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Showing 122 to 131 of 21578 search results for culture in firms.

  1. Culture and Governance

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

  2. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

  3. FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]

    Final notices Published: 15/05/2014 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine.

  4. Chairman's speech to the Trust in Banking Conference

    Speeches Published: 20/10/2015 Last modified: 22/10/2015
    Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered

  5. Getting the right investor outcomes

    Speeches Published: 24/09/2014 Last modified: 30/09/2014
    Speech by William Amos, Director of Wholesale Banking and Investment Management at the Investment Week Fund Management Summit, London. This is the text of the speech as drafted, which may differ from the delivered version.

  6. Guidance for firms

    Tasks for regulated firms Published: 13/05/2015 Last modified: 08/02/2023
    Regulated firms must follow our rules. Find out how guidance can help them do that.

  7. Diversity: delivering excellence for the future

    Speeches Published: 10/06/2019 Last modified: 11/06/2019
    Speech delivered by Nausicaa Delfas, Executive Director of International at City and Financial: Women in Finance 2019, London

  8. Final Notice 2015: Deutsche Bank AG [pdf]

    Final notices Published: 23/04/2015 Last modified: 23/04/2015
    This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine.

  9. The hallmarks of a future-fit workforce

    Speeches Published: 05/03/2024 Last modified: 05/03/2024
    Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at TheCityUK and Financial Services Skills Commission Future Skills Conference.

  10. 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

  11. Consumer credit firms

    Consumer credit firms Last modified: 22/03/2023
    Information for consumer credit firms new to regulation wanting to apply for authorisation, their business and tasks for regulated firms