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Latest News
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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 guidance on non-financial misconduct: Top 12 takeaways from CP25/18
Ashurst set out the key takeaways from the paper, which is clearly important – but not for the reasons the FCA has given.
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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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How employers should carry out internal investigations in France
French employers may decline internal investigations for misconduct if no further investigation is necessary to ensure employee protection.
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Crispin Odey hit with £1.8m fine and industry ban by the FCA
The FCA found Odey’s behavior towards both OAM and the FCA lacked “candor.”
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How to implement new duties to prevent sexual harassment at work
From October 26, UK employers must take reasonable steps to prevent sexual harassment of their workers, including by third parties.
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Harassment claim puts supervision of off-channel comms in spotlight
The federal lawsuit features allegations of harassment and supervisory failures.
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New leader coming to FDIC – and other items on our risk radar
News of the FDIC chair’s resignation, plus upcoming compliance dates and the latest on crypto ETFs.