FCA misconduct rules take effect today From 1 September 2026, the FCA’s Conduct Rules explicitly extend to serious workplace bullying, harassment and violence across around 37,000 additional regulated firms. Importantly, serious substantiated misconduct may also need to follow an individual through the regulatory reference process when they move between firms. For Watchdog, this highlights the growing importance of monitoring people as well as firms. Watchdog allows clients t

The National Law Review has highlighted recent FCA commentary on the future of the Senior Managers & Certification Regime. The FCA’s intention is to simplify the framework, reducing unnecessary complexity while maintaining clear accountability for senior managers. The direction of travel is towards a more proportionate regime, with less emphasis on process and documentation, and greater focus on practical oversight and responsibility. This reflects ongoing feedback that SM&CR