Tracking Recent Trends In SEC Enforcement

By Stephen Taub2007-06-26T00:00:00

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U.K. extends bullying and harassment rules to 37,000 financial services firms

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Serious bullying and harassment count as misconduct in regulated financial services firms, per a July 1 clarification by the U.K. Financial Conduct Authority, which said non-financial misconduct rules now applied only to banks will extend to 37,000 more firms starting September 1, 2026.