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Showing 91 to 100 of 956 search results for Culture and governance.

  1. 2019 fines

    News stories Published: 16/01/2019 Last modified: 20/01/2020
    This page contains information about enforcement fines published during the calendar year ending 2019.

  2. From regulator to firm to consumer: a virtuous chain of events

    Speeches Published: 18/03/2021 Last modified: 18/03/2021
    Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch.

  3. From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit

    Speeches Published: 29/11/2022 Last modified: 08/01/2024
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry.

  4. Credit rating agencies

    Focus areas Published: 07/01/2019 Last modified: 30/11/2023
    Any legal person wishing to issue credit ratings in the UK for regulatory purposes, publicly or by subscription, will need to be registered or certified with the FCA.

  5. Market Watch 66

    Newsletters Published: 11/01/2021 Last modified: 22/01/2021
    In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking.

  6. Funeral plan providers and intermediaries

    Funeral plan providers and intermediaries Last modified: 13/03/2023
    The FCA regulates the pre-paid funeral plans sector. See all our resources for firms.

  7. Skilled Person Panel [pdf]

    Documents Published: 31/03/2017 Last modified: 06/03/2024
    The Skilled Person Panel consists of twelve lots, including: client assets;

  8. Final Notice: Aviva Pension Trustees UK Limited, Aviva Wrap UK Limited [pdf]

    Final notices Published: 05/10/2016 Last modified: 05/10/2016
    This final notice refers to breaches of PRIN 3, PRIN 10, CASS Rules, SUP and SYSC related to client money/assets and culture/governance in the life insurance sector. We imposed a fine.

  9. 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.

  10. Andrew Bailey speech at the Annual Public Meeting 2019

    Speeches Published: 17/07/2019 Last modified: 17/07/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2019 Annual Public Meeting.
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