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Showing 132 to 141 of 19480 search results for culture in financial.

  1. Culture and Governance

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

  2. Confidence to crisis and back

    Speeches Published: 17/06/2015 Last modified: 17/06/2015
    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.

  3. Fair treatment of customers

    Tasks for regulated firms Published: 12/05/2015 Last modified: 15/02/2023
    All firms must be able to show consistently that fair treatment of customers is at the heart of their business model. Learn more about what is expected.

  4. Final Notice 2022: Stephen John Tomlin [pdf]

    Final notices Published: 06/10/2022
    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

  5. Assessing the value of financial advice

    Speeches Published: 04/12/2017 Last modified: 11/04/2018
    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.

  6. The future of financial conduct regulation

    Speeches Published: 23/04/2019 Last modified: 22/01/2021
    Speech by Andrew Bailey, Chief Executive of the FCA, on the the future of financial conduct regulation, delivered at Bloomberg, London

  7. Final Notice 2022: Matthew Charles Kent [pdf]

    Final notices Published: 06/10/2022
    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

  8. Final Notice 2022: Sigma Broking Limited [pdf]

    Final notices Published: 06/10/2022
    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.

  9. Our gender and ethnicity pay gaps 2019

    Data Published: 19/11/2018 Last modified: 10/06/2022
    We report on our gender and ethnicity pay gaps.

  10. Financial promotions case studies

    Tasks for regulated firms Published: 09/07/2021 Last modified: 09/02/2023
    Examples of good and bad practice when promoting financial services, and our expectations for promotions to be clear, fair and not misleading.

  11. Financial promotions quarterly data 2023 Q4

    Data Published: 14/02/2024 Last modified: 15/02/2024
    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.
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