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Showing 42 to 51 of 6476 search results for related to 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. -
Towards more effective stewardship
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the LSE in London. -
TR19/1: Debt management sector thematic review
This report shares the key findings of our thematic review of the debt management sector.We committed in our 2017/18 Business Plan to assess how the market is operating and whether firms are meeting customer needs and our standards. -
Final notice 2016: W H Ireland Limited [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to market protection, culture/governance and conflicts of interest in the wealth management and private banking sector. We imposed a fine and restriction. -
Final Notice 2015: David Caplin [pdf]
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. -
Final Notice 2015: Jeremy Kraft [pdf]
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. -
Final Notice 2015: Moorhouse Group Limited [pdf]
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. -
Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR
Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR. ... The FCA found that Caplin presided over a firm where the compliance culture was extremely weak. -
FCA Final Notice 2014: Nick Bowyer [pdf]
This final notice refers to breaches of APER 6 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the payment services sector. We imposed a fine and a prohibition. -
Final Notice 2015: Aviva Investors Global Services Limited [pdf]
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. -
Final Notice 2017: Charles Palmer [pdf]
This final notice refers to breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector. We imposed a fine and prohibition