FCA misconduct rules take effect
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 to maintain watchlists of FCA-registered individuals and monitor changes to their roles and employers, alongside firm status, permissions, disciplinary history and other FCA data.
Changes in an individual’s employer, regulated role or status can provide useful information in their own right and can become more significant when viewed alongside other FCA developments or disciplinary information.
The FCA Register will not, of course, disclose confidential regulatory references or every case of misconduct. But as regulation increasingly focuses on individual accountability and conduct, keeping track of who is moving where, what roles they hold and what changes around them becomes increasingly valuable.
Watchdog Services: watchdogservices.co.uk