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Showing 42 to 51 of 2580 search results for 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 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 -
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. -
Supervision
Find out about the FCA's approach to supervising firms, including why we supervise and how we divide the financial sectors we regulate. -
Market Watch 76
Newsletter on market conduct and transaction reporting issues, October 2023. -
The FCA’s Business Plan and Priorities
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester -
Ethics and Economics
Speech by Martin Wheatley, Chief Executive of the FCA, to the Worshipful Company of International Bankers, London 4 March 2014. This is the text of the speech as drafted, which may differ from the delivered version. -
Final Notice 2022: Stephen John Tomlin [pdf]
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 -
Final Notice 2022: Matthew Charles Kent [pdf]
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 -
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. -
Our gender and ethnicity pay gaps 2019
We report on our gender and ethnicity pay gaps.