Search results
Showing 12 to 21 of 48 search results for PRIN 3 and SYSC related to culture.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Final Notice: Aviva Pension Trustees UK Limited, Aviva Wrap UK Limited [pdf]
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. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
Final Notice 2019: R. Raphael & Sons Plc [pdf]
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. -
Final Notice 2015: Arch Financial Products LLP [pdf]
This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 8, SYSC and COB related to conflicts of interests in the investment advisor sector. We imposed a public censure. -
Final notice 2015: Big T Media Limited [pdf]
The final notice refers to breaches of COND, CONC, PRIN 11, CASS, SYSC related to threshold conditions and failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
Final Notice 2015: John Joseph Financial Services Limited [pdf]
This final notice refers to breaches of PRIN 9, SYSC, COB and COBS related to mis-selling in the investment adviser sector. We imposed a fine. -
Final Notice 2015: Moorhouse Group Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 7 related to mis-selling and culture/governance in the general insurance and protection sector. We imposed a fine. -
Final Notice 2015: Aviva Investors Global Services Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine. -
FCA Final Notice 2013: ICAP Europe Ltd [pdf]
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.