Effective 1 September 2026, non-financial misconduct becomes a live test of how firms govern behaviour, culture and accountability.
This is no longer just an HR issue, or something evidenced by policy updates and training completion alone. Firms need to show that staff understand what is expected, managers know when to act, HR and Compliance are connected, and Senior Managers can evidence control.
Join PIMFA, Elephants Don’t Forget and leading global law firm Clyde & Co for a practical, scenario-led 60-minute webinar designed to help firms move from awareness to readiness.
We’ll explore the legal, regulatory and competence challenges behind NFM, including Conduct Rules, fitness and propriety, regulatory references, escalation, workplace culture and the grey areas firms need to navigate.
Webinar discussion points include:
The grey areas firms need to get right: Including work socials, client dinners, WhatsApp messages, social media, conduct outside the office, power imbalances, alcohol, “rainmakers” and behaviour that may not be unlawful but still falls below expected standards.
Where firms are already slipping up: Including weak escalation, disconnected HR and Compliance processes, over-reliance on policy updates, poor manager confidence and treating training completion as proof of readiness.
How the FCA may enforce NFM: Including Conduct Rule breaches, fitness and propriety assessments, regulatory reporting, regulatory references, Senior Manager accountability and scrutiny of firms’ systems and controls.
Why training completion is not enough: How firms can move from basic attendance records to objective evidence of understanding, confidence, behavioural reinforcement and competence.
What “good” readiness looks like before 1 September: Including updated policies, connected processes, briefed managers, tested staff, documented risks and clear senior ownership.