PIMFA HR Briefing 2025: From Policy to Practice: HR’s Role in FCA Misconduct Rules

Non-financial misconduct is under comprehensive scrutiny from all fronts.

From 1 September 2026, wealth and advice firms will be subject to the FCA’s tougher stance on non-financial misconduct. This means that serious cases of bullying, harassment, or violence that lead to disciplinary action must be reported to the regulator, not just handled internally.

In this FREE 60-minute webinar, employment lawyers Chris Holme and Anousheh Bromfield of Clyde & Co cut through the complexity to show HR professionals what the change in the Rules mean in practice, how to update policies and investigations, and how to balance employment law with regulatory duties, and how to deal with non-financial misconduct between now and when the new Rules come into force.
Attending this session will help HR professionals:

1. Understand the FCA’s broadened remit on non-financial misconduct and its implications for HR.
2. Ensure compliance ahead of the new rules taking effect next year and understanding what to do in the interim.
3. Map the impact of the new rules on your policies, procedures and frameworks
4. Get started on assessing current COCON and FIT frameworks to identify gaps against new rules and proposed guidance
5. Distinguish between misconduct that is purely HR-managed and that which must be reported to the FCA.