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Showing 42 to 51 of 845 search results for culture and governance in firms.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Diversity, Equity and Inclusion (DEI) Innovation Spotlight
Find out about our Innovation hub's Diversity, Equity and Inclusion spotlight encouraging FinTech innovation in the DEI space -
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. -
Final Notice 2018: Liberty Mutual Insurance Europe SE [pdf]
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. -
Supervision
Find out about the FCA's approach to supervising firms, including why we supervise and how we divide the financial sectors we regulate. -
Guidance on the duty of responsibility: PS17/9
In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’. -
Firms
Tasks for regulated firms and authorisation information for new firms -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
Our Annual Report and Accounts 2018/19
The Annual Report and Accounts 2018/19 shows how the FCA's work over the last year has met its objectives and delivered the key priorities in its Business Plan 2018/19. -
The commercial importance of culture to industry
The theme for this year’s event is culture and governance. A topic that’s not new of course, but has become increasingly significant. ... Today’s conference will look at how this change can be achieved, as well as other key culture and governance -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.