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Showing 102 to 111 of 19389 search results for culture in financial.

102. Culture and Governance

     Read about the FCA's work on culture and governance, including details of how to get involved.

103. Misleading financial promotions

     Consumers Report a firm Published: 19/04/2016 Last modified: 09/10/2023
     If you see a financial promotion or advert that’s unclear or misleading, you can report it to the FCA. Find out what we can investigate and how to spot the warning signs.

104. Senior Managers and Certification Regime

     Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
     The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

105. BLUELIGHT FINANCIAL

     Warnings Published: 19/06/2017 Last modified: 19/06/2017
     We have published this statement to warn consumers against dealing with unauthorised firms.

106. Laying myths to rest

     Speeches Published: 17/10/2013 Last modified: 17/10/2013
     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.

107. 5 Conduct Questions Programme

     Tasks for regulated firms Published: 12/04/2017 Last modified: 13/02/2023
     The FCA has engaged with firms on conduct and risk and is now feeding back findings on good and bad practice. The 5 Conduct Questions Programme covers the importance of overall governance, identifying conduct risk and fostering staff engagement

108. Regulating in a recovery

     Speeches Published: 13/11/2014 Last modified: 13/11/2014
     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.

109. Changes to the Financial Promotions Order

     Statements Published: 06/03/2024 Last modified: 06/03/2024
     The FCA has carried out changes to Financial Promotion Order exemptions for high net worth individuals.

110. 2019 fines

     News stories Published: 16/01/2019 Last modified: 20/01/2020
     This page contains information about enforcement fines published during the calendar year ending 2019.

111. S G Financial

     Warnings Published: 06/03/2008 Last modified: 06/09/2014
     We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.

112. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     The general public no longer sees financial services as a profession providing a vital service to individuals and businesses. ... As I’ve said before, firms must take their responsibility to reduce the risk of financial crime seriously.