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Emily Barrett on Muck Rack

Emily Barrett

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Articles

Unpacking the FCA’s survey on non-financial misconduct | JD Supra

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By Emily Barrett
| JD Supra
The Financial Conduct Authority’s (FCA) latest survey issued to certain regulated firms suggests that tackling non-financial misconduct remains a key strategic priority for the UK regulator. This comes hot on the heels of wider proposals relating to diversity and inclusion in the UK financial services sector, which include amendments to the FCA’s rules to expressly accommodate non-financial misconduct and enable the FCA to intervene more easily.
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FCA guidance on non-financial misconduct | JD Supra

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By Emily Barrett, Sarah Hitchins, Grace Miller
| JD Supra
The UK Financial Conduct Authority's consultation on diversity and inclusion (D&I) in financial services proposes new rules and guidance on identifying and taking action in relation to non-financial misconduct such as bullying and sexual harassment. The regulator’s latest proposals provide some clarity, for example, on when misconduct occurring outside the workplace, or in an individual’s private life, should be taken into account when assessing fitness and propriety.
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D&I in FS: new rules and guidance on non-financial misconduct | JD Supra

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By Emily Barrett, Sarah Hitchins, Grace Miller
| JD Supra
The FCA is focused on reducing non-financial misconduct to enhance the reputation of the UK financial services sector. Spurred on by positive levels of engagement with its 2021 discussion paper, the FCA’s latest consultation on diversity and inclusion in the financial sector reinforces its view that non-financial misconduct is misconduct, plain and simple. However, there remain a number of challenging issues that firms will need to carefully navigate.
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