Search results

Showing 1 to 11 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. Culture and governance

   Speeches Published: 11/11/2015 Last modified: 24/11/2015
   Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version.

3. Leadership and management capabilities

   Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
   Read about the FCA's work on culture and governance, including details of how to get involved.

4. Recognition and incentives

   Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
   Read about the FCA's work on culture and governance, including details of how to get involved.

5. FCA Final Notice 2014: Investments Limited [pdf]

   Final notices Published: 23/07/2014 Last modified: 13/03/2015
   This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

6. Final Notice 2017: Deutsche Bank [pdf]

   Final notices Published: 31/01/2017
   This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine.

7. FCA Final Notice 2014: Financial Limited [pdf]

   Final notices Published: 23/07/2014 Last modified: 13/03/2015
   This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

8. Final Notice 2018: Liberty Mutual Insurance Europe SE [pdf]

   Final notices Published: 30/10/2018
   This final notice refers to breaches of PRIN 3, PRIN 6, SYSC, ICOBS and DISP related to complaints-handling, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

9. 2016 fines

   News stories Published: 02/01/2016 Last modified: 02/02/2017
   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).

10. 2017 fines

    News stories Published: 31/01/2017 Last modified: 07/03/2019
    This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. 

11. Final notice 2016: W H Ireland Limited [pdf]

    Final notices Published: 23/02/2016 Last modified: 23/02/2016
    This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction.