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Showing 192 to 201 of 846 search results for firm culture and governance.

  1. Culture and Governance

    Read about the FCA's work on culture and governance, including details of how to get involved.

  2. FCA launches 'Live & Local': a new regional programme to help local firms engage with regulators

    Press Releases Published: 01/03/2016 Last modified: 18/01/2017
    The General Insurance sector will have their own sessions called ‘Culture & Governance: GI Focus’. ... We will also be hosting Supervision workshops for around 40 firms in the Investment sector focussing on Professional Governance and in the General

  3. TR15/11: Financial Benchmarks: Thematic Review of Oversight and Controls

    Thematic reviews Published: 29/07/2015 Last modified: 04/11/2019
    This report presents the findings from our thematic review of firms’ oversight and controls in relation to financial benchmarks.

  4. Effectiveness and proportionality: our financial crime priorities

    Speeches Published: 10/11/2016 Last modified: 05/12/2016
    Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, at our Financial Crime Conference.

  5. Information on the number of individuals who currently come under the Senior Managers Regime - May 2020

    FOI Release Date of Release: 22/05/2020
    FCA provides information on the number of individuals who currently come under the Senior Managers Regime.

  6. Insurance brokers: serving consumers and businesses in times of uncertainty and change

    Speeches Published: 13/05/2022 Last modified: 13/05/2022
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference.

  7. Final Notice 2022: Matthew Charles Kent [pdf]

    Final notices Published: 06/10/2022
    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

  8. Final Notice 2022: Stephen John Tomlin [pdf]

    Final notices Published: 06/10/2022
    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

  9. Firms

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

  10. FCA Final Notice 2014: Stonebridge International Insurance Limited [pdf]

    Final notices Published: 07/08/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 6 related to unfair treatment of customers, mis-selling, and culture/governance in the general insurance and protection sector. We imposed a fine and redress.

  11. Event costs

    Last modified: 08/04/2024
    Overall approximate costs for public events that we organise and publicise, from April 2013 onwards.