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Showing 42 to 51 of 846 search results for firms' culture and governance.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Credit rating agencies
Any legal person wishing to issue credit ratings in the UK for regulatory purposes, publicly or by subscription, will need to be registered or certified with the FCA. -
Ensuring the fair treatment of customers in vulnerable circumstances
The positive steps firms have taken to embed FCA guidance and the areas where we expect to see improvement. -
Final Notice: Sonali Bank (UK) Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction. -
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. -
Supervision
Find out about the FCA's approach to supervising firms, including why we supervise and how we divide the financial sectors we regulate. -
FCA Final Notice 2013: Lloyds TSB Bank plc and Bank of Scotland plc [pdf]
This final notice refers to breaches of PRIN 3 related to mis-selling, remuneration, and culture/governance in the retail banks sector. We imposed a fine. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
FCA publishes 2016/17 Business Plan
The seven themes are: pensions, financial crime and anti-money laundering, wholesale financial markets, advice, innovation and technology, firms’ culture and governance, and the treatment of existing customers. ... extend the Senior Managers and -
Final Notice 2019: R. Raphael & Sons Plc [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212.