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Showing 124 to 133 of 516 search results for transforming culture.
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Forms
List of all forms on fca.org.uk For Handbook forms, please use the Handbook forms page. -
Transforming to a forward looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
CultureSprint: supporting and empowering managers to transform culture
Leadership is a key driver of behaviour and an important element of a firm’s culture. In particular, mid-level managers play a unique role in culture change -
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: 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 2016: David Williams T/A Debts Maze Solutions [pdf]
This final notice deals with a breach of COND. We refused this application for permission to carry on regulated activities of Debt Administration, Debt Collecting and Debt-Counselling as the application is incomplete. -
FCA Decision Notice 2016: Andrew Tinney [pdf]
This decision notice refers to breaches of APER 1 and FIT related to culture/governance, failing to be open and co-operative and a lack of fitness/propriety in the wealth management and private banking sector. Our view is that a public censure and -
Final Notice 2022: Simon Tyson [pdf]
This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty -
A banking renaissance – making trust and culture central to 21st century retail banking [pdf]
Paper from the Future Horizons Conference. -
100 days of the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the ABI Biennial Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Towards more effective stewardship
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the LSE in London. -
Whistleblowing quarterly data 2023 Q4
The data shows the number of new whistleblowing reports the FCA received in October and December 2023 and the allegations they featured.