Unpacking the FCA Nonfinancial Misconduct Survey

20 March 2024

9 a.m. – 10 a.m. GMT

Webinar

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The Financial Conduct Authority (FCA) has intensified its supervisory work on nonfinancial misconduct (NFM) by issuing a “Notice to Provide Information” to the financial services sector (under Section 165(1) of the Financial Services and Markets Act 2000 (FSMA)).

NFM is a core part of the FCA’s recent Diversity and Inclusion (D&I) consultation paper and the Treasury Select Committee’s enquiry into “Sexism in the City”, demonstrating the ongoing regulatory focus on conduct, D&I, governance and accountability – and perhaps the golden thread linking each of these areas: culture.

Join BDO LLP and Squire Patton Boggs on Wednesday 20 March to explore:

What is considered NFM in the employment law context
What is changing in the law around sexual harassment and why now
Who can be liable if NFM occurs and what are the legal and other consequences of not dealing with it properly
Regulatory implications – how NFM links to D&I, culture and governance
Practical steps firms should be taking

Our Speaker Panel

Bryn Doyle, Partner, Squire Patton Boggs

Bryn is a partner and head of the Manchester Labour & Employment Practice at Squire Patton Boggs, and has been an employment lawyer for two decades, with extensive experience in all areas of employment law. He specialises in advising professional services clients and is currently advising a number of professional services businesses both in the UK and overseas, including in relation to grievances, disciplinaries and the conduct of investigations in light of the professional obligations of accountants to different regulatory bodies. Prior to moving into private practice, Bryn worked in-house within the legal team of a large multinational plc. He brings this experience to forming his pragmatic and commercial approach to advising clients – bringing a calm manner and sensible, client-led solutions to the people challenges faced by modern business.

Helen Adams, Director, Squire Patton Boggs

Helen is a director in the Labour & Employment Practice. Helen is experienced in advising clients regulated by the FCA on the conduct of internal investigations in light of their obligations to the regulator, and recently advised an insurer on its investigation and response to allegations of racial discrimination and harassment. She also regularly advises senior executives on contract and exit negotiations, and has niche expertise in advising corporate clients facing board-level issues; advising clients in the financial services sector on contentious and noncontentious partnership matters; and advising high-net-worth individuals on staffing issues, including the protection of confidential personal information and minimum wage and working time issues arising from irregular working patterns.

Sasha Molodtsov, Partner, Financial Services Advisory, BDO LLP (Chair)

Sasha is a Financial Services partner, leading the D&I advisory team, which sits within BDO’s Financial Services ESG and Regulatory Advisory practice and has recently returned from secondment with the Bank of England. Sasha co-leads the Diversity Project’s Ambassador Programme and is a charity trustee, in addition to her mentor role with Women in Banking and Finance, the 30% Club and The Prince’s Trust. Alison Barker, Special Adviser, Financial Services Advisory, BDO LLP Alison has recently joined BDO as a special adviser on regulation in the Financial Services Advisory practice. Alison has been leading on the new Consumer Duty based on her recent regulatory experience. Alison is a regulatory expert with deep understanding of the UK financial regulatory regimes and approach. Prior to working at BDO, Alison spent over 12 years at the FCA and was a director in Supervision. Previously, Alison was in senior roles in KPMG’s regulatory practice and at TSB Bank plc. Alison is also an independent nonexecutive director at the Consumer Codes Approval Board.

Jennifer Cafferky, Associate Director, Financial Services Advisory, BDO LLP

Jennifer is an associate director in BDO’s Financial Services Advisory Practice. She sits specifically within the firm’s Governance and Risk Team, and specialises in corporate governance, board effectiveness, culture and DEI . Jennifer is also a chartered psychologist, and holds a professional doctorate, which supports the culture and DEI work that she focuses on and is passionate about.

*Please note the registration for this event is being handled by BDO LLP.

Bryn Doyle Manchester

Helen Adams Manchester

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