England and Wales commercial and regulatory procedures
When does nonfinancial misconduct require an FCA notification?
Applicable serious-event, individual or annual reporting rule. Assess COCON scope and make each required notification. The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material.
- Period
- Applicable serious-event, individual or annual reporting rule
- Trigger
- Relevant misconduct and qualifying notification facts, including disciplinary action where required
- Rule
- FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisions
FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisions. The retained source governs assess COCON scope and make each required notification. The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material.
Source guide · No automated date
Check the applicable procedure
The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material. Apply the actual rule and effective-date branch. Do not equate an allegation, awareness, investigatory suspension and disciplinary action. The actual relevant misconduct and qualifying notification facts, including disciplinary action where required and required completion must be established before using a final date.
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When does nonfinancial misconduct require an FCA notification?
Applicable serious-event, individual or annual reporting rule. Assess COCON scope and make each required notification. The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material.
Responsible actor. Firm within the applicable COCON and notification scope.
Relevant misconduct and qualifying notification facts, including disciplinary action where required.
The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material.
The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material.
FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisionsHow does this provision count time?
- Assess COCON scope and make each required notification.
- Apply the actual rule and effective-date branch. Do not equate an allegation, awareness, investigatory suspension and disciplinary action.
- The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material.
Apply the actual rule and effective-date branch. Do not equate an allegation, awareness, investigatory suspension and disciplinary action.
Apply the actual rule and effective-date branch. Do not equate an allegation, awareness, investigatory suspension and disciplinary action. The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material.
FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisionsWhich facts prevent one automatic date?
The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material. Apply the actual rule and effective-date branch. Do not equate an allegation, awareness, investigatory suspension and disciplinary action. The actual relevant misconduct and qualifying notification facts, including disciplinary action where required and required completion must be established before using a final date.
The firm within the applicable COCON and notification scope has established the applicable procedure and relevant misconduct and qualifying notification facts, including disciplinary action where required. The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material. Assess COCON scope and make each required notification. Applicable serious-event, individual or annual reporting rule. No computed final date is supplied.
A proposed completion raises a nonbusiness-day or time-boundary question for assess COCON scope and make each required notification. Apply the actual rule and effective-date branch. Do not equate an allegation, awareness, investigatory suspension and disciplinary action. Resolve this boundary under the identified provision and actual completion route. Apply the actual rule and effective-date branch. Do not equate an allegation, awareness, investigatory suspension and disciplinary action.
An allegation predates the scope change but the investigation continues afterward. The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material. The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material. No automatic final date follows from this scenario.
Which conditions and exceptions apply?
- Applicable procedure and actual event
- The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material.
- Counting and completion boundary
- Apply the actual rule and effective-date branch. Do not equate an allegation, awareness, investigatory suspension and disciplinary action.
- The September 1, 2026 COCON changes do not create a universal seven-business-day awareness clock. Conduct scope, staff category, disciplinary basis and separate serious-event duties remain material.
- Firm within the applicable COCON and notification scope. Relevant misconduct and qualifying notification facts, including disciplinary action where required. Assess COCON scope and make each required notification. Apply the actual rule and effective-date branch. Do not equate an allegation, awareness, investigatory suspension and disciplinary action.
What must the responsible actor complete?
Questions about this procedure
When does nonfinancial misconduct require an FCA notification?
Did September 1 create one seven-day notification period?
No. It changes substantive scope; the applicable notification rule still governs timing.
FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisionsDoes every employment misconduct finding breach COCON?
The conduct must fall within actual COCON scope.
FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisionsDoes investigatory suspension itself establish disciplinary reporting?
SUP 15.11.6FG distinguishes suspension for investigation.
FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisionsCan serious allegations need earlier notification?
Principle 11 and SUP 15.3 can impose separate duties.
FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisionsDoes staff category affect timing?
SMF managers, specified senior staff and other conduct rules staff follow different branches.
FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisionsWhat evidence is needed for a final reporting decision?
The conduct, effective-date scope, role, actual disciplinary basis and applicable reporting provision.
FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisionsOfficial sources and review
Provisions used (3)
| Provision | Purpose |
|---|---|
| FCA Handbook cocon1, COCON 1.1.7FR and associated scope provisions | Check the identified procedure, event, counting rule or qualification |
| FCA Handbook sup15, SUP 15.11.6R to 15.11.6GG and timing provisions | Check the identified procedure, event, counting rule or qualification |
| fca nfm, Nonfinancial misconduct rules effective September 1, 2026 | Check the identified procedure, event, counting rule or qualification |