Search results
Showing 52 to 61 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. -
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 -
Modelling integrity through culture
Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version. -
Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm. -
FCA Final Notice 2013: ICAP Europe Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine. -
Request an FCA speaker
Our speaker request process is the formal channel for considering FCA’s external speaking engagements. -
Learning the lessons of the past as an industry
In my view they did it because they operated in a culture in which they believed, at best, that poor behaviour would be excused by the results for the firm, and ... Firms need to think about where risks might arise and how to control them: the need to -
Culture in financial institutions: it’s everywhere and nowhere
Speech by Andrew Bailey, Chief Executive of the FCA, at the HKMA Annual Conference for Independent Non-Executive Directors. -
Creating and sustaining cultures of compliance: insights from psychology and beyond
In addition to calls for stricter penalties for offenders, we have seen notably higher fines imposed since the pre-crisis period, while scrutiny of the culture in financial service firms has ... In such examples, the culture of the organisation, what -
Culture and conduct - extending the accountability regime
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London. -
Final Notice 2022: Simon Tyson [pdf]
This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty