Non-Financial Misconduct (NFM)

One half-day

21 July 2026, 09:30 - 13:00 (UK time)

Navigating the FCA's Non-Financial Misconduct (NFM) Regime – Post Implementation

The Financial Conduct Authority's (FCA) overhauled framework on Non-Financial Misconduct (NFM) is now fully in force. Moving beyond traditional, "tick-box" exercises, firms are now legally required to operate under an evidential, fact-based model where serious personal misconduct—such as bullying, harassment, and violence—directly impacts regulatory standing. 

This workshop is designed to provide you with practical techniques and a clear framework for addressing NFM. 

Public course booking

Members: £139pp
Non-members: £199pp

To book this workshop for yourself or up to 6 Delegates, please complete the below form:

Corporate (In-house) training

To book this workshop for your company as a corporate (in-house) training session for between 7-16 Delegates, on a date that's convenient for you, please complete the below form to register your interest:

Summary

 Dates: 21 July 2026

Timings: 09:30-13:00 (UK)

 Duration: One half-day

 No of attendees: Up to 14

Format: Online - virtual delivery

CPD: Recognised

Trainer: Steve Fairclough (Elf Education)

 Price: £139 Members / £199 Non-Members

Workshop Overview

This practical, post-implementation workshop shifts the focus from preparation to live operations. It equips firms with a clear framework to police the legal perimeters between an employee's professional role and their private life, protecting the organisation from regulatory breaches, severe reputational fallout, and systemic cultural failures under the live regime. It will reference relevant and recent FCA commentary.

By the end of this workshop, participants will be able to:

• Navigate Live Controls: Manage NFM day-to-day within the wider Senior Managers and Certification Regime (SM&CR) framework. 
• Apply Regulatory Thresholds: Differentiate confidently between live Conduct Rules (COCON) applicability for work-related behaviour and Fit and Proper (FIT) assessments for wider conduct. 
• Assess Seriousness: Identify and evaluate the regulatory thresholds of "seriousness" for internal workplace behaviours using established Equality Act standards. 
• Police Boundaries: Safely evaluate and manage the boundaries of external conduct, including transit, social media, and work-adjacent events. 
• Execute Defensible Triage: Run objective, internal triage and investigation processes when handling real-time NFM allegations. 
• Evidence Reasonable Steps: Fulfil ongoing Senior Manager accountability and "reasonable steps" obligations to actively prevent a hostile work environment.

What will I achieve by attending the workshop? 

Attending this post-implementation briefing provides participants with:

• A comprehensive operational understanding of the live regulatory requirements for handling NFM within the insurance and financial advice sectors. 
• Practical skills to identify, assess, and evidence defensible decision-making when determining if an incident falls within the scope of NFM. 
• The confidence to apply a structured, fair, and consistent approach to live NFM issues, mitigating regulatory and employment law risks. 
• Practical insights to audit and maintain an appropriate long-term oversight and reporting framework.

Who should attend?

This course is designed for individuals managing compliance, culture, and accountability frameworks within the insurance and financial advice sectors, including: 

• Senior Management Function (SMF) holders and directors.
• Compliance Officers and Risk Managers. 
• HR Professionals and Internal Investigators. 
• Line Managers and Supervisors

Corporate Solutions

As part of our commitment to advancing professional standards within the sector, the CII offers a comprehensive suite of training and development solutions. These are designed to provide a structured, collaborative approach to skills enhancement, fully aligned with our internationally recognised Professional Map.  We offer workshops covering exam revision, technical training and business and leadership topics. 

Whether you're looking to upskill employees, support career progression, or drive business success, our bespoke training solutions can elevate and future proof the competencies required across your workforce. 

A full list of courses can be viewed in our Training Catalogue.

Public course booking form

Corporate (In-house) training

Interested in other courses?

For enquiries about this course, please email to: business.enquiries@cii.co.uk

Please note: The price of the workshop is based on British Pound Sterling (GBP). The purchase price will be processed using the relevant international currency conversion rate at the point of sale. Contact us for further information.

CII workshops are sold on a first come first serve basis, and therefore availability may change, depending on the number of bookings received. Once a workshop becomes full, the above date will no longer be available, and new dates will be published.

We reserve the right to postpone the above workshop dates, subject to a minimum number of bookings received. Your booking will only be confirmed, once payment has been processed and you receive a booking confirmation email from the training team.

Can't attend on this date? Register your interest in other training workshops and future dates.

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