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Showing 42 to 51 of 744 search results for firm culture and governance.

  1. How the UK will regulate for the future

    Speeches Published: 14/07/2022 Last modified: 14/07/2022
    Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics.
  2. Consumer credit – Treating customers fairly

    Consumer credit firms Published: 23/04/2019 Last modified: 25/05/2022
    We set out why treating customers fairly should be at the heart of your business.
  3. 2017 fines

    News stories Published: 31/01/2017 Last modified: 07/03/2019
    This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. 
  4. FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]

    Final notices Published: 15/05/2014 Last modified: 24/02/2015
    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.
  5. CP21/13: A new Consumer Duty

    Consultation papers Published: 13/05/2021 Last modified: 27/07/2022
    We consult on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards customers
  6. 2016 fines

    News stories Published: 02/01/2016 Last modified: 02/02/2017
    This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty).
  7. Sign up for FCA events updates

    Last modified: 22/05/2022
    Please indicate which sector your firm operates in (select all that apply):. ... Culture and governance. Financial crime and anti-money laundering. Data security, resilience and outsourcing.
  8. Regulation round-up October 2013

    Newsletters Published: 29/10/2013 Last modified: 07/02/2022
    At the start of the month the FCA set out its plans for the regulation of Consumer Credit from April of next year.
  9. Senior Managers and Certification Regime

    Tasks for regulated firms Focus areas Published: 06/07/2015 Last modified: 23/05/2022
    Senior Managers and Certification regime
  10. Final Notice 2015: Deutsche Bank AG [pdf]

    Final notices Published: 23/04/2015 Last modified: 23/04/2015
    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.