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Showing 42 to 51 of 845 search results for Firms' culture and governance.

  1. Culture and Governance

    Read about the FCA's work on culture and governance, including details of how to get involved.

  2. Final Notice: Sonali Bank (UK) Ltd [pdf]

    Final notices Published: 12/10/2016
    This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction.

  3. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  4. Final Notice 2022: Sigma Broking Limited [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty.

  5. Supervision

    About us How we regulate Published: 18/04/2016 Last modified: 13/12/2023
    Find out about the FCA's approach to supervising firms, including why we supervise and how we divide the financial sectors we regulate.

  6. FCA Final Notice 2013: Lloyds TSB Bank plc and Bank of Scotland plc [pdf]

    Final notices Published: 11/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to mis-selling, remuneration, and culture/governance in the retail banks sector. We imposed a fine.

  7. FCA publishes 2016/17 Business Plan

    Press Releases Published: 05/04/2016 Last modified: 05/04/2016
    The seven themes are: pensions, financial crime and anti-money laundering, wholesale financial markets, advice, innovation and technology, firms’ culture and governance, and the treatment of existing customers. ... extend the Senior Managers and

  8. Review of host Authorised Fund Management firms

    Multi-firm reviews Published: 30/06/2021 Last modified: 05/08/2021
    We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

  9. Final Notice 2019: R. Raphael & Sons Plc [pdf]

    Final notices Published: 30/05/2019
    This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty.

  10. 2018 fines

    News stories Published: 08/01/2018 Last modified: 15/01/2019
    This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.

  11. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.