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Showing 122 to 131 of 19442 search results for culture in financial.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Occasional Paper No. 17: Access to Financial Services in the UK
This paper aims to stimulate ideas and foster a culture of access and inclusion throughout retail financial services, that embraces firms, regulators, government and consumer organisations. -
Assessing the value of financial advice
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London. -
The future of financial conduct regulation
Speech by Andrew Bailey, Chief Executive of the FCA, on the the future of financial conduct regulation, delivered at Bloomberg, London -
Our approach to cyber security in financial services firms
Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the FT Cyber Security Summit. -
Credit rating agencies
Any legal person wishing to issue credit ratings in the UK for regulatory purposes, publicly or by subscription, will need to be registered or certified with the FCA. -
Final Notice 2022: Stephen John Tomlin [pdf]
This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) 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 -
Financial promotions quarterly data 2023 Q4
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 October 2023 and 31 December 2023. -
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. -
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.