Maria Symeon and John Higgins of Pathlight Associates joined Jennie Clarke at Global Relay to navigate non-financial misconduct and the risks of the corporate holiday party season.
Non-financial misconduct
Article label: Opinion
Firms are being asked to take the culture people bring with them seriously, without turning that into surveillance.
Premium article
Discussion included NFM, AI-generated transcription, and gifts and entertainment controls.
Market culture is improving but visible leadership and manager capability remain critical for setting the tone and defining good conduct.
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Our regular roundup of the latest news and developments from the FCA.
Premium article
Our regular roundup of the latest news and developments from the FCA.
Article label: Exclusive
Strong organizations are those that recognize when they have lost their way, and have the governance to find their way back.
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.