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Non-financial Misconduct training

Six microlessons on non-financial misconduct under the FCA Conduct Rules: what it is, how SM&CR applies, how to recognize and report it and what managers must do, with situational tests and a certificate of completion.

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Understanding Non-financial Misconduct (UK) course preview
6Short, TikTok-style microlessonsIn the browser or the iOS and Android apps

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  • 2Assessments
  • 6Microlessons
  • IncludedCertificate of completion
About this course

What the Non-financial Misconduct course covers

This course covers non-financial misconduct in UK financial services in six microlessons. From 1 September 2026, bullying, harassment and other non-financial misconduct fall within the FCA's Conduct Rules, not just internal HR policy. The course explains the new rule, COCON 1.1.7FR, and its extension to around 37,000 firms, how it differs from the wider Fit and Proper test, and how to recognize and report concerns.

Learning outcomes

What your people will be able to do

  • Identify behavior and settings that count as non-financial misconduct
  • Explain the FCA rules, COCON 1.1.7FR and SM&CR obligations in force from 1 September 2026
  • Apply the three parts of SM&CR to individual accountability and certification
  • Assess how serious an incident is, using factors such as frequency, power imbalance and impact
  • Report concerns through the right channels, with factual evidence and protection for the reporter
  • Meet managers' responsibilities: take reasonable steps, keep records and build a respectful culture
Course contents

6 microlessons

Each microlesson is a short, TikTok-style video lesson, with knowledge checks along the way.

1What Non-Financial Misconduct Is, and Why It Matters
2The Three Components of SMCR
3How SMCR Applies Across Firms
4How Non-Financial Misconduct Is Regulated
5Recognising and Reporting Non-Financial Misconduct
6Roles, Responsibilities and Building a Healthy Culture

  1. What Non-Financial Misconduct Is, and Why It Matters: What counts as non-financial misconduct, such as bullying and harassment.
  2. The Three Components of SMCR: The Senior Managers Regime, the Certification Regime and the Conduct Rules.
  3. How SMCR Applies Across Firms: How SM&CR applies to different types of firm.
  4. How Non-Financial Misconduct Is Regulated: The new conduct rule and how it differs from the Fit and Proper test.
  5. Recognising and Reporting Non-Financial Misconduct: How serious an incident is, and how to report it and protect the reporter.
  6. Roles, Responsibilities and Building a Healthy Culture: What managers must do and how to build a respectful culture.
A 5Mins certificate of completion for Understanding Non-financial Misconduct (UK), lying on a desk next to a laptop
Certificate

A certificate for every learner who completes it

Learners finish every microlesson and complete the assessments. 5Mins then issues a certificate of completion for Understanding Non-financial Misconduct (UK).

  • Certificates and e-signatures stored against each learner
  • Audit-ready records, ready whenever an auditor asks
  • Completion shows on the Compliance Dashboard in real time
Audience and regulation

Who it's for and the law it covers

Who it's for

  • Everyone in an FCA-regulated firm that the conduct rules apply to
  • Managers and team leaders who receive and act on concerns
  • HR, compliance and legal teams who handle conduct cases and fit and proper assessments

Laws covered

  • FCA Code of Conduct sourcebook, COCON 1.1.7FR. From 1 September 2026, the Conduct Rules cover non-financial misconduct such as bullying and harassment of colleagues, in around 37,000 FCA-regulated firms.
  • FCA Fit and Proper test (FIT). Revised guidance on how non-financial misconduct is considered when assessing fitness and propriety.
Background

What changed on 1 September 2026

The FCA's policy statement PS25/23 extended its Conduct Rules to cover non-financial misconduct. From 1 September 2026:

  • New conduct rule: COCON 1.1.7FR brings bullying, harassment and other non-financial misconduct toward colleagues within the Conduct Rules.
  • More firms: the rule applies to around 37,000 FCA-regulated firms, not just banks.
  • Fit and proper: revised FIT guidance covers how non-financial misconduct is considered in fitness and propriety assessments.

This summary is background, not legal advice.

How it runs in 5Mins

Assign it once, then let 5Mins do the chasing

Every course in the 5Mins library runs on the same zero-admin engine.

