London Breakfast Briefing: Misconduct Risk and Firm Liability
Global Relay London 45 Cannon Street, London, EC4M 5SB
'Tis the season to be compliant
Join Global Relay and Pathlight Associates on October 29 as we discuss misconduct risk, alcohol-fueled workplace culture, and firm liability ahead of the holiday season.
The regulatory spotlight on non-financial misconduct has intensified—and festive socials raise the stakes. The FCA and PRA have made it clear that firm culture and conduct outside the office bears directly on fitness and propriety.
But where do personal lives end and regulatory obligations begin? How do leadership, HR, and compliance teams set the tone without becoming the fun police?
In the first of our monthly Breakfast Briefings, John Higgins and Maria Symeon of Pathlight Associates will explore where the boundaries fall, what to document, what to escalate, and how to build behavioral guardrails your staff will respect.
Format and agenda
08:00 to 08:30 – Registration and breakfast
Register for the event and enjoy a breakfast buffet spread prepared by our in-house catering team
08:30 to 09:15 – Breakfast briefing
Here’s a breakdown of the key discussion points for our session:
– The evolving regulatory scope: what the FCA’s stance on non-financial misconduct means for Senior Managers and Certification Regime (SMCR) compliance, fit-and-proper assessments, and regulatory references
– The “out of hours” trap: how to draw the line between private behavior and work-related social conduct
– Culture and psychology vs. tick-box compliance: how to set behavioral guardrails around leadership tone and psychological safety
09:15 to 10:00 – Optional product showcase
Discover how Global Relay surveillance surfaces conduct risk across the channels your teams actually use