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Showing 51 to 60 of 409 search results for Culture and Conduct Forum.

51. Senior Managers and Certification Regime Banking Stocktake Report

    Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
    The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.

52. Remuneration

    Tasks for regulated firms Published: 08/05/2015 Last modified: 07/03/2023
    Find the remuneration rules from the FCA

53. Culture and governance

    Firms Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
    Read about the FCA's work on culture and governance, including details of how to get involved.

54. Supervision

    About us How we regulate Published: 19/04/2016 Last modified: 15/07/2021
    Find out more about the FCA's approach to supervising firms.

55. Data

    Last modified: 18/04/2024
    All data published by the Financial Conduct Authority.

56. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

57. FCA Prudential Supervision Forum

    News stories Published: 21/05/2015 Last modified: 30/03/2018
    Find out about the Prudential Supervision Forum and read the keynote speech and presentation slides. ... At the Forum, we gave an outline of our approach to prudential supervision.

58. 5 Conduct Questions Programme

    Tasks for regulated firms Published: 12/04/2017 Last modified: 13/02/2023
    The FCA has engaged with firms on conduct and risk and is now feeding back findings on good and bad practice. The 5 Conduct Questions Programme covers the importance of overall governance, identifying conduct risk and fostering staff engagement

59. Final Notice 2015: David Caplin [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

60. Final Notice 2015: Jeremy Kraft [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.