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

Search results

Showing 91 to 100 of 15196 search results for firm's culture.

  1. Enhancing market integrity

    What we do Published: 19/04/2016 Last modified: 16/09/2019
    We aim to support and empower a healthy and successful financial system, where firms can thrive and consumers can place their trust in transparent and open markets.
  2. 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.
  3. 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.
  4. Best of British Conference

    Speeches Published: 14/11/2014 Last modified: 30/01/2015
    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
  5. Competing on integrity

    Speeches Published: 14/11/2013 Last modified: 30/09/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, at the CFA European Investment Conference. This is the text of the speech as drafted, which may differ from the delivered version.
  6. Final Notice 2015: David Caplin [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.
  7. Final Notice 2015: Jeremy Kraft [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.
  8. A regulatory perspective: the drivers of culture and the role of purpose and governance

    Speeches Published: 18/09/2020 Last modified: 25/09/2020
    Marc Teasdale speaks on regulatory perspective, the driver of cultures and the role of purpose and governance.
  9. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    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
  10. Requirements of approved persons

    Tasks for regulated firms Published: 12/05/2015 Last modified: 09/12/2019
    Requirements of approved persons