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Showing 51 to 60 of 710 search results for firm culture and governance.

51. Investment Managers

    Investment managers Last modified: 23/09/2021
    Investment managers need to be authorised and utilise the available support to best help consumers. Find useful links, publications and expectations for investment management firms.

52. Final Notice 2019: R. Raphael & Sons Plc [pdf]

    Final notices Published: 30/05/2019
    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.

53. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

54. Consumer credit firms

    Consumer credit firms Last modified: 23/09/2021
    Information for consumer credit firms new to regulation wanting to apply for authorisation, their business and tasks for regulated firms

55. FCA sets out its priorities for 2019/20

    Press Releases Published: 17/04/2019 Last modified: 23/07/2019
    The Financial Conduct Authority (FCA) has today published its Business Plan for 2019/20, which outlines the key priorities for the coming year.

56. 2018 fines

    News stories Published: 08/01/2018 Last modified: 15/01/2019
    This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.

57. Transforming culture in financial services

    Speeches Published: 19/03/2018 Last modified: 19/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference.

58. Event costs

    Last modified: 14/07/2020
    Overall approximate costs for public events that we organise and publicise, from April 2013 onwards.

59. Mortgage lenders and intermediaries

    Firms Mortgage lenders and intermediaries Last modified: 23/09/2021
    Information for mortgage lenders and intermediaries.

60. Fines – 2016

    How we regulate How we operate Firms Short selling Published: 15/05/2016 Last modified: 15/05/2016
    This table contains information about fines published during 2016. The total amount of fines is £17,493,500.