Non‑Financial Misconduct: Culture, Conduct and Personal Liability

Speakers: Katharine Leaman and Neil Makwana

Overview

This session explores the FCA's increased focus on non-financial misconduct (NFM)—including bullying, harassment, and poor behaviour—as a core cultural and compliance risk under SMCR from 1 September, alongside a broader deregulatory environment that heightens firm accountability.

Including practical approaches to evidencing culture change and speak‑up effectiveness to regulators and stakeholders.

SMCR & Non-financial Misconduct Training Course

Discussion points

Why is Financial Misconduct important, and what is changing?
What do you need to know?
Case studies explored: Uber and Brewdog
An understanding of personal liability for senior managers and partners

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Speaker profiles

Neil Makwana

Principal Compliance Consultant

Neil Makwana has held key roles at the UK FSA/PRA as a banking supervisor and at Barclays, in Regulatory functions across the bank. More recently, he worked in digital assets at OKX and Copper Technologies, where he led global licensing and authorisation initiatives. He brings deep regulatory knowledge to his work. He has hands-on insight in digital asset licensing, Third-Party Risk Management, compliance frameworks, regulatory change, risk assessments, corporate banking, and regulatory advocacy.

Neil’s foundation is in Accounting and Finance. Additionally, he holds an MBA from CASS Business School.

Katharine Leaman

Skillcast Advisory Board Member

Katharine has worked in financial services for over thirty years in insurance claims, giving investment advice, regulation, and banking compliance. Katharine has been European Head of Regulatory Compliance at Standard Chartered Bank and spent over a decade at the UK's regulator, the FSA (now FCA in senior policy and supervision roles.