Home » Market News » DirectorsTalk Highlights » Conduct Rule breaches: Nowhere to run, nowhere to hide
SimplyBiz Group plc

Conduct Rule breaches: Nowhere to run, nowhere to hide

The new Conduct Rules under SM&CR are more than just a set of rules – they contain a new disciplinary reporting process for breaches which is likely to be much more formal than firms will be used to: where disciplinary action has concluded, it needs to be reported to the FCA.

However, what if disciplinary action couldn’t conclude, perhaps because the employee left the firm before they could be dismissed?

SimplyBiz Group PLC (LON:SBIZ) provides compliance support and business consultancy services to financial services, legal and workplace benefits professionals in the United Kingdom. 

To read the full news article please click here

Receive our exclusive interviews – Enter your email to stay up to date.

Disclaimer: Statements in this article should not be considered investment advice, which is best sought directly from a qualified professional.