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Non-financial misconduct: insights from FCA findings

By Sarah Jackman and Katharine Harle
November 27, 2024
  • Confidential information
  • Employment policies
  • Financial Conduct Authority
  • Grievance and disciplinary
  • Harassment
  • Non-disclosure agreements
  • Recruitment
  • Senior Managers Regime
  • Settlement agreements
  • Whistleblowing
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We look at the FCA’s recent survey on non-financial misconduct (NFM) in the wholesale financial services sector and provide our recommended actions for FCA firms in other sectors on our website.

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Confidential Information, employment policies, Financial Conduct Authority, grievance and disciplinary, harassment, Non-disclosure agreements, recruitment, Senior Managers Regime, Settlement agreements, Whistleblowing
Sarah Jackman

About Sarah Jackman

Sarah specializes in employment law and is counsel in Dentons' Glasgow office. With extensive in-house experience in the financial services sector, she is a trusted advisor to many of our high-profile clients. Known for aligning her legal advice with clients' business priorities and culture, Sarah often acts as an extension of in-house legal and HR teams. Her background in banking gives her a deep understanding of HR's role in regulatory matters, allowing her to advise on both contentious and non-contentious issues – particularly those related to the Senior Managers and Certification Regime. Sarah is also a frequent speaker at client events and has a keen interest in employee wellbeing. In 2024, she was selected as an inaugural member of our Shadow Executive Team.

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Katharine Harle

Katharine Harle

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