Search results
Showing 92 to 101 of 21578 search results for culture in firms.
-
Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Consumer Duty: Not once and done
Speech by Nisha Arora, delivered at Deloitte: Consumer Duty - Next Steps -
Our gender pay gap 2018
We report on our gender pay gap and our target to increase the senior representation of women at the FCA -
Final Notice 2015: Aviva Investors Global Services Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine. -
Market Watch 76
Newsletter on market conduct and transaction reporting issues, October 2023. -
Ensuring the fair treatment of customers in vulnerable circumstances
The positive steps firms have taken to embed FCA guidance and the areas where we expect to see improvement. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
FCA Final Notice 2014: Investments Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction. -
The regulatory challenge
To do that successfully requires firms to use their judgement and common sense. ... You must be confident that they understand the purpose of the rules – what they are trying to achieve and, underpinning all of that, that the culture embedded -
Laying myths to rest
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. -
Learning the lessons of the past as an industry
In my view they did it because they operated in a culture in which they believed, at best, that poor behaviour would be excused by the results for the firm, and ... Firms need to think about where risks might arise and how to control them: the need to