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Showing 32 to 41 of 845 search results for Firms' culture and governance.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
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. -
2016 fines
This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty). -
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. -
Sign up for FCA events updates
Please indicate which sector your firm operates in (select all that apply):. ... Culture and governance. Financial crime and anti-money laundering. Data security, resilience and outsourcing. -
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 -
5 Conduct Questions Programme
The FCA has engaged with firms on conduct and risk and is now feeding back findings on good and bad practice. The 5 Conduct Questions Programme covers the importance of overall governance, identifying conduct risk and fostering staff engagement -
Diversity, Equity and Inclusion (DEI) Innovation Spotlight
Find out about our Innovation hub's Diversity, Equity and Inclusion spotlight encouraging FinTech innovation in the DEI space -
Our Annual Report and Accounts 2018/19
The Annual Report and Accounts 2018/19 shows how the FCA's work over the last year has met its objectives and delivered the key priorities in its Business Plan 2018/19. -
Credit rating agencies
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. -
Ensuring the fair treatment of customers in vulnerable circumstances
The positive steps firms have taken to embed FCA guidance and the areas where we expect to see improvement.