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Showing 31 to 40 of 956 search results for Culture and governance.
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FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine. -
Independent Governance Committees
Read about the FCA rules for workplace personal pension schemes and Independent Governance Committees (IGCs). -
DP18/2: Transforming culture in financial services
The paper is a collection of 28 essays from thought leading academics, industry leaders, international regulators and change practitioners. It is intended to provide a basis for stimulating further debate on transforming culture in the sector. -
Final Notice 2015: Deutsche Bank AG [pdf]
This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine. -
Outlining the FCA’s approach to authorisation
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference. -
FCA Enforcement Conference: Our part in changing culture
FCA Enforcement Conference: Our part in changing culture. News stories First published:. ... our penalties framework. lessons learned in the areas of consumer credit, benchmarks and culture and governance. -
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 -
2017 fines
This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
Modelling integrity through culture
Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.