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Showing 32 to 41 of 81 search results for culture/governance.

  1. FCA Final Notice 2013: Lloyds TSB Bank plc and Bank of Scotland plc [pdf]

    Final notices Published: 11/12/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to mis-selling, remuneration, and culture/governance in the retail banks sector. We imposed a fine.
  2. Final Notice 2018: Liberty Mutual Insurance Europe SE [pdf]

    Final notices Published: 30/10/2018
    This final notice refers to breaches of PRIN 3, PRIN 6, SYSC, ICOBS and DISP related to complaints-handling, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.
  3. Final Notice 2022: Mohammed Ataur Rahman Prodhan [pdf]

    Final notices Published: 18/11/2022
    This final notice refers to a breach of APER 6, and being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have imposed a public censure.
  4. 2018 fines

    News stories Published: 08/01/2018 Last modified: 15/01/2019
    This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.
  5. Final Notice 2019: R. Raphael & Sons Plc [pdf]

    Final notices Published: 30/05/2019
    This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty.
  6. Decision Notice 2018: Mohammad Ataur Rahman Prodhan [pdf]

    Decision notices Published: 04/12/2018
    This decision notice refers to an alleged breach of APER 6, and allegedly being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have proposed imposing a financial penalty.
  7. Diversity, Equity and Inclusion (DEI) Innovation Spotlight

    Published: 24/08/2022 Last modified: 22/03/2023
    Find out about our Innovation hub's Diversity, Equity and Inclusion spotlight encouraging FinTech innovation in the DEI space
  8. FCA decision notice 2015: Charles Palmer [pdf]

    Decision notices Published: 11/12/2015 Last modified: 11/12/2015
    This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty
  9. 2019 fines

    News stories Published: 16/01/2019 Last modified: 20/01/2020
    This page contains information about enforcement fines published during the calendar year ending 2019.
  10. Event costs

    Last modified: 23/02/2023
    Overall approximate costs for public events that we organise and publicise, from April 2013 onwards.