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Showing 52 to 61 of 6480 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. -
FCA Final Notice 2013: ICAP Europe Ltd [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine. -
Final Notice 2015: Stephen Edward Bell [pdf]
This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We -
FCA Final Notice 2014: Anthony Clare [pdf]
This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine. -
Firms
Tasks for regulated firms and authorisation information for new firms -
FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]
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. -
Final Notice 2015: Paivi Grigg [pdf]
This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine. -
FCA Final Notice 2014: Peter Halpin [pdf]
This final notice refers to breaches of APER 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a fine and a prohibition -
Final Notice 2015: Deutsche Bank AG [pdf]
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. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
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.