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Showing 162 to 171 of 490 search results for healthy firm culture.

  1. Culture and Governance

    Read about the FCA's work on culture and governance, including details of how to get involved.

  2. The commercial importance of culture to industry

    Speeches Published: 02/12/2014 Last modified: 02/12/2014
    The commercial importance of culture to industry. Speeches First published:. 02/12/2014. ... And for me, there’s an uneasy contrast here between the relative success of many firms in reconstructing their prudential positions, with their inability to

  3. Final Notice 2022: Sigma Broking Limited [pdf]

    Final notices Published: 06/10/2022
    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.

  4. Consumer Credit Seminar

    Speeches Published: 21/10/2014 Last modified: 20/03/2024
    Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

  5. Creating and sustaining cultures of compliance: insights from psychology and beyond

    Insight Published: 16/12/2016 Last modified: 17/02/2017
    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

  6. Regulatory Sandbox

    Firms Published: 27/03/2022 Last modified: 01/08/2023
    The Regulatory Sandbox allows firms to test innovative propositions in the market with real consumers. It’s open for applications at any point throughout the year.

  7. FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]

    Final notices Published: 15/05/2014 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine.

  8. Final Notice 2015: Deutsche Bank AG [pdf]

    Final notices Published: 23/04/2015 Last modified: 23/04/2015
    This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine.

  9. Innovation in financial services

    Speeches Published: 10/11/2015 Last modified: 10/11/2015
    Speech by Christopher Woolard, director of strategy and competition at the FCA, delivered at the FinanceAsia Annual Compliance Summit in Hong Kong on 10 November 2015. This is the text of the speech as drafted, which may differ from the delivered

  10. Our gender pay gap 2018

    Data Published: 19/11/2018 Last modified: 10/06/2022
    We report on our gender pay gap and our target to increase the senior representation of women at the FCA

  11. Facing the future – challenges and priorities for the FCA

    Speeches Published: 12/11/2020 Last modified: 12/11/2020
    Speech by our CEO, Nikhil Rathi, given at the Address to the City Regulators, Mansion House.