FCA proposes to take enforcement action against an individual relating to "non-financial misconduct"

Allen & Overy LLP

The UK Financial Conduct Authority (the FCA) is proposing to take enforcement action against an individual, Jon Frensham, relating to "non-financial misconduct". The FCA has made clear its commitment to tackling non-financial misconduct in the financial services industry and this case is the fourth relating to non-financial misconduct that the FCA has publicised since November 2020. All four cases have focused on the impact that conduct outside of the workplace (namely convictions for serious criminal offences) have on individuals’ fitness and propriety and, specifically, their integrity and reputation.

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