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Showing 52 to 61 of 745 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. -
FCA outcomes and metrics
The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them. -
5 Conduct Questions Programme
The FCA has engaged with firms on conduct and risk and is now feeding back findings on good and bad practice. The 5 Conduct Questions Programme covers the importance of overall governance, identifying conduct risk and fostering staff engagement -
Regulation round-up December 2018
Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector. -
Finding opportunity in a world of uncertainty
Speech by Sarah Pritchard, Executive Director, Markets, at the CityUK Annual Conference. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
Our Annual Report and Accounts 2018/19
The Annual Report and Accounts 2018/19 shows how the FCA's work over the last year has met its objectives and delivered the key priorities in its Business Plan 2018/19. -
Ensuring the fair treatment of customers in vulnerable circumstances
The positive steps firms have taken to embed FCA guidance and the areas where we expect to see improvement. -
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. -
FCA Final Notice 2014: Stonebridge International Insurance Limited [pdf]
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. -
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.