Overview

This course explores non-financial misconduct (NFM) and how it is regulated under the FCA’s Conduct Rules (COCON). Through expert-led video content, practical scenarios and role-based pathways, learners examine behaviours such as bullying, harassment, discrimination and workplace misconduct, and how these can impact fitness and propriety assessments. The course explains how culture drives risk, when behaviour becomes a regulatory issue, and what actions to take when concerns arise. Learners will build confidence in identifying, addressing and escalating misconduct in line with FCA expectations.

Objectives

In this course you will:

• Identify non-financial misconduct and behaviours that may breach FCA requirements
• Recognise how non-financial misconduct can impact fitness and propriety assessments
• Apply FCA guidance to navigate scenarios involving non-financial misconduct
• Demonstrate when and how to raise concerns and escalate issues appropriately

This course provides a practical overview of non-financial misconduct under the FCA Conduct Rules, with optional additional content for managers on cultural governance. It is suitable as part of an induction or as a refresher on conduct, culture and behavioural risk.