Running an Effective NFM Investigation – From Allegation to Defensible Decision 2026
London, EC3V 1AA
Since 1 September 2026, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues.
- Who investigates?
- What evidence do you secure?
- How do you reach a fair decision when accounts conflict or someone resigns?
Join employment and financial services regulatory lawyers from Latham Watkins for a practical, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision.
Through worked examples and discussion, explore how to test evidence, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together, while keeping investigation findings, disciplinary decisions and regulatory assessments distinct.
By the end of the session, you’ll be better equipped to:
- Make the first call: triage an allegation, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.
- Set the scope: choose an investigator, manage conflicts and agree proportionate terms of reference.
- Test the evidence: plan interviews, assess conflicting accounts and handle reluctant witnesses or incomplete information.
- Handle difficult turns: respond when a senior person is implicated, someone resigns or new evidence emerges.
- Reach a defensible decision: distinguish findings from assumptions and record the evidence, reasoning and limitations.
- Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed, and consider reporting and regulatory references.
Who it’s for: HR, Compliance, Risk, Legal and senior managers at PIMFA member firms who commission, conduct or oversee NFM investigations.
Bring a colleague along for free
Book one place at £350 plus VAT and a colleague from your firm can attend the same session at no extra cost.
Bring HR and Compliance together to work through the same scenarios, clarify responsibilities and build a shared approach to handling investigations.
Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off.