Non-financial misconduct in financial services: where are we now?

On our website, we look at where we are now in terms of non-financial misconduct in regulated firms. You can read our insight here

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Disciplinary procedures, employment policies, Financial Conduct Authority, financial services, harassment, Prudential Regulation Authority, Senior Managers Regime

About Emma Carter

Emma has broad experience in employment law dealing with contentious and non-contentious matters and acting for both employers and employees. She mainly provides strategic, commercial advice to both domestic and global corporate clients in both the public and private sectors, and, in particular, the financial services, retail, recruitment, education, hospitality and leisure and charity industries.

About Sarah Jackman

Sarah specializes in employment law and is counsel in Dentons' Glasgow office. With extensive in-house experience in the financial services sector, she is a trusted advisor to many of our high-profile clients. Known for aligning her legal advice with clients' business priorities and culture, Sarah often acts as an extension of in-house legal and HR teams. Her background in banking gives her a deep understanding of HR's role in regulatory matters, allowing her to advise on both contentious and non-contentious issues – particularly those related to the Senior Managers and Certification Regime. Sarah is also a frequent speaker at client events and has a keen interest in employee wellbeing. In 2024, she was selected as an inaugural member of our Shadow Executive Team.