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Non-Financial Conduct

  • King Edward Hall - Bank of America Merrill Lynch 2 King Edward Street London, England, EC1A 1HQ United Kingdom (map)

Jennifer Soreck, EMEA Head of Private Side and Research Compliance, Morgan Stanley and SHCOG Committee Member

Marc Teasdale, Director of Wholesale Supervision, Financial Conduct Authority (FCA)

Matthew Nunan, EMEA Head of Conduct Risk, Morgan Stanley (ex Head of Wholesale Enforcement at the FCA)
Leslie Perry Coombs, C&ORC IB Head of Conduct Risk Framework, UBS
Elizabeth St-Onge, Partner, Financial Services Practice Group, Oliver Wymans

The discussion will cover:

  • The relationship between culture, D&I and non-financial misconduct

  • FCA’s expectation from firms and their employees

  • The regulatory framework and the role of the FCA

  • Case studies to illustrate examples of non-financial misconduct