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Showing 52 to 61 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. -
Building firm foundations for healthy cultures
Speech by Sheree Howard, Executive Director of Risk and Compliance Oversight at the XLOD Global London conference. -
Final Notice 2022: Sigma Broking Limited [pdf]
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. -
Supervision
Find out about the FCA's approach to supervising firms, including why we supervise and how we divide the financial sectors we regulate. -
FCA encourages firms to develop purposeful cultures
The FCA Discussion Paper on driving purposeful cultures presents a range of views from industry leaders, professional bodies and culture experts, to help firms embed purposeful cultures. -
Market Watch 76
Newsletter on market conduct and transaction reporting issues, October 2023. -
Best of British Conference
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ -
Culture in financial institutions: it’s everywhere and nowhere
Speech by Andrew Bailey, Chief Executive of the FCA, at the HKMA Annual Conference for Independent Non-Executive Directors. -
Creating and sustaining cultures of compliance: insights from psychology and beyond
In addition to calls for stricter penalties for offenders, we have seen notably higher fines imposed since the pre-crisis period, while scrutiny of the culture in financial service firms has ... In such examples, the culture of the organisation, what -
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. -
Realising the benefits of purposeful leadership
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham.