In the sixth podcast in our DE&I series, Jonathan Herbst, Katie Stephen, Rebecca Dulieu and Simon Lovegrove discuss non-financial misconduct including previous FCA enforcement action, the FCA’s proposals in CP23/20 and the practical steps that firms can take in this area. The podcast is the first in a planned mini-series that will focus on this complex and evolving topic.

Spotify/Apple

Regulation Tomorrow Plus: DE&I series “Non-financial misconduct”

Contacts

Global Head of Financial Services
Co-Head of the Contentious Financial Services Group, London
Senior Associate
Global Director of Financial Services Knowledge, Innovation and Product