Upcoming Webinar: Managing Non-Financial Misconduct Under SMCR
9 October 2025
11:00am ET | 3:00pm London | 4:00pm CET
Duration: 50 Minutes
Non-financial misconduct—encompassing behaviours such as bullying, sexual harassment, and discrimination is a key focus of the Senior Managers and Certification Regime (SMCR). The Financial Conduct Authority (FCA) has underscored that such misconduct is not only unethical but also poses significant risks to a firm’s culture and operational integrity. Recognizing the profound impact on organizational culture and stakeholder trust, the FCA has integrated non-financial misconduct into its regulatory framework, emphasizing that misconduct extends beyond financial improprieties.
Under the SMCR, firms are mandated to ensure that individuals in senior management and certified roles meet stringent standards of fitness and propriety. This encompasses assessments of honesty, integrity, and reputation, with non-financial misconduct being a pivotal consideration. The FCA’s stance is clear: tolerance of such behaviour can undermine a firm’s decision-making processes and risk management frameworks, ultimately eroding market integrity.
For senior compliance practitioners, legal professionals, internal auditors, and RegTech executives in capital markets, understanding the intricacies of managing non-financial misconduct under the SMCR is crucial. This webinar brings together a panel of industry experts to delve into the challenges and best practices associated with this pressing issue.
By attending this webinar, you will gain insights into:
- The regulatory expectations concerning non-financial misconduct under the SMCR.
- Effective strategies for integrating non-financial misconduct considerations into fitness and propriety assessments.
- The role of organizational culture in preventing and addressing non-financial misconduct.
- Best practices for conducting internal investigations and managing regulatory notifications related to non-financial misconduct.
- The implications of recent regulatory developments and enforcement actions on firm’s policies and procedures.
Speakers:
More about our speakers:
Paul Cottee
Director, Subject Matter Expert, Compliance
NICE Actimize
Paul Cottee joined NICE in April 2020 and is based in Hoboken, providing subject-matter expertise for OTC asset classes. Previous roles include Product Management at Nasdaq; Director, Financial Markets Compliance and Surveillance with global financial institutions in New York, Singapore and London; Associate Director, Rates Research for a major bank in London; Bloomberg EMEA SME for FICC; and Senior Futures Advisor and FX Dealer in Sydney. Paul holds a BA in Government and Economics from the University of Sydney and an LL.M in Banking and Admiralty Law from London Metropolitan University.
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