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Showing 72 to 81 of 3349 search results for conduct and 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. -
Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm. -
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 -
Regulating in a recovery
Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Ethics and Economics
Speech by Martin Wheatley, Chief Executive of the FCA, to the Worshipful Company of International Bankers, London 4 March 2014. This is the text of the speech as drafted, which may differ from the delivered version. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
Expect the unexpected: cyber security in 2017 and beyond
Speech by Nausicaa Delfas, Executive Director at the FCA, delivered at the Financial Information Security Network. -
Investor protection under MiFID II
Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector
Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector. ... Martin Wheatley, Financial Conduct Authority CEO commented:. “How a firm conducts its business and treats its customers must be at -
Skilled Person Panel [pdf]
The Skilled Person Panel consists of twelve lots, including: client assets;