Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 201 to 210 of 1294 search results for Culture in UK banking.

  1. FS15/3: Strengthening accountability in banking: UK branches of foreign banks – Feedback on FCA CP15/10 / PRA CP9/15 [pdf]

    Feedback statements Published: 13/08/2015 Last modified: 14/09/2015
    In this Feedback Statement we report on the main issues arising from Consultation Paper 15/10 (Strengthening accountability in banking: UK branches of foreign banks) and publish the near-final rules.

  2. Ruston Banking Group

    Warnings Published: 29/04/2010 Last modified: 04/11/2013
    We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.

  3. Final Notice 2017: Charles Palmer [pdf]

    Final notices Published: 19/09/2017
    This final notice refers to breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector. We imposed a fine and prohibition

  4. 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

  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. FG20/3: Branch and ATM closures or conversions [pdf]

    Finalised guidance Published: 14/09/2020 Last modified: 14/09/2020
    This guidance sets out our expectation that firms should consider the

  7. FCA Final Notice 2014: Anthony Clare [pdf]

    Final notices Published: 05/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine.

  8. Investment and corporate banking: prohibition of restrictive contractual clauses: CP16/31 [pdf]

    Consultation papers Published: 18/10/2016

  9. Blossom Capital Banking

    Warnings Published: 16/02/2023 Last modified: 16/02/2023
    Blossom Capital Banking is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

  10. PFD-Banking Corporation

    Warnings Published: 01/04/2013 Last modified: 28/08/2013
    PFD-Banking Corporation is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.
Related topics