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Showing 112 to 121 of 473 search results for culture%2Fgovernance.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Putting the customer at the centre of the business: is it a long road ahead for the FCA?
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version. -
Final notice 2016: David Williams T/A Debts Maze Solutions [pdf]
This final notice deals with a breach of COND. We refused this application for permission to carry on regulated activities of Debt Administration, Debt Collecting and Debt-Counselling as the application is incomplete. -
A banking renaissance – making trust and culture central to 21st century retail banking [pdf]
Paper from the Future Horizons Conference. -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
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. -
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 -
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. -
Consumer credit – Treating customers fairly
We set out why treating customers fairly should be at the heart of your business. -
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. -
Learning the lessons of the past as an industry
them – and I mean the real culture and values not that expressed in the mission statement. ... Rather than an oath creating a culture, I believe it should be reflective of it.