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Showing 102 to 111 of 475 search results for culture.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
TR19/1: Debt management sector thematic review
This report shares the key findings of our thematic review of the debt management sector.We committed in our 2017/18 Business Plan to assess how the market is operating and whether firms are meeting customer needs and our standards. -
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. -
Transcript: Leading healthy cultures in a post Covid world webinar [pdf]
This webinar is aimed at financial services leaders, and those interested in promoting healthy cultures in the workplace. -
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 -
Consumer Duty – information for firms
To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market. -
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.