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Showing 92 to 101 of 3356 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. -
Personal accountability
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ -
Final Notice 2022: Sigma Broking Limited [pdf]
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. -
Laying myths to rest
Speech by Martin Wheatley, Chief Executive of the FCA, at the British Bankers’ Association Annual International Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Learning the lessons of the past as an industry
Not always the best environment for a discussion about regulatory philosophy or how we improve culture and conduct across the industry more widely. ... Rather than an oath creating a culture, I believe it should be reflective of it. -
Competing on integrity
Speech by Martin Wheatley, Chief Executive of the FCA, at the CFA European Investment Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
The FCA’s Business Plan and Priorities
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
The regulatory challenge
Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... The good news is that the issues we care about, commonly termed ‘conduct -
Tackling the hard questions
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the -
Confidence to crisis and back
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the IOSCO conference in London. This is the text of the speech as drafted, which may differ from the delivered version.