Filter results
Filter by document type
Document type
Filter by year
Sort by:

Search results

Showing 81 to 90 of 14836 search results for firm's culture.

  1. Data strategy

    Data Published: 07/01/2020 Last modified: 06/08/2020
    The data strategy sets out the FCA's vision for 2024 and how it will make better use of its data and analytics to transform how it regulates and delivers its Mission.
  2. Keeping up with the credit sector: the FCA’s view on the market today

    Speeches Published: 30/03/2017 Last modified: 30/03/2017
    Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, at Credit Summit in London.
  3. 2019 fines

    News stories Published: 16/01/2019 Last modified: 20/01/2020
    This page contains information about enforcement fines published during the calendar year ending 2019.
  4. The FCA publishes latest review of sales incentives at retail financial services firms

    Press Releases Published: 04/03/2014 Last modified: 17/11/2021
    All the major retail banks have either replaced or made substantial changes to financial incentive schemes, which played such a major role in the mis-selling scandals of recent years, the Financial Conduct Authority (FCA) revealed today.
  5. FCA Final Notice 2014: Investments Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    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.
  6. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    To do that successfully requires firms to use their judgement and common sense. ... You must be confident that they understand the purpose of the rules – what they are trying to achieve and, underpinning all of that, that the culture embedded
  7. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

    Final notices Published: 24/02/2015 Last modified: 24/02/2015
    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.
  8. Final Notice 2015: Moorhouse Group Limited [pdf]

    Final notices Published: 23/04/2015 Last modified: 23/04/2015
    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.
  9. Compliance, Culture and Evolving Regulatory Expectations

    Speeches Published: 26/04/2021 Last modified: 26/04/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.
  10. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.