Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 22 to 31 of 86 search results for culture/governance.

  1. Culture and Governance

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

  2. 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.

  3. Final notice 2016: David Williams T/A Debts Maze Solutions [pdf]

    Final notices Published: 23/02/2016 Last modified: 25/02/2016
    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.

  4. Final Notice 2022: Simon Tyson [pdf]

    Final notices Published: 06/10/2022
    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

  5. Final Notice: Sonali Bank (UK) Ltd [pdf]

    Final notices Published: 12/10/2016
    This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction.

  6. Final Notice 2015: Paivi Grigg [pdf]

    Final notices Published: 11/12/2015 Last modified: 17/12/2015
    This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.

  7. Final Notice 2022: Sigma Broking Limited [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty.

  8. Final Notice 2022: Matthew Charles Kent [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Matthew Charles Kent) 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

  9. 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

  10. FCA Final Notice 2014: Stonebridge International Insurance Limited [pdf]

    Final notices Published: 07/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 6 related to unfair treatment of customers, mis-selling, and culture/governance in the general insurance and protection sector. We imposed a fine and redress.

  11. Final Notice 2017: Bluefin Insurance Services Limited [pdf]

    Final notices Published: 06/12/2017
    This final notice refers to breaches of PRIN 3 and PRIN 7 related to conflicts of interest, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.