO of Leaman Crellin, an independent regulatory compliance consultancy she established in 2018. As CEO she runs the firm in full, covering strategy, business development, people management, technology, marketing, contracts, and operations, as well as leading client work. Her technical range is unusually broad: she has worked in retail and wholesale markets, insurance, investments, and banking, held senior policy and supervisory roles at the FSA, and operated across all three lines of defence. She has coached C-suite executives, including a CEO of a third-country bank branch in the UK, and advises boards on SMCR, CASS, Consumer Duty, market abuse, and financial crime. She is a Chartered Fellow of the Chartered Institute for Securities and Investment, a Fellow of the Chartered Management Institute, and Vice President as well as an Officer of ACI UK.

Laurence Tanti

Laurence Tanti

Compliance Solutions Manager and CoreCompliance lead | Skillcast

My role is to help organisations understand the importance of engaging compliance training while also contributing to the company’s marketing initiatives, brand positioning, outreach strategies, and client partnerships.