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Showing 61 to 70 of 409 search results for Culture and Conduct Forum.

  1. The Importance of Diversity

    Speeches Published: 05/02/2019 Last modified: 08/02/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, at the PIMFA Wealth of Diversity Conference 2019.

  2. The fairness challenge

    Speeches Published: 24/10/2013 Last modified: 25/10/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at Mansion House, London. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Digital Regulation Cooperation Forum

    About us How we operate Published: 18/03/2022 Last modified: 26/04/2024
    Find out more about the Digital Regulation Cooperation Forum (DRCF) and how it is supporting regulatory cooperation and coordination in digital markets.

  4. 2017 fines

    News stories Published: 31/01/2017 Last modified: 07/03/2019
    This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. 

  5. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

    Final notices Published: 25/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

  6. Artificial Intelligence Public-Private Forum

    News stories Published: 23/01/2020 Last modified: 11/10/2022
    Financial Services AI Public Private Forum - Call for EOI

  7. Regulatory Initiatives Grid

    Corporate documents Published: 30/11/2023 Last modified: 30/11/2023
    The Financial Services Regulatory Initiatives Forum was launched to strengthen coordination between members. This is the latest planned regulatory initiatives for the next 24 months.

  8. Senior Managers and Certification Regime

    Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
    The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

  9. Final Notice 2022: Simon Tyson [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty

  10. Financial Services Regulatory Initiatives Forum - Minutes: May 2022 [pdf]

    Meeting minutes Published: 25/05/2022
    Financial Services Regulatory Initiatives Forum meeting minutes May 2022. The forum is made up of representatives of the Bank of England, Financial Conduct Authority, Prudential Regulation Authority, Payment Systems Regulator, the Competition and
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