The SRA recently released new detailed guidance on dealing with sexual misconduct within law firms (the Guidance). The Guidance highlights the importance that the SRA places on firms addressing misconduct which may not at first glance appear to have a direct impact on an employee’s day-to-day role and/or the profession, but is nevertheless likely to be considered a regulatory matter.
This reflects a growing trend among regulators, with the FCA also taking the view that certain non-financial misconduct (including sexual harassment) can impact on whether an employee is considered fit and proper to perform a certified financial services role.
In this article we extract five key points from the Guidance when it comes to dealing with sexual misconduct. While these are of particular importance to regulated firms, the underlying principles are also of wider application. We cover:
1. Know when, and where, sexual misconduct may arise
2. Investigate promptly and fairly
3. Consider whether to report the matter to the regulator
4. Remember the employment contract
5. Take care when using NDAs
“Sexual misconduct” refers to a broader range of behaviours than sexual harassment, as defined in the Equality Act 2010, or the various criminal offences relating to sexual acts. The Guidance is clear that it does not always involve physical contact, for example.
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