Non-financial misconduct in financial services can directly impact the continual assessment of a person’s fitness and propriety to carry out their role. With diversity & inclusion high on the regulators’ agenda, how firms investigate non-financial misconduct is coming under greater scrutiny. Merely investigating complaints promptly isn’t enough; firms need to respond intelligently and meaningfully.
In this article for Liability Risk and Insurance, Shoshana Bacall and Joanna Whymark discuss the impact of non-financial misconduct investigations in regulated sectors and share suggestions on conducting an intelligent and robust investigation.
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