Culture and compliance: addressing non-financial misconduct

Following the relaunch of the Fox Williams FS Compliance Forum, Sona Ganatra and Marian Bloodworth hosted a 30-minute webinar on Wednesday 2 July, which explored the challenges of dealing with complaints and allegations of Non-Financial Misconduct as a compliance officer.

As regulators and stakeholders place increasing emphasis on culture, behaviour, and accountability in financial services firms, compliance officers are often at the forefront of managing the regulatory implications of issues such as bullying, harassment, discrimination, and other forms of unethical conduct. Our experts examined the grey areas that arise when allegations impact regulatory, HR, and reputational risk rather than financial integrity, discussed the balance between regulatory expectations and internal due process, and provided practical insights into managing these sensitive matters effectively and ethically.