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Showing 32 to 41 of 48 search results for PRIN 3 and SYSC related to culture.

  1. Culture and Governance

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

  2. 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

  3. 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.

  4. Final Notice 2022: Matthew Charles Kent [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Matthew Charles Kent) 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

  5. Final Notice 2022: Stephen John Tomlin [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article

  6. Handbook Release 136

    Handbook Published: 17/04/2013 Last modified: 17/04/2013
    This Release contains pages to be inserted into your paper version of the Handbook in order to bring it up to date. These pages incorporate the changes made on a particular date, as described in the relevant Handbook Notice.

  7. TR19/1: Debt management sector thematic review

    Thematic reviews Published: 15/03/2019 Last modified: 15/03/2019
    This report shares the key findings of our thematic review of the debt management sector.We committed in our 2017/18 Business Plan to assess how the market is operating and whether firms are meeting customer needs and our standards.

  8. 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.

  9. Information on whistleblowing reports for 2019 to 2021 - May 2022

    FOI Release Date of Release: 03/05/2022
    The FCA provides data on whistleblowing reports for 2019 to 2021.

  10. Recruiting, training and supervising staff

    Tasks for regulated firms Published: 06/08/2015 Last modified: 10/02/2023
    FCA provides information on recruiting, training and supervising staff.

  11. Electronic money and payment service providers: conduct of business requirements

    Tasks for firms Published: 29/07/2015 Last modified: 30/08/2023
    Read more about how conduct of business requirements affect payment service providers (PSPs) and electronic money issuers.
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