Complete Guide to FCA Non-Financial Misconduct
The FCA’s new Non-Financial Misconduct (NFM) rules mark a major shift for the financial services sector – making culture a compliance issue, not just an HR one. Inside this comprehensive report, you’ll learn:
- How the FCA defines and regulates non-financial misconduct
- Why poor behaviour now poses real regulatory and reputational risk
- What systems and evidence regulators expect firms to have in place
- The action plan your board, compliance and HR teams need before 2026
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Why this guide matters
Financial services employ over 2.5 million people, but persistent issues like bullying, harassment, discrimination, and misuse of NDAs continue to put employees and firms at risk. The FCA’s new NFM rules extend regulatory scrutiny to all types of serious misconduct, inside and outside of work, for thousands of firms.
With less than a year until the new rules come into force, early adopters will not only reduce regulatory risk but gain a competitive advantage by embedding a culture of integrity and trust.
Visit our FCA Non-Financial Misconduct Compliance Hub for further insights and preparation tools.
What you’ll gain from this guide
This goes compliance. It’s a roadmap for leaders who want to turn culture into a strategic advantage. You’ll discover:
FCA’s vision for culture – Why misconduct oversight is now central to organisational resilience.
Hidden risks & blind spots – Power imbalances and governance gaps that undermine trust.
Speak Up done right – Practical ways to empower employees and increase reporting.
Preventing misconduct – Early interventions and data-driven monitoring.
Leadership in action – How boards and senior managers can demonstrate accountability and compliance.
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