Search results
Showing 42 to 51 of 431 search results for firm%27s culture.
-
Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Firms
Tasks for regulated firms and authorisation information for new firms -
Final Notice 2015: Moorhouse Group Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 7 related to mis-selling and culture/governance in the general insurance and protection sector. We imposed a fine. -
Final Notice 2015: Aviva Investors Global Services Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine. -
Webinar: using assessment as a tool to understand culture
Webinar -
Best of British Conference
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ -
FCA Final Notice 2014: Investments Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction. -
Supervision
Find out about the FCA's approach to supervising firms, including why we supervise and how we divide the financial sectors we regulate. -
Consumer Duty resources
Find publications about the introduction of the Consumer Duty including news, speeches and podcasts. -
Consumer credit – Treating customers fairly
We set out why treating customers fairly should be at the heart of your business. -
Diversity, Equity and Inclusion (DEI) Innovation Spotlight
Find out about our Innovation hub's Diversity, Equity and Inclusion spotlight encouraging FinTech innovation in the DEI space