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Showing 152 to 161 of 21255 search results for firm's culture.
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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 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) 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 -
Regulatory priorities for retail banking
Speech delivered by Karina McTeague, Director of Retail Banking Supervision at the FCA, at the Westminster Business Forum on retail banking and payments. -
Market abuse in a time of coronavirus
Julia Hoggett speaking on market abuse at the Ciy & Financial Global event. -
Whistleblowing quarterly data 2022 Q3
Our data shows the number of new whistleblowing reports the FCA received in July to September 2022 and the allegations they featured. -
Whistleblowing quarterly data 2023 Q1
The data shows the number of new whistleblowing reports the FCA received in January to March 2023 and the allegations they featured. -
Funeral plan providers and intermediaries
The FCA regulates the pre-paid funeral plans sector. See all our resources for firms. -
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. -
Why black inclusion matters to us
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at New Financial. -
Consumer Duty: Not once and done
Speech by Nisha Arora, delivered at Deloitte: Consumer Duty - Next Steps -
Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.