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The Costs of Misconduct

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UK FCA Expands Non-Financial Misconduct Rules

by Starling Insights

Observations

Jul 08, 2025

Last week, the UK's Financial Conduct Authority (FCA) announced that it was expanding its non-financial misconduct rules beyond banks to 37,000 financial services firms starting in September 2026.

All Tags UKUK FCA
The 2025 Compendium is available!

Now in its 8th year, Starling's Compendium features 21 contributors from across the industry as well as detailed analysis of the latest trends in culture & conduct risk supervision.

US SEC Fines 12 Firms Over Employee Messaging

by Starling Insights

Observations

Jan 22, 2025

Last week, the US Securities and Exchange Commission (SEC) announced civil penalties of $63 Million against 12 firms, including investment advisers and broker-dealers, for employee use of unauthorized messaging apps.

All Tags USAUS SEC