  • EnrollAuto-enroll

    Enroll people automatically from your HR system, with 100+ HRIS platforms supported.

  • RemindReminders

    Nudges by email, Slack, Microsoft Teams and push until the course is done.

  • RepeatRecurrence

    Set the course to repeat, for example every 12 months, and 5Mins re-enrolls people for you.

  • CertifyCertificates

    Certificates and e-signatures are issued and stored for every completion.

  • ProveAudit-ready records

    See who is complete, at risk or overdue on the Compliance Dashboard, and prove it any time.

Customer stories

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ComplianceCompliance Training Insurance, 205 colleagues 100%

compliance completion and pass rate since go-live

  • ~1 day saved on each compliance course (HR estimate)
  • Automated reminders and reporting

Since go-live, our compliance completion and pass rates are 100%, and it's the quickest we've ever got there. Automated reminders and reporting save us about a day per course.

Laura ChappellLaura ChappellHR Director, Collingwood
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ComplianceCompliance Training Insurance and emergency accommodation 87%

less session time, from 2.5-3 hour sessions to modules of 25 minutes at most

  • 12 monthly sessions a year, up from 3-4
  • 95% content creation time saved

Our compliance sessions used to be two and a half to three hours in a room, and we could fit in three or four a year. Now we cover one topic a month, and I can see exactly what people are retaining.

Lucy WybornLucy WybornDirector of Learning and Development, ICAB
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ComplianceCompliance Training Legal services 80%

completion on mandatory training, up from 20%

  • Mobile microlessons finished between calls
  • Manager view of each team's progress

We were sitting at 20% completion on our mandatory training. We're now at 80%. People finish short lessons between calls, on mobile, and managers can see where their teams are, so chasing completion is no longer a one-person job.

Jamie WaltonJamie WaltonGroup Learning and Development Officer, Winn Solicitors
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training log showing who did what, when, and the pass rate

  • Any device phone or laptop, at their own pace
  • Rolling refreshers through the year

When I engage with the FCA, I can show that every team has had training tailored to their role, that it's up to date, and that it runs throughout the year, with a full log of who's done what.

Abdul GofurAbdul GofurHead of Compliance & Anti-Financial Crime, nsave
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Interested in Non-financial Misconduct training? Request a free sample lesson, book a short demo with our team, and we'll share your sample lessons after the call.

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Free course catalogues

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Free PDF catalogues to share with your compliance lead, your managers or your board.

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Financial services

Global Financial Compliance Catalogue

Specialized compliance training for financial services teams working across borders, covering AML, risk management, customer due diligence and international regulations.

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UK compliance

UK Compliance Catalogue

Built for UK organizations, covering GDPR, RIDDOR, Martyn's Law, employment law and the regulations your team needs day to day.

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Compliance

Global Compliance Catalogue

Stay compliant across every market you operate in, with regulatory training covering GDPR, data protection, workplace safety and more.

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Your questions answered

Questions about Non-financial Misconduct training

How long is the Non-financial Misconduct course?

It's made up of 6 microlessons, each under 5 minutes. Learners can finish it in one sitting or spread it over a few days, and 5Mins sends reminders until it is done.

Is there a certificate?

Yes. Learners get a certificate of completion once they finish every microlesson and complete both situational tests. The record is stored in 5Mins for audits.

What changed on 1 September 2026?

The FCA's new rule, COCON 1.1.7FR, brings non-financial misconduct such as bullying and harassment of colleagues within the Conduct Rules for around 37,000 FCA-regulated firms, not just banks.

Who should take this course?

Everyone in an FCA-regulated firm that the conduct rules apply to, with managers, HR and compliance teams first. For a short update on the change only, see The New Non-Financial Misconduct Rule: What Changed on 1 September 2026.

How often should staff take this training?

Firms must train staff on the conduct rules that apply to them, and many refresh it every year. In 5Mins you can set the course to repeat, for example every 12 months.

Can I try the course first?

Yes. Request a free sample lesson and book a short demo with our team. After your demo, we'll share sample lessons with you so you can see the format for yourself.

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