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Showing 102 to 111 of 21578 search results for culture of firms.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Financial Services Register
The Financial Services Register is a public record of firms, individuals and other bodies that are PRA and/or FCA authorised. Search the register to find out if a firm is registered. -
Data strategy 2020
The data strategy sets out the FCA's vision for 2024 and how it will make better use of its data and analytics to transform how it regulates and delivers its Mission. -
Final Notice 2022: Simon Tyson [pdf]
This Final Notice (Simon Tyson) 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 penalty -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
Tackling the hard questions
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the -
Approved Persons Regime
Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test. -
FCA Final Notice 2013: ICAP Europe Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine. -
Diversity and inclusion: Driving change in our industry
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the ABI D&I Conference. -
FCA v former iSOFT directors
The Financial Conduct Authority (FCA) has today announced that it has decided not to pursue a second retrial in the case against Stephen Graham, Timothy Whiston and John Whelan (formerly of ISoft plc) at Southwark Crown Court. The FCA will also not -
Women in finance: keeping up the pressure for progress
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to the Women in Finance Summit, London