Article
Tackling non-financial misconduct in financial services (“NFM”). Changes to the FCA’s Conduct Rules
New rule under COCON The Financial Conduct Authority (FCA) is introducing a new rule under the Code of Conduct (COCON) to explicitly address non-financial misconduct (NFM), such as bullying, harassment, and violence,...
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Article
Managing Conflicts of Interest
Managing conflicts of interest, is something no one (other than complete reprobates) objects to in principle. However, it is something that can be tricky to navigate in practice. For FCA regulated firms...
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Article
Firms’ treatment of customers in vulnerable circumstances – FCA review
Last year, the Financial Conduct Authority (FCA) announced that it was conducting a review of how firms treat customers in vulnerable circumstances. It also took the opportunity to consider whether its existing...
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