Culture at Risk: Navigating Regulatory Crackdowns on Non-Financial Misconduct

How financial firms can proactively address non-financial misconduct risks with AI-driven compliance and cultural oversight

This is no longer a "soft" issue. Regulators now treat non-financial misconduct (NFM) — bullying, harassment, discrimination, toxic leadership, and more — as a core compliance concern and a direct indicator of cultural health. How well does your firm handle NFM?

In this brief, you’ll learn how firms can:

• Reduce risk exposure by addressing NFM as a governance issue — not just HR’s responsibility
• Navigate the regional differences between UK and US regulatory approaches
• Strengthen oversight across encrypted and off-channel communications
• Leverage AI to detect sentiment, intent, and misconduct signals in real time

You’ll also see why banning apps like WhatsApp or Signal isn’t enough — and how firms can combine policy, technology, and cultural reinforcement to reduce blind spots and improve accountability.

Download the brief to see how your firm can proactively mitigate NFM risks before they escalate into fines, lawsuits, or reputational damage.