Non-financial misconduct

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The FCA opened the new year with a Dear CEO letter entitled “non-financial misconduct in wholesale general insurance firms”. Once again, the regulator used the theme of poor culture in financial services firms leading directly to harm to consumers, firms and the market. They have now added the impact on employees to this list. Whilst the letter was addressed to a specific sector, the whole financial services industry could learn from the themes expressed. We’ve heard lots from the FCA (and its predecessor the FSA) about culture over the years going back as far as 2005, and the first discussions…

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Ian Ashleigh

I am a diploma qualified, professional, well communicated person, with excellent financial services knowledge. I have a wealth of experience and understanding of financial institutions, the regulation surrounding protection, pensions, investment and mortgage advice and administration procedures. I have a depth of knowledge of the Training and Competence requirements and their application.

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