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Showing 92 to 101 of 387 search results for culture and governance priority.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
Remuneration
Find the remuneration rules from the FCA -
Working here
Find out what it's like to work here, and how we help our people achieve a healthy work-life balance. -
Final notice 2016: W H Ireland Limited [pdf]
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. -
2017 fines
This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. -
Final Notice 2015: David Caplin [pdf]
This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition. -
Final Notice 2015: Jeremy Kraft [pdf]
This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition. -
2016 fines
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). -
Final Notice 2015: Moorhouse Group Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 7 related to mis-selling and culture/governance in the general insurance and protection sector. We imposed a fine. -
FCA Decision Notice 2016: Andrew Tinney [pdf]
This decision notice refers to breaches of APER 1 and FIT related to culture/governance, failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. Our view is that a public censure and