AFB Practice Workshop: Spotlight on Non-financial Misconduct

The FCA has indicated that one of the clearest warning signs of a failing culture is non-financial misconduct not being challenged. Failure to tackle such behaviour drives away good people, prevents staff from speaking up, and undermines performance. In doing so, it damages growth and enables financial misconduct.

The FCA also says that non-financial misconduct is as damaging to the financial services industry as financial misconduct. There are difficulties in defining non-financial misconduct, and new FCA rules and guidance are coming into force on 1 September 2026.  These make clear that bullying and harassment towards colleagues are regulatory issues, and it is therefore more important than ever that firms review their approach to non-financial misconduct.

This interactive practice workshop, held in partnership with Kingsley Napley LLP, will cover the changes to rules and guidance. The workshop will provide an overview of the FCA’s current approach and consider scenarios which might attract FCA supervisory scrutiny. There will be particular focus on the legal and practical considerations that arise when such incidents come to light within regulated financial institutions.

Why attend?

Following attendance at this workshop, participants will be able to:

• Understand the changes being made to the FIT and COCON regimes
• Learn how to minimise regulatory risk arising from non-financial misconduct by staff
• Gain insights from experts and peers on how to deal with the FCA
• Learn how to communicate effectively with the regulator
• Hear practical case studies and lessons learned from recent regulatory actions
• Learn how to strengthen their organisation’s culture transparency and accountability

What will members gain for use at their bank?

• Understand evolving supervisory regulatory expectations and trends from the FCA
• Strategies to engage effectively with the FCA
• The opportunity to engage in facilitated discussion on these issues with fellow AFB members and the Kingsley Napley Financial Services practice. This includes experts from criminal litigation and investigations, and employment teams. 

Who should attend?

The session is designed to assist professionals from Compliance, Legal, Risk, Internal Audit and HR functions.

Speakers

Moderators for the seminar are drawn from specialist teams within Kingsley Napley.

The session will be facilitated by:

James Alleyne – Partner (Financial Services Investigations and Enforcement)

James is a Partner in the firm’s Financial Services Group. He advises clients on the full spectrum of financial services and FCA-related matters, including on authorisation and approval applications, perimeter and supervisory issues, internal and enforcement investigations as well as cases before the Regulatory Decisions Committee and Upper Tribunal.

Prior to joining Kingsley Napley LLP in 2022, James spent 7 years in the Enforcement Division of the Financial Conduct Authority where he worked on a wide range of investigations and litigation, including in relation to sexual misconduct, anti-money laundering, and systems and controls. James also set up and led the FCA’s dedicated interventions function, a team of legal specialists which was established to facilitate the taking of assertive supervisory action against regulated firms. During this time, James led the FCA’s most high profile and complex supervisory interventions to date, including against Binance and Dolfin Financial (UK) Ltd.

As a result, James has a particular expertise in the FCA’s supervisory approach and remit and in its use of supervisory tools and powers. James continues to advise regulated firms across a range of sectors (including asset management, trading and investments, consumer credit, payments) on a wide range of supervisory issues, including internal investigations, regulatory risk management, breaches of conduct rules, reporting and notifications, skilled persons reviews and the imposition of requirements.

In addition to this, James has extensive experience in advising firms and individuals on authorisations applications and on criminal and regulatory enforcement investigations, at all stages including to the RDC, Upper Tribunal and criminal courts, and cases involving sexual misconduct in the workplace.

He is ranked as a Next Generation Partner in Legal 500 (2026 edition) for Contentious Financial Services. 

Logistics 

Format: In-person at Kingsley Napley LLP:  20 Bonhill St. London EC2A 4DN

Fee: £275.00 + VAT

Date: Tuesday 7 July 2026

Time: 09.00 – 11.00 (Registration and breakfast from 08.30)

Places: Maximum of 30 people

If you would like to submit a question or have any specific areas that you would like the session

to address, please send them to the AFB at secretariat@foreignbanks.org.uk. You will receive final event details one week before the event.

You will only be deemed to have attended (for CPD points) if you have made yourself known at registration and attend 50% or more of the session.

Please note that the cost charged for this event is payable to the Association of Foreign Banks. Kingsley Napley is not charging the AFB or Members for hosting this event.