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Showing 42 to 51 of 845 search results for firm culture and governance.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Final Notice: Sonali Bank (UK) Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction. -
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. -
Event costs
Overall approximate costs for public events that we organise and publicise, from April 2013 onwards. -
FCA publishes 2016/17 Business Plan
The seven themes are: pensions, financial crime and anti-money laundering, wholesale financial markets, advice, innovation and technology, firms’ culture and governance, and the treatment of existing customers. ... extend the Senior Managers and -
FCA Final Notice 2013: Lloyds TSB Bank plc and Bank of Scotland plc [pdf]
This final notice refers to breaches of PRIN 3 related to mis-selling, remuneration, and culture/governance in the retail banks sector. We imposed a fine. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
Final Notice 2019: R. Raphael & Sons Plc [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty.