Non-Financial Misconduct Toolkit (August 2026 Edition)

On 1 September 2026 the FCA's Conduct Rules extend to cover bullying, harassment and violence against colleagues in non-banking firms under the Senior Managers and Certification Regime.

This toolkit is what you do about it.

What you get

1. Guide and templates. PDF, 25 pages. What changed, what has to be in place before the rules take effect, and the five pieces of work that follow. Then five templates: policy wording, an eleven stage reporting route, revised fitness and propriety questions, a regulatory reference request and response framework, and a board memorandum.

2. Workbook. Excel. A 28 question gap analysis that scores itself and tells you what to fix first. A conduct breach register that follows the decision chain and calculates the notification route for you. A fitness and propriety tracker and a training register.

3. Manager briefing. PowerPoint, 15 slides with speaker notes and four worked scenarios, because this fails at the line manager who did not know what to escalate.

Who it is for

FCA authorised firms of roughly ten to two hundred people with a small compliance function or none, where this work lands on somebody who already has a job.

What it is not

Not legal advice, and not a substitute for advice on your firm's circumstances. Have your final policies, registers and reporting routes reviewed before you adopt them.