英国金融行为监管局（FCA）将于下月起扩大对金融业非金融不当行为的监管范围，新规将影响近4万家受FCA高级经理和认证制度约束的投资公司1。根据要求，这些企业必须向监管机构报告涉及霸凌、性骚扰、种族主义、暴力和恐吓等严重不当行为案件，并向管理者的未来雇主披露相关不良行为记录1。FCA推出此项新规的核心目的，是防止存在不良行为的高管通过在不同公司间流动来逃避责任1。
为应对这一监管变化，伦敦金融城的大型对冲基金、保险公司和养老基金正加紧落实合规措施1。目前，相关机构正在积极更新内部政策并推进完成内部调查，以确保在新规生效前做好全面准备1。
The UK's Financial Conduct Authority (FCA) will expand its regulatory scope over non-financial misconduct in the financial sector starting next month 1. The new rules will affect nearly 40,000 investment firms subject to the FCA's Senior Managers and Certification Regime 1. Under the regulations, these companies must report serious cases of non-financial misconduct, such as bullying and sexual harassment, to the regulator 1. Additionally, firms are required to disclose reports of bad behavior—including racism, sexual harassment, violence, and intimidation—to the future employers of the managers involved 1. The FCA aims to prevent executives with poor conduct records from moving between companies to evade accountability 1.
In response, large hedge funds, insurance companies, and pension funds in the City of London are rushing to prepare compliance measures, including updating policies and completing internal investigations 1. This regulatory push follows instances of misconduct, such as the failure of John Neal, the former boss of Lloyd's of London, to disclose matters involving female colleagues 1.
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