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Showing 42 to 51 of 353 search results for evaluate firm culture and conduct.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
The fairness challenge
Speech by Martin Wheatley, Chief Executive of the FCA, at Mansion House, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine. -
Final Notice 2015: Deutsche Bank AG [pdf]
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. -
The commercial importance of culture to industry
And for me, there’s an uneasy contrast here between the relative success of many firms in reconstructing their prudential positions, with their inability to reconstruct cultures. ... And that is why we talk about culture, as much as conduct, needing to -
Modelling integrity through culture
Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version. -
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 -
Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm. -
2017 fines
This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. -
Event costs
Overall approximate costs for public events that we organise and publicise, from April 2013 onwards. -
A sustainable conduct environment
Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.