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Legal implications of the FCA’s new non-financial misconduct rule
New rule, COCON 1.1.7FR, expands the scope of COCON for non-banks in the context of NFM and comes into force on September 1, 2026.
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FCA work in review: June 26-July 4, 2025
Our at-a-glance guide to another week of FCA activity.
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FCA moves to tackle non-financial misconduct at firms
Under the new rules, serious bullying and harassment in all regulated firms will qualify as misconduct.
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GRIP Extra: DoJ settles with American Express, Supreme Court upholds TikTok ban
Other news includes a host of CFPB settlements, an OCC fine against former Wells Fargo execs, and a massive fine against Toyota for emission reporting deception.
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GRIP Extra: Chinese hackers breach US Treasury, House votes to sanction ICC
Other news includes an expected UBS fine in the hundreds of millions, a CFPB rule excluding medical debt from credit reports, and key US agency departures.
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GRIP Extra: McKinsey slapped with $650m fine for pharma work, CFPB goes after Zelle
Other news includes a startling fact about North Korean crypto theft, a damning report about the management of Credit Suisse, and a potential Honda-Nissan merger.
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CEOs, bad behavior and effective incentives for compliance
What can be done when senior executives are behaving so badly that some of the largest risks facing their organizations are them?