Free SMCR Conduct & Culture Tips

Length: 1-page | Format: Editable PPT / PDF

The FCA expects firms to be proactive in tackling non-financial misconduct.

A key tool in achieving this is by building a healthy company culture.

That means ensuring that every employee behaves in a way that not only meets company objectives but also provides great outcomes for customers.

Sounds simple, but how do you achieve it?

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Conduct & Culture Tips smcr training aid

How this desk aid will help...

Our tips will help you to set in place all of the processes needed to foster healthy company culture and avoid the gaze of regulators.

  • Building processes to identify, handle and escalate potential non-financial misconduct involving employees.
  • Establishing clear purposes and values that drive good conduct then checking that behaviour is consistent with these.
  • Including non-financial misconduct in fitness and propriety assessments on Senior Managers and Certified Persons.
  • Ensuring that Senior Managers take responsibility for tackling non-financial misconduct within their area.

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