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Showing 61 to 70 of 3329 search results for Culture and Conduct.
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Insurance Conduct of Business Sourcebook (ICOBS)
Read more about ICOBS, our Handbook rules regulating general and protection insurance products sales. -
Final Notice 2015: David Caplin [pdf]
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. -
A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum -
Final Notice 2015: Jeremy Kraft [pdf]
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. -
Learning the lessons of the past as an industry
Not always the best environment for a discussion about regulatory philosophy or how we improve culture and conduct across the industry more widely. ... Rather than an oath creating a culture, I believe it should be reflective of it. -
Andrew Bailey speech at the Annual Public Meeting 2019
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2019 Annual Public Meeting. -
A regulatory perspective: the drivers of culture and the role of purpose and governance
Marc Teasdale speaks on regulatory perspective, the driver of cultures and the role of purpose and governance. -
2017 fines
This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. -
Putting the customer at the centre of the business: is it a long road ahead for the FCA?
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version. -
Market Watch 76
Newsletter on market conduct and transaction reporting issues, October 2023.