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Showing 71 to 80 of 3331 search results for Culture and Conduct.
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Market Watch 76
Newsletter on market conduct and transaction reporting issues, October 2023. -
Supervision
Find out about the FCA's approach to supervising firms, including why we supervise and how we divide the financial sectors we regulate. -
Final Notice 2022: Simon Tyson [pdf]
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 -
Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm. -
FCA Final Notice 2013: ICAP Europe Ltd [pdf]
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. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
Regulating in a recovery
Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Ethics and Economics
Speech by Martin Wheatley, Chief Executive of the FCA, to the Worshipful Company of International Bankers, London 4 March 2014. This is the text of the speech as drafted, which may differ from the delivered version. -
Investor protection under MiFID II
Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Expect the unexpected: cyber security in 2017 and beyond
Speech by Nausicaa Delfas, Executive Director at the FCA, delivered at the Financial Information Security Network.