Non-Financial Misconduct Toolkit for SMCR Firms

A standalone toolkit that helps FCA-authorised firms under SMCR prepare for, and respond to, bullying, harassment and violence under the FCA rule (COCON 1.1.7FR) and guidance (PS25/23) in force from 1 September 2026.

What's included

• Part A: What changed and how to use the toolkit
• Part B: Concern intake record
• Part C: Triage checklist, including the work-link question
• Part D: Investigation plan and report template
• Part E: Fitness and propriety decision record, including unproven allegations
• Part F: Private life and social media: points to consider
• Part G: Outcome and regulatory actions checklist
• Part H: Manager reasonable steps checklist
• Part I: Culture indicators for board reporting
• Part J: Records, confidentiality and data protection
• Part K: Implementation readiness checklist
• Part L: Model policy wording for your staff handbook
• Excel: NFM Case Log with automatic days-open tracking and an 18-metric dashboard
• PDF: Read Me First quick-start guide

Who it's for: compliance officers, HR leads, Senior Managers and line managers at FCA-authorised firms under SMCR.

Format: Word, Excel and PDF in a single download.

This toolkit is general guidance, not legal or regulatory advice. Compliance Consultant is a trading style of UK Compliance Consultant Limited (Companies House 14805896) and is not authorised or regulated by the Financial Conduct Authority.

If You Need Details Of Our Full Annual Certification Pack - GO HERE

Because this is a digital download, we cannot offer refunds once the download link has been accessed.

PRICE includes VAT at 20%. VAT Receipt available on request.