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Showing 42 to 51 of 108 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. Innovation Pathways

    Firms Published: 27/03/2022 Last modified: 01/08/2023
    Innovation Pathways helps financial services firms launch innovative products and services. Learn more about FCA support offered and who can apply.

  3. Final Notice: Aviva Pension Trustees UK Limited, Aviva Wrap UK Limited [pdf]

    Final notices Published: 05/10/2016 Last modified: 05/10/2016
    This final notice refers to breaches of PRIN 3, PRIN 10, CASS Rules, SUP and SYSC related to client money/assets and culture/governance in the life insurance sector. We imposed a fine.

  4. Navigating the public disclosure regime as an SME (2 of 2)

    Published: 20/01/2021 Last modified: 20/01/2021
    This is the second of 2 events that we're hosting to introduce the work of our Primary Market Oversight Department. 

  5. Regulatory Sandbox

    Firms Published: 27/03/2022 Last modified: 01/08/2023
    The Regulatory Sandbox allows firms to test innovative propositions in the market with real consumers. It’s open for applications at any point throughout the year.

  6. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  7. Market Watch 76

    Newsletters Published: 30/01/2024 Last modified: 31/01/2024
    Newsletter on market conduct and transaction reporting issues, October 2023.

  8. The New Market Infrastructure

    Speeches Published: 16/05/2014 Last modified: 29/11/2016
    Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Information on investigations into company directors - July 2021

    FOI Release Date of Release: 05/07/2021
    The FCA provides information on Investigations into company directors.

  10. FX remediation programme: our next steps

    News stories Published: 28/07/2016 Last modified: 28/07/2016
    We launched a remediation programme in 2014 to ensure UK foreign exchange (FX) firms addressed the root causes of failings and to drive up standards across the market. Find out how firms should respond to our findings and our next steps.

  11. Statistics provided on new enforcement Investigations - August 2020

    FOI Release Date of Release: 13/08/2020
    The FCA provides statistics on new enforcement Investigations opened and the reason for the investigation.