COCON

Includes removal of the Certification Regime and Directory, moving SMFs from pre-approval, and reducing firms in the Enhanced regime.

Firms are being asked to take the culture people bring with them seriously, without turning that into surveillance.

Market culture is improving but visible leadership and manager capability remain critical for setting the tone and defining good conduct.

John Higgins and Maria Symeon share practical advice on documenting oversight, managing delegation, and evidencing challenge.

In this final article in our NFM series, we consider some of the practical challenges firms may face when investigating allegations of non-financial misconduct.

A look at the role of managers in the new regulatory framework, particularly in the context of speak up and whistleblowing channels.

What boards should now be asking to safeguard their employees.

We assess how the guidance might influence a firm’s response to an offensive social media post made by an employee in their private life.