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FCA publishes results of non-financial misconduct survey

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Published on: 30 October 2024
Published by LNB News

LNB News 30/10/2024

Document Information

Issue Date: 30 October 2024

Published Date: 30 October 2024

Jurisdiction(s): England, Northern Ireland, Scotland and Wales

Article summary

The Financial Conduct Authority (FCA) has published the results of a survey to better understand how firms record and manage allegations of non-financial misconduct. The survey of over 1,000 investment banks, brokers, and wholesale insurance firms, asking about recorded incidents of non-financial misconduct in 2021 to 2023, found that the number of allegations reported increased during that period.

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Jurisdiction(s):
England, Northern Ireland, Scotland and Wales

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