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ARTICLE · 30 SEPTEMBER 2026

FCA Non-financial Misconduct Rules Now In Force

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The Financial Conduct Authority's new non-financial misconduct rules have come into force, fundamentally changing how regulated firms must handle workplace issues like bullying, harassment and violence. These changes directly impact Conduct Rule compliance, fitness assessments, and regulatory references, while placing heightened expectations on senior leaders to proactively prevent and address misconduct. Firms must now urgently review their policies, investigation procedures, and management training to mee

United KingdomEmployment and HR
Joanne Leach
Joanne Leach

The FCA's new non-financial misconduct (NFM) rules and guidance are now in force, marking a significant shift in regulatory expectations across the financial services sector. Serious workplace misconduct, including bullying, harassment and violence, can now have direct implications for Conduct Rule compliance, fitness and propriety assessments, and regulatory references.

The changes also place greater emphasis on the role of senior leaders. The FCA's guidance addresses the "reasonable steps" expected of managers, reinforcing the need for Senior Managers and other leaders to take a proactive approach to identifying, addressing and preventing non-financial misconduct within their teams and organisations.

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