FCA Non-Financial Misconduct Rules: Are You Ready for 1 September 2026?
From September 1, 2026, non-financial misconduct (NFM) rules are changing. The Financial Conduct Authority’s (FCA) conduct rules explicitly extend to workplace bullying, harassment, sexual harassment, and violence, covering 37,000 non-bank firms for the first time. Is your firm ready?
Understanding the FCA’s NFM framework
Watch our podcast with Nathan Willmott, Partner at Ashurst, to understand the application of the FCA’s NFM rule (COCON 1.1.7FR), the policy statement that created it (PS25/23), and learn how to prepare for new regulatory expectations.
Understanding the FCA’s NFM framework
Watch our podcast with Nathan Willmott, Partner at Ashurst, to understand the application of the FCA’s NFM rule (COCON 1.1.7FR), the policy statement that created it (PS25/23), and learn how to prepare for new regulatory expectations.
How Global Relay can help
Global Relay's communications capture, archive, and surveillance platform gives firms access to all the controls, audit trails, and escalation workflows the FCA will expect them to utilize from 1 September 2026.
Capture and archive email, Teams, Zoom, Bloomberg, and more with immutable WORM-compliant retention, built for the FCA's enhanced NFM requirements.
Natural language processing (NLP) detects signs of coercion, hostile tone, and coded language, identifying NFM risk before it reaches a formal complaint or FCA inquiry.
Extend compliant capture to mobile messaging, ensuring even informal channels leave the same defensible, complete audit trail as regulated business communications.
Purpose-built pathways route behavioral alerts to the right function, with need-to-know access controls keeping sensitive data properly protected.
Regulatory-grade dashboards give your risk committee the level of oversight expected by the FCA, including allegation volumes, escalation rates, and NFM trends.
Map conduct breaches to COCON obligations, bolster SUP 15.11 reporting, reduce personal SMCR liability, and provide a defensible decision log for every case.
Don't let the deadline catch you unprepared.
Share a few details and our team will be in touch to discuss your NFM surveillance and compliance requirements ahead of the FCA’s deadline.
